SEC Form 4 · accession 0000018230-17-000056
CATERPILLAR INC · CAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jananne A. Copeland
Officer — Chief Accounting Officer
Period of report
Feb 24, 2017
Accepted (ET)
Feb 28, 2017 · 4:50 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 UnitsF1,F2 | — | Feb 24, 2017 | A | 41 | A | — | — | Common Stock | 41 | 2,795 | D |
Explanation of responses
- F1Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock.
- F2The phantom stock units were acquired under Caterpillar Inc.'s Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirment or separation from service.