Filing Details

Accession Number:
0000018230-16-000613
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-08-01 17:17:46
Reporting Period:
2016-07-28
Filing Date:
2016-08-01
Accepted Time:
2016-08-01 17:17:46
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
18230 Caterpillar Inc CAT Construction Machinery & Equip (3531) 370602744
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1307061 M Bradley Halverson 100 N.e. Adams Street
Peoria IL 61629
Group President & Cfo No Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2016-07-28 9,449 $57.85 20,232 No 4 M Direct
Common Stock Disposition 2016-07-28 6,608 $82.71 13,624 No 4 D Direct
Common Stock Disposition 2016-07-28 2,841 $82.73 10,783 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 D Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Stock Appreciation Right Disposition 2016-07-28 9,449 $0.00 9,449 $57.85
Common Stock Phantom Stock Units Acquisiton 2016-07-29 72 $82.76 72 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2013-03-01 2020-03-01 No 4 M Direct
13,277 No 4 A Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 10,784 Indirect Held by 401(k) Plan
Common Stock 17,296 Indirect Held by Mindy Halverson Trust
Footnotes
  1. The sale price reported in Column 4 is a weighted average sale price. The corresponding shares were sold in multiple transactions at prices ranging from $82.73 to $82.736, inclusive. The reporting person undertakes to provide to Caterpillar Inc., any security holder of Caterpillar Inc., or the staff of Securities and Exchange Commission, upon request, full information.
  2. The information in this report is based on a 401(k) Plan statement dated as of 06/30/2016.
  3. Each phatom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock.
  4. This total includes 48 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $82.76 and 24 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.
  5. 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.