CATERPILLAR INC 4
4 · CATERPILLAR INC · Filed May 1, 2017
Insider Transaction Report
Form 4
BUDA JAMES B
VP, General Counsel, Secy.
Transactions
- Award
Phantom Stock Units
2017-04-28$102.26/sh+33$3,375→ 30,772 total→ Common Stock (33 underlying)
Footnotes (3)
- [F1]Each phatom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock.
- [F2]This total includes 22 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $102.26 and 11 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.