CATERPILLAR INC 4
4 · CATERPILLAR INC · Filed Sep 2, 2016
Insider Transaction Report
Form 4
BUDA JAMES B
VP, General Counsel, Secy.
Transactions
- Award
Phantom Stock Units
2016-08-31$81.95/sh+84$6,884→ 30,359 total→ Common Stock (84 underlying)
Footnotes (3)
- [F1]Each phatom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock.
- [F2]This total includes 56 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $81.95 and 28 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.
- [F3]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.