SEC Form 4 · accession 0000018230-15-000270
CATERPILLAR INC · CAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
III Donald J Umpleby
Officer — Group President
Period of report
Jul 29, 2015
Accepted (ET)
Jul 31, 2015 · 2:52 pm EDT
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom Stock UnitsF1,F2 | — | Jul 29, 2015 | A | 7,060 | A | — | — | Common Stock | 7,060 | 179,681 | D |
Explanation of responses
- F1Each phatom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock.
- F2The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service.