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CATERPILLAR INC — Director's Dealing 2019
Jan 28, 2019
29780_dirs_2019-01-28_efab6ec8-293f-4849-930d-5bd0f5e1b303.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: 2019-01-25
Reporting Person: Johnson Denise C (Group President)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2019-01-25 | Phantom Stock Units | $ | A | 30 | Acquired | Common Stock (30.0) | Direct |
Footnotes
F1: Each Phantom Stock unit is the economic equivalent of one share of Caterpillar Inc. common stock.
F2: This total includes 28 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 2 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 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.