SEC Form 4 · accession 0000018230-15-000169
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
May 1, 2015
Accepted (ET)
May 5, 2015 · 5:34 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 | May 2, 2015 | M | 334 | $0.00 | A | 70,850 | D | |
| Common Stock | May 1, 2015 | F | 382 | $87.52 | D | 70,468 | D | |
| Common Stock | May 2, 2015 | F | 153 | $87.565 | D | 70,315 | D | |
| Common StockF1 | holding | — | — | — | 2,475 | I | Held by 401(k) Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF2,F3 | — | May 2, 2015 | M | 334 | D | — | — | Common Stock | 334 | 332 | D |
Explanation of responses
- F1The information in this report is based on a 401(k) Plan statement dated as of 03/31/2015.
- F2Each restricted stock unit (RSU) represents the right to receive one share of Caterpillar Inc. common stock upon vesting of such RSUs.
- F3RSUs vest in three equal annual installments beginning on May 2, 2014. On May 2, 2015, the reporting person's RSUs were settled for an equal number of shares of Caterpillar Inc. common stock.