Initial Statement of Beneficial Ownership (3)
14 Mai 2018 - 11:11PM
Edgar (US Regulatory)
|
FORM 3
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
|
1. Name and Address of Reporting Person
*
Creed Joseph E
|
2. Date of Event Requiring Statement (MM/DD/YYYY)
5/4/2018
|
3. Issuer Name
and
Ticker or Trading Symbol
CATERPILLAR INC [CAT]
|
|
(Last)
(First)
(Middle)
510 LAKE COOK ROAD, SUITE 100
|
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
___
X
___ Officer (give title below)
_____ Other (specify below)
Interim CFO /
|
|
(Street)
DEERFIELD, IL 60015
(City)
(State)
(Zip)
|
5. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Beneficially Owned
|
1.Title of Security
(Instr. 4)
|
2. Amount of Securities Beneficially Owned
(Instr. 4)
|
3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
|
4. Nature of Indirect Beneficial Ownership
(Instr. 5)
|
|
Common Stock
|
172
|
D
|
|
|
Common Stock
|
8134
(1)
|
I
|
Held by 401(k) Plan
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 4)
|
2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
|
3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
|
4. Conversion or Exercise Price of Derivative Security
|
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
|
6. Nature of Indirect Beneficial Ownership
(Instr. 5)
|
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
|
Phantom Stock Units
|
(2)
|
(2)
|
Common Stock
|
2687.0
|
(3)
|
D
|
|
|
Employee Stock Options
|
3/5/2015
|
3/5/2022
|
Common Stock
|
2382.0
|
$110.09
|
D
|
|
|
Employee Stock Options
|
3/4/2016
|
3/4/2023
|
Common Stock
|
4360.0
|
$89.75
|
D
|
|
|
Employee Stock Options
|
3/3/2017
|
3/3/2024
|
Common Stock
|
5152.0
|
$96.31
|
D
|
|
|
Employee Stock Options
|
(4)
|
3/2/2025
|
Common Stock
|
9949.0
|
$83.0
|
D
|
|
|
Employee Stock Options
|
(5)
|
3/7/2026
|
Common Stock
|
11379.0
|
$74.77
|
D
|
|
|
Employee Stock Options
|
(6)
|
3/6/2027
|
Common Stock
|
18480.0
|
$95.66
|
D
|
|
|
Employee Stock Options
|
(7)
|
3/5/2028
|
Common Stock
|
18294.0
|
$115.12
|
D
|
|
|
Explanation of Responses:
|
|
(1)
|
The information in this report is based on a 401(k) Plan statement dated as of 4/30/2018.
|
|
(2)
|
The 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.
|
|
(3)
|
Each Phantom Stock unit is the economic equivalent of one share of Caterpillar Inc. common stock.
|
|
(4)
|
The 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.
|
|
(5)
|
The 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.
|
|
(6)
|
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.
|
|
(7)
|
The 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.
|
Reporting Owners
|
|
Reporting Owner Name / Address
|
Relationships
|
|
Director
|
10% Owner
|
Officer
|
Other
|
Creed Joseph E
510 LAKE COOK ROAD
SUITE 100
DEERFIELD, IL 60015
|
|
|
Interim CFO
|
|
Signatures
|
|
Barbara Thomas, POA for Joseph E. Creed
|
|
5/14/2018
|
|
**
Signature of Reporting Person
|
Date
|
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
|
|
*
|
If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
|
|
**
|
Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
|
|
Note:
|
File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
|
|
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
|
Caterpillar (NYSE:CAT)
Historical Stock Chart
Von Sep 2024 bis Okt 2024
Caterpillar (NYSE:CAT)
Historical Stock Chart
Von Okt 2023 bis Okt 2024
