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CATERPILLAR INC — Director's Dealing 2014
May 1, 2014
29780_dirs_2014-05-01_76d6308a-75cc-453f-98b0-c487a08ad0b2.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: CATERPILLAR INC (CAT)
CIK: 0000018230
Period of Report: 2014-04-30
Reporting Person: OBERHELMAN DOUGLAS R (Director, CEO & Chairman of the Board)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-04-11 | Common Stock | G | 1046 | — | Disposed | 205829 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2014-04-30 | Phantom Stock Units | $ | A | 114 | Acquired | Common Stock (114) | Direct |
Footnotes
F1: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock.
F2: This total includes 76 shares which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $105.40 and 38 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.
F3: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service.