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CATERPILLAR INC — Director's Dealing 2018
Jun 9, 2018
29780_dirs_2018-06-08_1c51ee44-5815-4d21-841e-4c0d80c515b0.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: CATERPILLAR INC (CAT)
CIK: 0000018230
Period of Report: 2018-06-01
Reporting Person: Younessi Ramin (Group President)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 20198 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Employee Stock Options | $74.77 | 2026-03-07 | Common Stock (12803.0) | Direct | |
| Employee Stock Options | $95.66 | 2027-03-06 | Common Stock (30554.0) | Direct | |
| Employee Stock Options | $151.12 | 2028-03-05 | Common Stock (19702.0) | Direct | |
| Phantom Stock Units | $ | Common Stock (225.0) | Direct |
Footnotes
F1: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on 3/7/2016, 3/6/2017 and 3/5/2018, respectively, and vest equally in 1/3 increments on each of the first, second and third anniversaries of the grant date.
F2: The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan (the "Plan") and are to be settled 100% in cash upon the reporting person's retirement or separation from service.
F3: Each Phantom Stock unit is the economic equivalent of one share of Caterpillar Inc. common stock.