SEC Form 4 · accession 0000018230-16-000555
CATERPILLAR INC · CAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Denise C Johnson
Officer — Group President
Period of report
Jan 29, 2016
Accepted (ET)
Jun 17, 2016 · 4:13 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 UnitsF2,F3,F1,F4 | — | Jan 29, 2016 | A | 41 | A | — | — | Common Stock | 41 | 169 | D |
| Phantom Stock UnitsF2,F5,F1,F4 | — | Feb 29, 2016 | A | 37 | A | — | — | Common Stock | 37 | 206 | D |
| Phantom Stock UnitsF2,F6,F1,F4 | — | Mar 4, 2016 | A | 2,152 | A | — | — | Common Stock | 2,152 | 2,358 | D |
Explanation of responses
- F1Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock.
- F2Inadvertently filed late due to an administrative error.
- F3This total includes 39 shares that were credited to the reporting person's account under the Caterpillar Inc. Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $62.24 and 2 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.
- F4The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service.
- F5This total includes 35 shares that were credited to the reporting person's account under the Plan at a price per share of $67.70 and 2 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.
- F6This total includes1850 shares that were credited to the reporting person's account under the Plan at a price per share of $72.84 and 302 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.