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CATERPILLAR INC — Director's Dealing 2020
Apr 2, 2020
29780_dirs_2020-04-02_9a2282ee-d795-4b7b-8e5f-a84a39dde4ff.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: 2020-03-31
Reporting Person: WHITE MILES D (Director)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2020-03-31 | Phantom Stock Units | $ | A | 385 | Acquired | Common Stock (385.0) | Direct |
Footnotes
F1: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock.
F2: Phantom stock units awarded or acquired in lieu of director cash compensation.
F3: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service.
F4: Adjusted to correct company's inadvertent clerical error. Includes adjustments for dividends accrued.