0000018230-17-000321.txt : 20171227 0000018230-17-000321.hdr.sgml : 20171227 20171227205055 ACCESSION NUMBER: 0000018230-17-000321 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171226 FILED AS OF DATE: 20171227 DATE AS OF CHANGE: 20171227 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Johnson Denise C CENTRAL INDEX KEY: 0001608229 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 171276957 MAIL ADDRESS: STREET 1: C/O CATERPILLAR, INCORPORATED STREET 2: 901 WEST WASHINGTON, CV41110 CITY: EAST PEORIA STATE: IL ZIP: 61630 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CATERPILLAR INC CENTRAL INDEX KEY: 0000018230 STANDARD INDUSTRIAL CLASSIFICATION: CONSTRUCTION MACHINERY & EQUIP [3531] IRS NUMBER: 370602744 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 100 NE ADAMS ST CITY: PEORIA STATE: IL ZIP: 61629 BUSINESS PHONE: 3096751000 MAIL ADDRESS: STREET 1: 100 NE ADAMS ST CITY: PEORIA STATE: IL ZIP: 61629 FORMER COMPANY: FORMER CONFORMED NAME: CATERPILLAR TRACTOR CO DATE OF NAME CHANGE: 19860623 4 1 wf-form4_151442584040803.xml FORM 4 X0306 4 2017-12-26 0 0000018230 CATERPILLAR INC CAT 0001608229 Johnson Denise C 100 N.E. ADAMS STREET PEORIA IL 61629 0 1 0 0 Group President Phantom Stock Units 2017-12-26 4 A 0 68 156.44 A Common Stock 68.0 4373 D Each Phantom Stock unit is equivalent to one share of Caterpillar Inc. common stock. This total includes 45 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $156.44 and 23 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. 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. By: /s/ Barbara Thomas, POA for Denise C. Johnson 2017-12-27