Form Type: 4

SEC EDGAR Link
Accession Number:0000018230-18-000097
Date:2018-03-05
Issuer: CATERPILLAR INC (CAT)
Original Submission Date:

Reporting Person:

UMPLEBY III DONALD J
510 LAKE COOK ROAD, SUITE 100
DEERFIELD, IL 60015

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
EMPLOYEE STOCK OPTION 151.12 2018-03-05 deemed execution date A 182,944 (a) 2028-03-05 common stock 182,944 $151.12 182,944 direct
Footnotes
IDfootnote
f1 the stock options were granted pursuant to the caterpillar inc. 2014 long-term incentive plan and vest equally in 1/3 increments beginning on the first anniversary of the grant date.
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