AI assistant
CATERPILLAR INC — Director's Dealing 2016
Jan 5, 2016
29780_dirs_2016-01-05_66093d2d-0552-4867-b983-ac545f49a1e6.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: 2015-12-31
Reporting Person: Halverson Bradley M (Group President & CFO)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2015-12-31 | Phantom Stock Units | $ | A | 87 | Acquired | Common Stock (87) | Direct |
Footnotes
F1: Each phatom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock.
F2: This total includes 58 shares that were credited to the reporting person's account under the Caterpillar Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $67.96 and 29 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 Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service.