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CATERPILLAR INC — Director's Dealing 2018
Oct 31, 2018
29780_dirs_2018-10-30_0fe1d563-a63e-4105-bf5a-cffc3eaba70e.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: 2018-10-26
Reporting Person: De Lange Bob (Group President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2018-10-26 | Common Stock | P | 1080 | $115.58 | Acquired | 11310 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2018-10-26 | Phantom Stock Units | $ | A | 65 | Acquired | Common Stock (65.0) | Direct |
Footnotes
F1: Each Phantom Stock unit is the economic equivalent to one share of Caterpillar Inc. common stock.
F2: This total includes 33 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $115.05 and 32 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.