Statement of Changes in Beneficial Ownership (4)
29 Oktober 2019 - 8:19PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
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
*
Johnson Denise C |
2. Issuer Name and Ticker or Trading Symbol
CATERPILLAR INC
[
CAT
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Group President
|
(Last)
(First)
(Middle)
510 LAKE COOK ROAD, SUITE 100 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
10/25/2019
|
(Street)
DEERFIELD, IL 60015
(City)
(State)
(Zip)
|
4. 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 Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code (Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock
|
10/28/2019
|
|
M
|
|
14777
|
A
|
$74.77
|
26464
|
D
|
|
Common Stock
|
10/28/2019
|
|
S
|
|
14777
|
D
|
$140
|
11687
|
D
|
|
Common Stock
|
|
|
|
|
|
|
|
4260 (1)
|
I
|
Held by 401(k) Plan
|
Common Stock
|
|
|
|
|
|
|
|
936
|
I
|
Held by Jerry Johnson Trust
|
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security (Instr. 3)
|
2. Conversion or Exercise Price of Derivative Security
|
3. Trans. Date
|
3A. Deemed Execution Date, if any
|
4. Trans. Code (Instr. 8)
|
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
|
6. Date Exercisable and Expiration Date
|
7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)
|
8. Price of Derivative Security (Instr. 5)
|
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
|
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
|
11. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
(A)
|
(D)
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
Employee Stock Options
|
$74.77
|
10/28/2019
|
|
M
|
|
|
14777
|
(2)
|
3/7/2026
|
Common Stock
|
14777.0
|
$0
|
0
|
D
|
|
Phantom Stock Units
|
(3)
|
10/25/2019
|
|
A
|
|
86 (4)
|
|
(5)
|
(5)
|
Common Stock
|
86.0
|
$139.73
|
16777 (6)
|
D
|
|
Explanation of Responses:
|
(1)
|
The information in this report is based on a 401(k) plan statement dated as of 09/30/2019.
|
(2)
|
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.
|
(3)
|
Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock.
|
(4)
|
This total includes 57 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $139.73 and 29 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.
|
(5)
|
The phantom stock units are to be settled 100% in cash upon the reporting person's retirement or separation from service.
|
(6)
|
Includes dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
Johnson Denise C 510 LAKE COOK ROAD, SUITE 100 DEERFIELD, IL 60015
|
|
|
Group President
|
|
Signatures
|
By: /s/ Barbara Thomas, POA for Denise C. Johnson
|
|
10/29/2019
|
**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 4(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 Jun 2024 bis Jul 2024
Caterpillar (NYSE:CAT)
Historical Stock Chart
Von Jul 2023 bis Jul 2024
Die zuletzt besuchten Aktien werden in diesem Feld angezeigt, so dass Sie leicht zu den Aktien zurückkehren können, die Sie zuvor angesehen haben.