CATERPILLAR INC 4
4 · CATERPILLAR INC · Filed Dec 1, 2016
Insider Transaction Report
Form 4
OBERHELMAN DOUGLAS R
Group President
Transactions
- Award
Phantom Stock Units
2016-11-30$95.56/sh+126$12,041→ 71,595 total→ Common Stock (126 underlying)
Footnotes (3)
- [F1]Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock.
- [F2]This total includes 84 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $95.56 and 42 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 retirment or separation from service.