Filing Details

Accession Number:
0000018230-17-000233
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-07-31 20:02:26
Reporting Period:
2017-07-27
Filing Date:
2017-07-31
Accepted Time:
2017-07-31 20:02:26
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
1608229 C Denise Johnson 100 N.e. Adams Street
Peoria IL 61629
Group President 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 2017-07-27 17,141 $89.75 24,149 No 4 M Direct
Common Stock Disposition 2017-07-27 17,141 $114.02 7,008 No 4 S Direct
Common Stock Acquisiton 2017-07-27 25,152 $96.31 32,160 No 4 M Direct
Common Stock Disposition 2017-07-27 25,152 $114.02 7,008 No 4 S Direct
Common Stock Acquisiton 2017-07-27 31,888 $83.00 38,896 No 4 M Direct
Common Stock Disposition 2017-07-27 31,888 $144.02 7,008 No 4 S Direct
Common Stock Acquisiton 2017-07-27 14,778 $74.77 21,786 No 4 M Direct
Common Stock Disposition 2017-07-27 14,788 $114.02 7,008 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
No 4 M Direct
No 4 S Direct
No 4 M Direct
No 4 S Direct
No 4 M Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Employee Stock Option Disposition 2017-07-27 17,141 $0.00 17,141 $89.75
Common Stock Employee Stock Option Disposition 2017-07-27 25,152 $0.00 25,152 $96.31
Common Stock Employee Stock Option Disposition 2017-07-27 31,888 $0.00 31,888 $83.00
Common Stock Employee Stock Option Disposition 2017-07-27 14,778 $0.00 14,788 $74.77
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2016-03-04 2023-03-04 No 4 M Direct
0 2017-03-03 2024-03-03 No 4 M Direct
15,944 2025-03-02 No 4 M Direct
29,554 2026-03-07 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 916 Indirect Held by Jerry Johnson Trust
Common Stock 3,338 Indirect Held by 401(k) Plan
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 $113.815 to $114.10, inclusive. The reporting person undertakes to provide Caterpillar Inc., any security holder of Caterpillar Inc., or the staff of the 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 06/30/2017.
  3. Stock options vest equally in 1/3 increments beginning on the first anniversay of the grant date.