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CATERPILLAR INC — Director's Dealing 2016
Oct 4, 2016
29780_dirs_2016-10-04_c0403df6-0caf-4839-ad11-804cbc0fab03.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: CATERPILLAR INC (CAT)
CIK: 0000018230
Period of Report: 2016-09-30
Reporting Person: Halverson Bradley M (Group President & CFO)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2016-09-30 | Phantom Stock Units | $ | A | 66 | Acquired | Common Stock (66) | Direct |
Footnotes
F1: Each phatom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock.
F2: This total includes 44 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $88.77 and 22 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.
F3: The 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.