Form Type: 4

SEC EDGAR Link
Accession Number:0000018230-19-000241
Date:2019-09-07
Issuer: CATERPILLAR INC (CAT)
Original Submission Date:

Reporting Person:

BONFIELD ANDREW R 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
COMMON STOCK 2019-09-07 F 5,883 d $125.30 21,060 direct
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
Footnotes
IDfootnote
f1 represents shares withheld from the reporting person to satisfy tax obligations arising from the vesting of restricted stock units granted on september 7, 2018.
f2 includes adjustments for dividends accrued.
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