Accession Number: | 0000018230-19-000248 |
Date: | 2019-09-26 |
Issuer: | CATERPILLAR INC (CAT) |
Original Submission Date: |
JOHNSON DENISE C
510 LAKE COOK ROAD, SUITE 100
DEERFIELD, IL 60015
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
---|
Title of Derivative Security | Conversion or Exercise Price of Derivative Security | Transaction Date | Deemed Execution Date | Transaction Code | Number of Derivative Securities Acquired (A) or Disposed of (D) | Date Exercisable | Expiration Date | Title and Amount of Securities Underlying Derivative Security | Price of Derivative Security | Number of derivative Securities Beneficially Owned Following Reported Transaction(s) | Ownership Form: Direct (D) or Indirect (I) | Nature of Indirect Beneficial Ownership |
---|---|---|---|---|---|---|---|---|---|---|---|---|
PHANTOM STOCK UNITS | 0.0 | 2019-09-26 | deemed execution date | A | 95 (a) | common stock 95 | $0.00 | 17,335 | direct |
ID | footnote |
---|---|
f1 | 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. |
f2 | this total includes 63 shares that were credited to the reporting person's account under the supplemental deferred compensation plan (the "plan") at a price per share of $126.39 and 32 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. |
f4 | includes adjustments for dividends accrued. also adjusted to include 3,292 phantom stock units initially reported on form 3 filed on january 27, 2016 and unintentionally omitted from subsequent filings. |