Copeland Jananne A. 4

4 · CATERPILLAR INC · Filed Nov 28, 2017

Form 4

Period: 2017-11-24

Chief Accounting Officer

Transactions

Award
Phantom Stock Units
2017-11-24$137.39/sh+20$2,748→ 2,875 total
→ Common Stock (20 underlying)
Disposition to Issuer
Common Stock
2017-11-24$136.95/sh−2,373$324,982→ 6,535 total
Sale
Common Stock
2017-11-24$136.95/sh−3,247$444,677→ 3,288 total
Exercise/Conversion
Common Stock
2017-11-24$57.85/sh+5,620$325,117→ 8,908 total
Exercise/Conversion
Stock Appreciation Right
2017-11-24+5,620→ 0 total
Exercise: $57.85From: 2013-03-01Exp: 2020-03-01→ Common Stock (5,620 underlying)

Holdings

Footnotes (5)

[F1]The sale price reported in Column 4 is a weighted average sale price. The corresponding shares were sold in multiple transcations at prices ranging from $136.94 to $136.95, inclusive. The reporting person undertakes to provide Caterpillar Inc., and any security holder of Caterpiller Inc., or the staff of the Securites and Exchange Commission, upon request, full information.
[F2]The information in this report is based on a 401(k) Plan statement dated as of 10/31/2017.
[F3]Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock.
[F4]This total includes 13 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $137.39 and 7 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.
[F5]The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirment or separation from service.

Documents

1 file