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CATERPILLAR INC — Director's Dealing 2019
Mar 12, 2019
29780_dirs_2019-03-12_67761da4-01ae-4b04-99d9-059fdd1a423c.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: 2019-03-08
Reporting Person: Johnson Denise C (Group President)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2019-03-08 | Phantom Stock Units | $ | A | 448 | Acquired | Common Stock (448.0) | Direct | |
| 2019-03-11 | Phantom Stock Units | $ | A | 4535 | Acquired | Common Stock (4535.0) | Direct |
Footnotes
F1: Each Phantom Stock unit is the economic equivalent of one share of Caterpillar Inc. common stock.
F2: The Phantom Stock units were contributed to the reporting person pursuant to the terms of the Caterpillar Inc. Supplemental Deferred Compensation Plan ( 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: This total includes 3,779 shares that were credited to the reporting person's account under the Plan at a price per share of $133.11 and 756 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.