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Ownership Document
|
| Schema Version: X0306 |
| Document Type: 4 |
| Period of Report: 3/11/20 |
| Not Subject to Section 16: 0 |
| Issuer: |
| Issuer CIK: 18230 |
| Issuer Name: CATERPILLAR INC |
| Issuer Trading Symbol: CAT |
| Reporting Owner: |
| Reporting Owner ID: |
| | Owner CIK: 1608229 |
| | Owner Name: Johnson Denise C |
| Reporting Owner Address: |
| | Owner Street 1: 510 LAKE COOK ROAD, SUITE 100 |
| | Owner Street 2: |
| | Owner City: DEERFIELD |
| | Owner State: IL |
| | Owner ZIP Code: 60015 |
| | Owner State Description: |
| Reporting Owner Relationship: |
| | Is Director? No |
| | Is Officer? Yes |
| | Is Ten Percent Owner? No |
| | Is Other? No |
| | Officer Title: Group President |
| | Other Text: |
| Non-Derivative Table: |
| Derivative Table: |
| Derivative Transaction: |
| | Security Title: |
| | | Value: Phantom Stock Units |
| | Conversion or Exercise Price: |
| | | Footnote ID: F1 |
| | Transaction Date: |
| | | Value: 3/11/20 |
| | Transaction Coding: |
| | | Transaction Form Type: 4 |
| | | Transaction Code: A |
| | | Equity Swap Involved? No |
| | Transaction Amounts: |
| | | Transaction Shares: |
| Value: 3,003 |
| Footnote ID: F2 |
| | | Transaction Price Per Share: |
| Value: 100.69 |
| | | Transaction Acquired-Disposed Code: |
| Value: A |
| | Exercise Date: |
| | | Footnote ID: F3 |
| | Expiration Date: |
| | | Footnote ID: F3 |
| | Underlying Security: |
| | | Underlying Security Title: |
| Value: Common Stock |
| | | Underlying Security Shares: |
| Value: 3,003.0 |
| | Post-Transaction Amounts: |
| | | Shares Owned Following Transaction: |
| Value: 22,675 |
| Footnote ID: F4 |
| | Ownership Nature: |
| | | Direct or Indirect Ownership: |
| Value: D |
| Footnotes: |
| Footnote - F1: 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. |
| Footnote - F2: This total includes 2503 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $100.69 and 500 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. |
| Footnote - F3: The phantom stock units are to be settled 100% in cash upon the reporting person's retirement or separation from service. |
| Footnote - F4: Includes dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund 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. |
| Remarks: |
| Owner Signature: |
| Signature Name: By: /s/ Barbara Thomas, POA for Denise C. Johnson |
| Signature Date: 3/12/20 |
