SEC Contract Filing

Filing Date: 2017-02-15

Document Content:
<DOCUMENT>
<TYPE>EX-10.18
<SEQUENCE>6
<FILENAME>cat_exx1018x12312016.htm
<DESCRIPTION>EXHIBIT 10.18
<TEXT>
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<div><a name="sc0dc8fefbc2e4a029cfd6477bd80a6ff"></a></div><div><div style="line-height:120%;font-size:10pt;"><font style="font-family:inherit;font-size:10pt;"><br></font></div></div><div><br></div><div style="line-height:120%;text-align:right;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;font-weight:bold;">EXHIBIT 10.18</font></div><div style="line-height:120%;text-align:center;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;"><br></font></div><div style="line-height:120%;text-align:center;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;font-weight:bold;">Caterpillar Inc.</font></div><div style="line-height:120%;text-align:center;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;font-weight:bold;">2014 Long-Term Incentive Plan</font></div><div style="line-height:120%;text-align:center;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;font-weight:bold;">Performance-Based Restricted Stock Unit Award Notice</font></div><div style="line-height:120%;text-align:left;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;font-weight:bold;">&#160;</font></div><div style="line-height:120%;text-align:justify;font-size:10pt;"><font style="font-family:inherit;font-size:10pt;"><br></font></div><div style="line-height:120%;padding-bottom:16px;text-align:justify;font-size:11pt;"><font style="font-family:inherit;font-size:11pt;">The Board of Directors of Caterpillar Inc. (the &#8220;</font><font style="font-family:inherit;font-size:11pt;text-decoration:underline;">Company</font><font style="font-family:inherit;font-size:11pt;">&#8221;) has granted you, [Employee Name], [Number] restricted stock units (&#8220;</font><font style="font-family:inherit;font-size:11pt;text-decoration:underline;">RSUs</font><font style="font-family:inherit;font-size:11pt;">&#8221;) on [Grant Date] (the &#8220;</font><font style="font-family:inherit;font-size:11pt;text-decoration:underline;">Grant Date</font><font style="font-family:inherit;font-size:11pt;">&#8221;) pursuant to, and subject to the restrictions, terms and conditions set forth in, the Caterpillar Inc. 2014 Long-Term Incentive Plan (the &#8220;</font><font style="font-family:inherit;font-size:11pt;text-decoration:underline;">Plan</font><font style="font-family:inherit;font-size:11pt;">&#8221;). This Award Notice and the Plan specify the material terms and provisions applicable to such restricted stock unit award (the &#8220;</font><font style="font-family:inherit;font-size:11pt;text-decoration:underline;">RSU Award</font><font style="font-family:inherit;font-size:11pt;">&#8221;). Capitalized terms not defined herein shall have the meanings specified in the Plan.</font></div><div style="line-height:120%;text-align:justify;font-size:11pt;"><font style="font-family:inherit;font-size:11pt;font-weight:bold;text-decoration:underline;">Vesting</font></div><div style="line-height:120%;padding-bottom:16px;text-align:justify;font-size:11pt;"><font style="font-family:inherit;font-size:11pt;">Except to the extent the RSUs are forfeited upon your termination of employment as provided below, the RSU Award will vest on December 31, 2019 (the &#8220;</font><font style="font-family:inherit;font-size:11pt;text-decoration:underline;">Vesting Date</font><font style="font-family:inherit;font-size:11pt;">&#8221;) if the Company achieves the performance goal(s) established by the Committee (the &#8220;</font><font style="font-family:inherit;font-size:11pt;text-decoration:underline;">Performance Goals</font><font style="font-family:inherit;font-size:11pt;">&#8221;) for the period beginning on January 1, 2017 and ending on December 31, 2019 (the &#8220;</font><font style="font-family:inherit;font-size:11pt;text-decoration:underline;">Performance Period</font><font style="font-family:inherit;font-size:11pt;">&#8221;), as set forth in Appendix A hereto.</font></div><div style="line-height:120%;padding-bottom:16px;text-align:justify;font-size:11pt;"><font style="font-family:inherit;font-size:11pt;">As soon as administratively practicable, but not later than two and one-half months after the Vesting Date, the Company shall issue or deliver to you, subject to the achievement of the Performance Goals and the other conditions of this Award Notice, unrestricted shares of Common Stock equal to the number of RSUs that become vested, less any shares withheld to satisfy any applicable income and payroll tax withholding requirements. If you terminate employment prior to the date the RSUs have become fully vested for any reason other than Long-Service Separation, Disability, death or in connection with a Change in Control (as described more fully below), all of the unvested RSUs will be forfeited. Your RSU Award is also subject to certain additional forfeiture conditions set forth in Sections 5.16 and 5.17 of the Plan.</font></div><div style="line-height:120%;text-align:justify;font-size:11pt;"><font style="font-family:inherit;font-size:11pt;font-weight:bold;text-decoration:underline;">Voting Rights</font></div><div style="line-height:120%;padding-bottom:16px;text-align:justify;font-size:11pt;"><font style="font-family:inherit;font-size:11pt;">During the period between the Grant Date and the date the RSUs become vested and the shares subject to such RSUs are issued or delivered to you (the &#8220;</font><font style="font-family:inherit;font-size:11pt;text-decoration:underline;">Restriction Period</font><font style="font-family:inherit;font-size:11pt;">&#8221;), you are not entitled to any voting rights with respect to such RS