AI assistant
CATERPILLAR INC — Director's Dealing 2019
Mar 1, 2019
29780_dirs_2019-03-01_114214b4-05d4-4586-9936-24fdf3ad2161.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: CATERPILLAR INC (CAT)
CIK: 0000018230
Period of Report: 2019-03-01
Reporting Person: Ainsworth William P (Group President)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 51800 | Direct |
| Common Stock | 4130 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Employee Stock Options | $83.0 | 2025-03-02 | Common Stock (15199.0) | Direct | |
| Employee Stock Options | $74.77 | 2026-03-07 | Common Stock (30964.0) | Direct | |
| Employee Stock Options | $95.66 | 2027-03-06 | Common Stock (69486.0) | Direct | |
| Employee Stock Options | $151.12 | 2028-03-05 | Common Stock (33774.0) | Direct |
Footnotes
F1: The information in this report is based on a 401(k) plan statement dated as of 2/28/2019.
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: 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.
F4: 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.