CATERPILLAR INC 4
4 · CATERPILLAR INC · Filed May 3, 2016
Insider Transaction Report
Form 4
BUDA JAMES B
VP, General Counsel, Secy.
Transactions
- Award
Phantom Stock Units
2016-04-29$77.72/sh+50$3,886→ 30,004 total→ Common Stock (50 underlying) - Tax Payment
Common Stock
2016-05-01$77.35/sh−519$40,145→ 43,881 total
Holdings
- 1,805(indirect: By 401(k))
Common Stock
Footnotes (6)
- [F1]Represents shares withheld from the reporting person solely to satisfy tax obligations arising from the vesting of restricted stock units granted on 05/01/2012, of which one-third vested on 05/01/2016.
- [F2]The number of shares in this column has been adjusted from the reporting person's previous Form 4 to account for dividend reinvestment.
- [F3]The information in this report is based on a 401(k) Plan statement dated as of 03/31/2016.
- [F4]Each phatom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock.
- [F5]This total includes 33 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $77.72 and 17 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.
- [F6]The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service.