4//SEC Filing
CATERPILLAR INC 4
Accession 0000018230-16-000527
$CATCIK 0000018230operating
Filed
May 2, 8:00 PM ET
Accepted
May 3, 8:04 PM ET
Size
8.6 KB
Accession
0000018230-16-000527
Insider Transaction Report
Form 4
BUDA JAMES B
VP, General Counsel, Secy.
Transactions
- Award
Phantom Stock Units
2016-04-29$77.72/sh+50$3,886→ 30,004 total→ Common Stock (50 underlying) - Tax Payment
Common Stock
2016-05-01$77.35/sh−519$40,145→ 43,881 total
Holdings
- 1,805(indirect: By 401(k))
Common Stock
Footnotes (6)
- [F1]Represents shares withheld from the reporting person solely to satisfy tax obligations arising from the vesting of restricted stock units granted on 05/01/2012, of which one-third vested on 05/01/2016.
- [F2]The number of shares in this column has been adjusted from the reporting person's previous Form 4 to account for dividend reinvestment.
- [F3]The information in this report is based on a 401(k) Plan statement dated as of 03/31/2016.
- [F4]Each phatom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock.
- [F5]This total includes 33 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $77.72 and 17 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.
- [F6]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.
Documents
Issuer
CATERPILLAR INC
CIK 0000018230
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0000018230
Filing Metadata
- Form type
- 4
- Filed
- May 2, 8:00 PM ET
- Accepted
- May 3, 8:04 PM ET
- Size
- 8.6 KB