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CATERPILLAR INC — Director's Dealing 2018
May 14, 2018
29780_dirs_2018-05-14_b687e22d-f8b0-43cb-9122-5b90fea2132a.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: 2018-05-04
Reporting Person: Creed Joseph E (Interim CFO)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 172 | Direct |
| Common Stock | 8134 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Phantom Stock Units | $ | Common Stock (2687.0) | Direct | ||
| Employee Stock Options | $110.09 | 2022-03-05 | Common Stock (2382.0) | Direct | |
| Employee Stock Options | $89.75 | 2023-03-04 | Common Stock (4360.0) | Direct | |
| Employee Stock Options | $96.31 | 2024-03-03 | Common Stock (5152.0) | Direct | |
| Employee Stock Options | $83.0 | 2025-03-02 | Common Stock (9949.0) | Direct | |
| Employee Stock Options | $74.77 | 2026-03-07 | Common Stock (11379.0) | Direct | |
| Employee Stock Options | $95.66 | 2027-03-06 | Common Stock (18480.0) | Direct | |
| Employee Stock Options | $115.12 | 2028-03-05 | Common Stock (18294.0) | Direct |
Footnotes
F1: The information in this report is based on a 401(k) Plan statement dated as of 4/30/2018.
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.
F4: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 2, 2015 and vest equally in 1/3 increments on each of the first, second and third anniversaries of the grant date.
F5: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 7, 2016 and vest equally in 1/3 increments on each of the first, second and third anniversaries of the grant date.
F6: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 6, 2017 and vest equally in 1/3 increments on each of the first, second and third anniversaries of the grant date.
F7: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 5, 2018 and vest equally in 1/3 increments on each of the first, second and third anniversaries of the grant date.