SEC Form 4 · accession 0000018230-18-000298
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 31, 2018
Accepted (ET)
Nov 2, 2018 · 3:56 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 UnitsF1,F2 | — | Oct 31, 2018 | I | 1,103 | A | — | — | Common Stock | 1,103 | 1,216 | D |
Explanation of responses
- F1Each Phantom Stock unit is the economic equivalent to one share of Caterpillar Inc. common stock.
- F2The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan (the "Plan") and are to be settled 100% in cash upon the reporting person's retirement or separation from service.