SEC Form 4 · accession 0000018230-15-000146
CATERPILLAR INC · CAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Juan Gallardo
Director
Period of report
Apr 8, 2015
Accepted (ET)
Apr 9, 2015 · 10:39 am 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 8, 2015 | M | 8,000 | $44.895 | A | 255,238 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock OptionF1 | $44.895 | Apr 8, 2015 | M | 8,000 | D | — | Apr 13, 2015 | Common Stock | 8,000 | 0 | D |
Explanation of responses
- F1Exercisable in thirds beginning on the first anniversary of the initial grant date of April 13,2005. (1/3 after one year; 1/3 after two years; 1/3 after three years).