AI assistant
CATERPILLAR INC — Director's Dealing 2018
Aug 27, 2018
29780_dirs_2018-08-27_d38a6edb-f69f-4ed0-8089-b8faf14b8310.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: 2018-08-24
Reporting Person: Younessi Ramin (Group President)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2018-08-24 | Phantom Stock Units | $ | A | 9 | Acquired | Common Stock (9.0) | Direct |
Footnotes
F1: Each Phantom Stock unit is the economic equivalent to one share of Caterpillar Inc. common stock.
F2: This total includes 5 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $138.21 and 4 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.