Accession Number: | 0000018230-19-000236 |
Date: | 2019-08-28 |
Issuer: | CATERPILLAR INC (CAT) |
Original Submission Date: |
UMPLEBY III DONALD J
510 LAKE COOK ROAD, SUITE 100
DEERFIELD, IL 60015
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
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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 Exercisable | Expiration 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 |
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PHANTOM STOCK UNITS | 0.0 | 2019-08-28 | deemed execution date | I | 9,413 (a) | common stock 9,413 | $0.00 | 31,683 | direct |
ID | footnote |
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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. |