Statement of Changes in Beneficial Ownership (4)
2021年12月28日 - 06:06AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5
obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL
OWNERSHIP OF SECURITIES
|
OMB
APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response... 0.5 |
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Filed pursuant to Section 16(a) of the
Securities Exchange Act of 1934 or Section 30(h) of the Investment
Company Act of 1940
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1. Name
and Address of Reporting Person *
Johnson Denise C |
2. Issuer Name and Ticker or Trading
Symbol CATERPILLAR INC [ CAT ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)_____
Director _____
10% Owner
__X__ Officer (give title
below) _____ Other
(specify below)
Group President |
(Last)
(First)
(Middle)
510 LAKE COOK ROAD, SUITE 100 |
3. Date of Earliest Transaction (MM/DD/YYYY)
12/23/2021
|
(Street)
DEERFIELD, IL 60015
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line) _X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
|
1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
Amount |
(A) or (D) |
Price |
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
|
1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative
Security |
3. Trans. Date |
3A. Deemed Execution Date, if any |
4. Trans. Code
(Instr. 8) |
5. Number of Derivative Securities Acquired (A) or
Disposed of (D)
(Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date |
7. Title and Amount of Securities Underlying
Derivative Security
(Instr. 3 and 4) |
8. Price of Derivative Security
(Instr. 5) |
9. Number of derivative Securities Beneficially
Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct
(D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Phantom Stock Units |
(1) |
12/23/2021 |
|
A |
|
41 (2) |
|
(3) |
(3) |
Common Stock |
41.0 |
$206.20 |
22949 (4) |
D |
|
Explanation of
Responses: |
(1) |
Each phantom stock unit
under the company's non-qualified deferred compensation plans as
reported is generally the economic equivalent of one share of
Caterpillar Inc. common stock. |
(2) |
This total includes 21
shares that were credited to the reporting person's account under
the Supplemental Deferred Compensation Plan (the "Plan") at a price
per share of $206.20 and 20 shares that were contributed to the
reporting person's account pursuant to the terms of the Plan for no
consideration. |
(3) |
The phantom stock units are
to be settled 100% in cash upon the reporting person's retirement
or separation from service. |
(4) |
Includes dividends accrued.
Moreover, phantom stock units represent interests in an unfunded
unitized company stock fund comprised of stock and cash, and
therefore the number of phantom stock units the reporting person is
deemed to own may change between any given dates due to differences
in the percentages of cash and stock in the unitized fund on those
dates. |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
|
Director |
10% Owner |
Officer |
Other |
Johnson Denise C
510 LAKE COOK ROAD, SUITE 100
DEERFIELD, IL 60015 |
|
|
Group President |
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Signatures
|
By: /s/ Barbara Thomas, POA for Denise C.
Johnson |
|
12/27/2021 |
**Signature of
Reporting Person |
Date |
Caterpillar (NYSE:CAT)
過去 株価チャート
から 6 2022 まで 7 2022
Caterpillar (NYSE:CAT)
過去 株価チャート
から 7 2021 まで 7 2022