Filing Details
- Accession Number:
- 0000018230-17-000251
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-08-07 18:18:19
- Reporting Period:
- 2017-08-04
- Filing Date:
- 2017-08-07
- Accepted Time:
- 2017-08-07 18:18:19
- 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 |
|---|---|---|---|---|---|---|---|
| 1698572 | M Suzette Long | 100 Ne Adams Street Peoria IL 61629 | Int. Executive Vice President | No | Yes | No | Yes |
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 | 2017-08-04 | 3,025 | $110.09 | 18,188 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-08-04 | 2,838 | $114.30 | 15,350 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2017-08-04 | 4,052 | $89.75 | 19,402 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-08-04 | 3,497 | $114.30 | 15,905 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2017-08-04 | 1,756 | $96.31 | 17,661 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-08-04 | 1,585 | $114.30 | 16,076 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2017-08-04 | 4,438 | $83.00 | 20,514 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-08-04 | 3,650 | $114.30 | 16,864 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2017-08-04 | 2,961 | $74.77 | 19,825 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-08-04 | 2,289 | $114.30 | 17,536 | 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 | |
| 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 | 2017-08-04 | 3,025 | $0.00 | 3,025 | $110.09 |
| Common Stock | Employee Stock Option | Disposition | 2017-08-04 | 4,052 | $0.00 | 4,052 | $89.75 |
| Common Stock | Employee Stock Option | Disposition | 2017-08-04 | 1,756 | $0.00 | 1,756 | $96.31 |
| Common Stock | Employee Stock Option | Disposition | 2017-08-04 | 4,438 | $0.00 | 4,438 | $83.00 |
| Common Stock | Employee Stock Option | Disposition | 2017-08-04 | 2,961 | $0.00 | 2,961 | $74.77 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2015-03-05 | 2022-03-05 | No | 4 | M | Direct |
| 0 | 2016-03-04 | 2023-03-04 | No | 4 | M | Direct |
| 0 | 2017-03-03 | 2024-03-03 | No | 4 | M | Direct |
| 2,219 | 2025-03-02 | No | 4 | M | Direct | |
| 5,922 | 2026-03-07 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 444 | Indirect | Held by 401(k) Plan |
Footnotes
- 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 $114.09 to $114.58, 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.
- The information in this report is based on a 401(k) Plan statement dated as of 06/30/2017.
- The stock options vest equally in 1/3 increments beginning on the first anniversary of the grant date.
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