GOODE DAVID R 4
4 · CATERPILLAR INC · Filed Dec 4, 2012
Insider Transaction Report
Form 4
GOODE DAVID R
Director
Transactions
- Award
Phantom Stock Units
2012-11-30+499→ 53,984 total→ Common (499 underlying)
Holdings
- 32,933
Common
- 37,541(indirect: By Trust)
Common
Footnotes (3)
- [F1]Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock.
- [F2]The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement.
- [F3]The units were valued in November 2012 on the basis of the issuer's common stock price, 166 units at a price of $85.66 and 333 units at $83.18..