4//SEC Filing
Copeland Jananne A. 4
Accession 0000018230-17-000313
CIK 0000018230other
Filed
Nov 27, 7:00 PM ET
Accepted
Nov 28, 5:40 PM ET
Size
13.2 KB
Accession
0000018230-17-000313
Insider Transaction Report
Form 4
Copeland Jananne A.
Chief Accounting Officer
Transactions
- Award
Phantom Stock Units
2017-11-24$137.39/sh+20$2,748→ 2,875 total→ Common Stock (20 underlying) - Disposition to Issuer
Common Stock
2017-11-24$136.95/sh−2,373$324,982→ 6,535 total - Sale
Common Stock
2017-11-24$136.95/sh−3,247$444,677→ 3,288 total - Exercise/Conversion
Common Stock
2017-11-24$57.85/sh+5,620$325,117→ 8,908 total - Exercise/Conversion
Stock Appreciation Right
2017-11-24+5,620→ 0 totalExercise: $57.85From: 2013-03-01Exp: 2020-03-01→ Common Stock (5,620 underlying)
Holdings
- 4,317(indirect: By 401(k))
Common Stock
Footnotes (5)
- [F1]The sale price reported in Column 4 is a weighted average sale price. The corresponding shares were sold in multiple transcations at prices ranging from $136.94 to $136.95, inclusive. The reporting person undertakes to provide Caterpillar Inc., and any security holder of Caterpiller Inc., or the staff of the Securites and Exchange Commission, upon request, full information.
- [F2]The information in this report is based on a 401(k) Plan statement dated as of 10/31/2017.
- [F3]Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock.
- [F4]This total includes 13 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $137.39 and 7 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.
- [F5]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.
Documents
Issuer
CATERPILLAR INC
CIK 0000018230
Entity typeother
Related Parties
1- filerCIK 0001415606
Filing Metadata
- Form type
- 4
- Filed
- Nov 27, 7:00 PM ET
- Accepted
- Nov 28, 5:40 PM ET
- Size
- 13.2 KB