SEC Form 4 · accession 0000018230-16-000709
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
Oct 31, 2016
Accepted (ET)
Nov 1, 2016 · 5:15 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,F1,F3 | — | Oct 31, 2016 | A | 116 | A | — | — | Common Stock | 116 | 2,872 | D |
Explanation of responses
- F1Each phatom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock.
- F2This total includes 77 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $83.46 and 39 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.
- F3The 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.