SEC Form 4 · accession 0000018230-17-000014
CATERPILLAR INC · CAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Susan C Schwab
Director
Period of report
Dec 30, 2016
Accepted (ET)
Jan 4, 2017 · 4:42 pm 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom Stock UnitsF2,F4,F1,F3 | — | Dec 30, 2016 | A | 404 | A | — | — | Common Stock | 404 | 9,419 | 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 Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service.
- F4Includes adjustments for dividends accrued.