SEC Form 4 · accession 0000018230-15-000048
CATERPILLAR INC · CAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Edward B Rust Jr.
Director
Period of report
Jan 30, 2015
Accepted (ET)
Feb 3, 2015 · 11:27 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000018230
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common StockF2,F1,F3 | — | Jan 30, 2015 | A | 182 | A | — | — | Common Stock | 182 | 25,870 | D |
Explanation of responses
- F1Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock.
- F2Phantom stock units awarded or acquired in lieu of director cash compensation.
- F3The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Pan and are to be settled 100% in cash upon the reporting person's retirement or separation from service.