SEC Form 4 · accession 0000018230-15-000268
CATERPILLAR INC · CAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bradley M Halverson
Officer — Group President & CFO
Period of report
Jul 29, 2015
Accepted (ET)
Jul 31, 2015 · 2:45 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 | Jul 29, 2015 | M | 9,935 | $63.04 | A | 22,246 | D | |
| Common Stock | Jul 29, 2015 | D | 8,113 | $77.19 | D | 14,133 | D | |
| Common Stock | Jul 29, 2015 | S | 1,822 | $77.11 | D | 12,311 | D | |
| Common Stock | Jul 29, 2015 | M | 14,092 | $22.17 | A | 26,403 | D | |
| Common Stock | Jul 29, 2015 | D | 4,047 | $77.19 | D | 22,356 | D | |
| Common Stock | Jul 29, 2015 | S | 10,045 | $77.11 | D | 12,311 | D | |
| Common StockF1 | holding | — | — | — | 10,274 | I | Held by 401(k) Plan | |
| Common Stock | holding | — | — | — | 17,480 | I | Held by Mindy Halverson Trust |
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 | Jul 29, 2015 | M | 9,935 | D | Mar 2, 2010 | Mar 2, 2017 | Common Stock | 9,935 | 0 | D |
| Stock Appreciation Right | $22.17 | Jul 29, 2015 | M | 14,092 | D | Mar 2, 2012 | Mar 2, 2019 | Common Stock | 14,092 | 0 | D |
Explanation of responses
- F1The information in this report is based on a 401(k) Plan statement dated as of 06/30/2015.