Form Type: 4

SEC EDGAR Link
Accession Number:0000018230-19-000236
Date:2019-08-28
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
PHANTOM STOCK UNITS 0.0 2019-08-28 deemed execution date I 9,413 (a) common stock 9,413 $0.00 31,683 direct
Footnotes
IDfootnote
f1 each phantom stock unit under the caterpillar inc. supplemental deferred compensation plan as reported is the economic equivalent of one share of caterpillar inc. common stock.
f2 the phantom stock units are settled 100% in cash upon the reporting person's retirement or separation from service.
f3 includes adjustments for dividends accrued. also adjusted to correct total holdings after the transactions reported on forms 4 filed on july 31, 2015, november 16, 2015 and december 2, 2015.
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