0000018230-19-000117.txt : 20190312 0000018230-19-000117.hdr.sgml : 20190312 20190312165854 ACCESSION NUMBER: 0000018230-19-000117 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190308 FILED AS OF DATE: 20190312 DATE AS OF CHANGE: 20190312 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Long Suzette M CENTRAL INDEX KEY: 0001698572 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 19675739 MAIL ADDRESS: STREET 1: 510 LAKE COOK ROAD STREET 2: SUITE 100 CITY: DEERFILED STATE: IL ZIP: 60015 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CATERPILLAR INC CENTRAL INDEX KEY: 0000018230 STANDARD INDUSTRIAL CLASSIFICATION: CONSTRUCTION MACHINERY & EQUIP [3531] IRS NUMBER: 370602744 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 510 LAKE COOK ROAD STREET 2: SUITE 100 CITY: DEERFIELD STATE: IL ZIP: 60015 BUSINESS PHONE: 2245514000 MAIL ADDRESS: STREET 1: 510 LAKE COOK ROAD STREET 2: SUITE 100 CITY: DEERFIELD STATE: IL ZIP: 60015 FORMER COMPANY: FORMER CONFORMED NAME: CATERPILLAR TRACTOR CO DATE OF NAME CHANGE: 19860623 4 1 wf-form4_155242431973475.xml FORM 4 X0306 4 2019-03-08 0 0000018230 CATERPILLAR INC CAT 0001698572 Long Suzette M 510 LAKE COOK ROAD, SUITE 100 DEERFIELD IL 60015 0 1 0 0 General Counsel/Corporate Sec. Phantom Stock Units 2019-03-08 4 A 0 405 0 A Common Stock 405.0 4774 D Phantom Stock Units 2019-03-11 4 A 0 1180 133.11 A Common Stock 1180.0 5954 D Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. The Phantom Stock units were contributed to the reporting person pursuant to the terms of the Caterpillar Inc. Supplemental Deferred Compensation Plan ( the "Plan") for no consideration. 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. This total includes 590 shares that were credited to the reporting person's account under the Plan at a price per share of $133.11 and 590 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. /s/ Barbara Thomas, POA for Suzette M. Long 2019-03-12