SEC Form 3 · accession 0000018230-19-000064
CATERPILLAR INC · CAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gary Michael Marvel
Officer — Chief Accounting Officer
Period of report
Mar 1, 2019
Accepted (ET)
Mar 1, 2019 · 4:55 pm EST
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 StockF1 | holding | — | — | — | 1,520 | I | Held by 401(k) Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Options | $89.75 | holding | — | — | — | Mar 4, 2016 | Mar 4, 2023 | Common Stock | 4,360 | — | D |
| Employee Stock Options | $96.31 | holding | — | — | — | Mar 3, 2017 | Mar 3, 2024 | Common Stock | 4,318 | — | D |
| Employee Stock OptionsF2 | $83.00 | holding | — | — | — | — | Mar 2, 2025 | Common Stock | 6,952 | — | D |
| Employee Stock OptionsF3 | $74.77 | holding | — | — | — | — | Mar 7, 2026 | Common Stock | 8,037 | — | D |
| Employee Stock OptionsF4 | $95.66 | holding | — | — | — | — | Mar 6, 2027 | Common Stock | 5,056 | — | D |
| Employee Stock OptionsF5 | $151.12 | holding | — | — | — | — | Mar 5, 2028 | Common Stock | 3,166 | — | D |
| Phantom Stock UnitsF7,F6 | — | holding | — | — | — | — | — | Common Stock | 592 | — | D |
Explanation of responses
- F1The information in this report is based on a 401(k) plan statement dated as of 2/28/2019.
- F2The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 2, 2015 and vest equally in 1/3 increments on each of the first, second and third anniversaries of the grant date.
- F3The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 7, 2016 and vest equally in 1/3 increments on each of the first, second and third anniversaries of the grant date.
- F4The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 6, 2017 and vest equally in 1/3 increments on each of the first, second and third anniversaries of the grant date.
- F5The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 5, 2018 and vest equally in 1/3 increments on each of the first, second and third anniversaries of the grant date.
- F6The 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.
- F7Each Phantom Stock unit is the economic equivalent of one share of Caterpillar Inc. common stock.