0000018230-18-000107.txt : 20180313 0000018230-18-000107.hdr.sgml : 20180313 20180313173409 ACCESSION NUMBER: 0000018230-18-000107 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180309 FILED AS OF DATE: 20180313 DATE AS OF CHANGE: 20180313 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: 18687566 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_152097682303188.xml FORM 4 X0306 4 2018-03-09 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 2018-03-09 4 A 0 125 0 A Common Stock 125.0 4544 D Phantom Stock Units 2018-03-12 4 A 0 2293 0 A Common Stock 2293.0 6837 D Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. 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. This total includes 1911 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $154.50 and 382 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. By: /s/ Barbara Thomas, POA for Denise C. Johnson 2018-03-13