AI assistant
CATERPILLAR INC — Director's Dealing 2014
Jan 3, 2014
29780_dirs_2014-01-03_ae8f42c5-ee45-4166-8574-9890d7c6719f.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: CATERPILLAR INC (CAT)
CIK: 0000018230
Period of Report: 2013-12-31
Reporting Person: OBERHELMAN DOUGLAS R (Director, CEO & Chairman of the Board)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-12-31 | Phantom Stock Units | $ | A | 132 | Acquired | Common Stock (132) | Direct |
Footnotes
F1: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock.
F2: This total includes 88 phantom stock units which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $90.81 and 44 phantom stock units that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.
F3: The phantom stock units are tol be settled 100% in cash upon the reporting person's retirement or separation from service.