AI assistant
CATERPILLAR INC — Director's Dealing 2019
Jan 28, 2019
29780_dirs_2019-01-28_bcc3fd72-9af9-49d3-9bbb-5df41afa2473.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: CATERPILLAR INC (CAT)
CIK: 0000018230
Period of Report: 2019-01-25
Reporting Person: Long Suzette M (General Counsel/Corporate Sec.)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2019-01-25 | Phantom Stock Units | $ | A | 27 | Acquired | Common Stock (27.0) | Direct |
Footnotes
F1: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock.
F2: This total includes 26 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $136.86 and 1 share that was 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 Caterpillar Inc. Suplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service.