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CATERPILLAR INC — Director's Dealing 2019
Oct 29, 2019
29780_dirs_2019-10-29_d22d20cf-783b-403a-8b0e-bd5698ce5e6c.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: 2019-10-25
Reporting Person: Johnson Denise C (Group President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2019-10-28 | Common Stock | M | 14777 | $74.77 | Acquired | 26464 | Direct |
| 2019-10-28 | Common Stock | S | 14777 | $140 | Disposed | 11687 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2019-10-28 | Employee Stock Options | $74.77 | M | 14777 | Disposed | 2026-03-07 | Common Stock (14777.0) | Direct |
| 2019-10-25 | Phantom Stock Units | $ | A | 86 | Acquired | Common Stock (86.0) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 4260 | Indirect |
| Common Stock | 936 | Indirect |
Footnotes
F1: The information in this report is based on a 401(k) plan statement dated as of 09/30/2019.
F2: 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.
F3: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock.
F4: This total includes 57 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $139.73 and 29 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.
F5: The phantom stock units are to be settled 100% in cash upon the reporting person's retirement or separation from service.
F6: Includes dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates.