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CATERPILLAR INC — Director's Dealing 2019
Oct 30, 2019
29780_dirs_2019-10-30_2c56474b-14ac-4bc4-817e-171acfe80df8.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: 2019-10-28
Reporting Person: Long Suzette M (General Counsel/Corporate Sec.)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2019-10-28 | Common Stock | M | 3943 | $95.66 | Acquired | 16512 | Direct |
| 2019-10-28 | Common Stock | F | 3250 | $139.73 | Disposed | 13262 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2019-10-28 | Employee Stock Options | $95.66 | M | 3943 | Disposed | 2027-03-06 | Common Stock (3943.0) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 553 | Indirect |
Footnotes
F1: The information in this report is based on a 401(k) plan statement dated as of 09/30/2019.
F2: The 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.
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