Accession Number: | 0000018230-19-000271 |
Date: | 2019-10-25 |
Issuer: | CATERPILLAR INC (CAT) |
Original Submission Date: |
DE LANGE BOB
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 |
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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 |
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PHANTOM STOCK UNITS | 0.0 | 2019-10-25 | deemed execution date | A | 55 (a) | common stock 55 | $0.00 | 3,090 | direct |
ID | footnote |
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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 28 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 27 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 are to be settled 100% in cash upon the reporting person's retirement or separation from service. |
f4 | 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. |