SEC Form 4 · accession 0000018230-15-000179
CATERPILLAR INC · CAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel M Dickinson
Director
Period of report
May 8, 2015
Accepted (ET)
May 12, 2015 · 2:31 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 8, 2015 | M | 2,917 | $63.04 | A | 14,188 | D | |
| Common Stock | May 8, 2015 | D | 2,110 | $87.11 | D | 12,078 | D | |
| Common Stock | May 8, 2015 | S | 807 | $87.095 | D | 11,271 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation Right | $63.04 | May 8, 2015 | M | 2,917 | D | Mar 2, 2010 | Mar 2, 2017 | Common Stock | 2,917 | 2,916 | D |