SEC Form 4 · accession 0000018230-18-000288
CATERPILLAR INC · CAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bob De Lange
Officer — Group President
Period of report
Oct 26, 2018
Accepted (ET)
Oct 30, 2018 · 7:22 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000018230
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Oct 26, 2018 | P | 1,080 | $115.58 | A | 11,310 | D |
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 26, 2018 | A | 65 | A | — | — | Common Stock | 65 | 113 | D |
Explanation of responses
- F1Each Phantom Stock unit is the economic equivalent to one share of Caterpillar Inc. common stock.
- F2This total includes 33 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $115.05 and 32 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.