Accession Number: | 0000018230-20-000241 |
Date: | 2020-09-08 |
Issuer: | CATERPILLAR INC (CAT) |
Original Submission Date: |
JOHNSON DENISE C
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 |
---|---|---|---|---|---|---|---|---|---|
COMMON STOCK | 2020-09-08 | M | 34,496 | a | $95.66 | 53,214 | direct | ||
COMMON STOCK | 2020-09-08 | F | 22,269 | d | $148.18 | 30,945 | direct | ||
COMMON STOCK | 2020-09-08 | S | 19,549 | d | $146.74 | 11,396 | direct |
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 |
---|---|---|---|---|---|---|---|---|---|---|---|---|
EMPLOYEE STOCK OPTIONS | 95.66 | 2020-09-08 | deemed execution date | M | 34,496 (d) | 2027-03-06 | common stock 34,496 | $95.66 | 0 | direct |
ID | footnote |
---|---|
f1 | the stock options were granted pursuant to the caterpillar inc. 2014 long-term incentive plan on march 6, 2017 and vest equally in 1/3 increments on each of the first, second and third anniversaries of the grant date. |