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CATERPILLAR INC — Director's Dealing 2019
Sep 30, 2019
29780_dirs_2019-09-30_fb2d41fc-f4d9-4b44-a598-2254f35ab50a.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: 2019-09-26
Reporting Person: Johnson Denise C (Group President)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2019-09-26 | Phantom Stock Units | $ | A | 95 | Acquired | Common Stock (95.0) | Direct |
Footnotes
F1: 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.
F2: This total includes 63 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $126.39 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.
F4: Includes adjustments for dividends accrued. Also adjusted to include 3,292 phantom stock units initially reported on Form 3 filed on January 27, 2016 and unintentionally omitted from subsequent filings.