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CATERPILLAR INC — Director's Dealing 2019
Mar 1, 2019
29780_dirs_2019-03-01_20464f8c-0208-4953-8124-17c6145d991e.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: 2019-03-01
Reporting Person: Marvel Gary Michael (Chief Accounting Officer)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 1520 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Employee Stock Options | $89.75 | 2023-03-04 | Common Stock (4360.0) | Direct | |
| Employee Stock Options | $96.31 | 2024-03-03 | Common Stock (4318.0) | Direct | |
| Employee Stock Options | $83.0 | 2025-03-02 | Common Stock (6952.0) | Direct | |
| Employee Stock Options | $74.77 | 2026-03-07 | Common Stock (8037.0) | Direct | |
| Employee Stock Options | $95.66 | 2027-03-06 | Common Stock (5056.0) | Direct | |
| Employee Stock Options | $151.12 | 2028-03-05 | Common Stock (3166.0) | Direct | |
| Phantom Stock Units | $ | Common Stock (592.0) | 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 2, 2015 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 7, 2016 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 6, 2017 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 5, 2018 and vest equally in 1/3 increments on each of the first, second and third anniversaries of the grant date.
F6: 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.
F7: Each Phantom Stock unit is the economic equivalent of one share of Caterpillar Inc. common stock.