SEC Form 4 · accession 0000018230-15-000144
CATERPILLAR INC · CAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Edward J Rapp
Officer — Group President
Period of report
Apr 1, 2015
Accepted (ET)
Apr 2, 2015 · 3:51 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000018230
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Apr 1, 2015 | M | 391 | $0.00 | A | 73,071 | D | |
| Common Stock | Apr 1, 2015 | F | 179 | $79.955 | D | 72,892 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2 | — | Apr 1, 2015 | M | 391 | D | — | — | Common Stock | 391 | 0 | D |
Explanation of responses
- F1Each restricted stock unit (RSU) represents the right to receive one share of Caterpillar Inc. common stock upon vesting of such RSUs..
- F2RSUs vest in three equal annual installments beginning on April 1, 2013. On April 1, 2015, the reporting person's RSUs were settled for an equal number of shares of Caterpillar Inc. common stock.