0000018230-18-000223.txt : 20180730
0000018230-18-000223.hdr.sgml : 20180730
20180730142624
ACCESSION NUMBER: 0000018230-18-000223
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180726
FILED AS OF DATE: 20180730
DATE AS OF CHANGE: 20180730
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Younessi Ramin
CENTRAL INDEX KEY: 0001743079
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-00768
FILM NUMBER: 18977200
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
4
1
wf-form4_153297516779714.xml
FORM 4
X0306
4
2018-07-26
0
0000018230
CATERPILLAR INC
CAT
0001743079
Younessi Ramin
510 LAKE COOK ROAD
SUITE 100
DEERFIELD
IL
60015
0
1
0
0
Group President
Phantom Stock Units
2018-07-26
4
A
0
9
142.58
A
Common Stock
9.0
234
D
Each Phantom Stock unit is the economic equivalent of one share of Caterpillar Inc. common stock.
This total includes 5 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $142.58 and 4 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.
/s/ Barbara Thomas, POA for Ramin Younessi
2018-07-30