CATERPILLAR INC 4
4 · CATERPILLAR INC · Filed Oct 4, 2016
Insider Transaction Report
Form 4
BUDA JAMES B
VP, General Counsel, Secy.
Transactions
- Award
Phantom Stock Units
2016-09-30$88.77/sh+78$6,924→ 30,437 total→ Common Stock (78 underlying)
Footnotes (3)
- [F1]Each phatom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock.
- [F2]This total includes 52 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $88.77and 26 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.