CATERPILLAR INC 4
4 · CATERPILLAR INC · Filed Jan 4, 2017
Insider Transaction Report
Form 4
OBERHELMAN DOUGLAS R
Group President
Transactions
- Award
Phantom Stock Units
2016-12-30$92.74/sh+129$11,963→ 71,724 total→ Common Stock (129 underlying)
Footnotes (3)
- [F1]Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock.
- [F2]This total includes 86 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $92.74 and 43 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.