Form Type: 4

SEC EDGAR Link
Accession Number:0000018230-19-000256
Date:2019-09-30
Issuer: CATERPILLAR INC (CAT)
Original Submission Date:

Reporting Person:

GALLARDO JUAN
510 LAKE COOK ROAD, SUITE 100
DEERFIELD, IL 60015

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
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 ExercisableExpiration 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 2019-09-30 deemed execution date A 296 (a) common stock 296 $0.00 32,413 direct
Footnotes
IDfootnote
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 phantom stock units awarded or acquired in lieu of director cash compensation.
f3 the phantom stock units were acquired under the caterpillar inc. director's deferred compensation 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.
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