0000018230-18-000030.txt : 20180129 0000018230-18-000030.hdr.sgml : 20180129 20180129173344 ACCESSION NUMBER: 0000018230-18-000030 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180126 FILED AS OF DATE: 20180129 DATE AS OF CHANGE: 20180129 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: 18556918 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: 510 LAKE COOK ROAD STREET 2: SUITE 100 CITY: DEERFIELD STATE: IL ZIP: 60015 BUSINESS PHONE: 2245514000 MAIL ADDRESS: STREET 1: 510 LAKE COOK ROAD STREET 2: SUITE 100 CITY: DEERFIELD STATE: IL ZIP: 60015 FORMER COMPANY: FORMER CONFORMED NAME: CATERPILLAR TRACTOR CO DATE OF NAME CHANGE: 19860623 4 1 wf-form4_151726520966585.xml FORM 4 X0306 4 2018-01-26 0 0000018230 CATERPILLAR INC CAT 0001608229 Johnson Denise C 510 LAKE COOK ROAD, SUITE 100 DEERFIELD IL 60015 0 1 0 0 Group President Phantom Stock Units 2018-01-26 4 A 0 23 167.06 A Common Stock 23.0 4396 D Each Phantom Stock unit is equivalent to one share of Caterpillar Inc. common stock. This total includes 22 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $167.06 and 1 share that was 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 2018-01-29