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