0000018230-18-000160.txt : 20180608 0000018230-18-000160.hdr.sgml : 20180608 20180608190347 ACCESSION NUMBER: 0000018230-18-000160 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180601 FILED AS OF DATE: 20180608 DATE AS OF CHANGE: 20180608 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Younessi Ramin CENTRAL INDEX KEY: 0001743079 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 18890725 MAIL ADDRESS: STREET 1: 510 LAKE COOK ROAD STREET 2: SUITE 100 CITY: DEERFIELD STATE: IL ZIP: 60015 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 3 1 wf-form3_152849900323086.xml FORM 3 X0206 3 2018-06-01 0 0000018230 CATERPILLAR INC CAT 0001743079 Younessi Ramin 510 LAKE COOK ROAD SUITE 100 DEERFIELD IL 60015 0 1 0 0 Group President Common Stock 20198 D Employee Stock Options 74.77 2026-03-07 Common Stock 12803.0 D Employee Stock Options 95.66 2027-03-06 Common Stock 30554.0 D Employee Stock Options 151.12 2028-03-05 Common Stock 19702.0 D Phantom Stock Units Common Stock 225.0 D The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on 3/7/2016, 3/6/2017 and 3/5/2018, respectively, and vest equally in 1/3 increments on each of the first, second and third anniversaries of the grant date. The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan (the "Plan") and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Each Phantom Stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. /s/ Barbara Thomas, POA for Ramin Younessi 2018-06-08