0000018230-19-000007.txt : 20190103 0000018230-19-000007.hdr.sgml : 20190103 20190103121219 ACCESSION NUMBER: 0000018230-19-000007 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181231 FILED AS OF DATE: 20190103 DATE AS OF CHANGE: 20190103 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Ayotte Kelly CENTRAL INDEX KEY: 0001702559 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 19504173 MAIL ADDRESS: STREET 1: C/O NEWS CORPORATION STREET 2: 1211 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10036 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_154653552241912.xml FORM 4 X0306 4 2018-12-31 0 0000018230 CATERPILLAR INC CAT 0001702559 Ayotte Kelly 510 LAKE COOK ROAD, SUITE 100 DEERFIELD IL 60015 1 0 0 0 Phantom Stock Units 2018-12-31 4 A 0 148 126.31 A Common Stock 148.0 765 D Each Phantom Stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. Phantom stock units awarded or acquired in lieu of director cash compensation. The phantom stock units were acquired under the Caterpillar, Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Includes adjustments for dividends accrued. By: /s/ Barbara Thomas, POA for Kelly Ayotte 2019-01-03