SEC Form 4 · accession 0000018230-16-000425
CATERPILLAR INC · CAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Douglas R Oberhelman
Officer — CEO & Chairman of the Board · Director
Period of report
Mar 4, 2016
Accepted (ET)
Mar 8, 2016 · 7:01 pm EST
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 | Mar 4, 2016 | M | 75,000 | $63.04 | A | 265,047 | D | |
| Common Stock | Mar 4, 2016 | D | 64,990 | $72.75 | D | 200,057 | D | |
| Common StockF1 | Mar 4, 2016 | F | 4,220 | $72.75 | D | 195,837 | D | |
| Common StockF2 | holding | — | — | — | 33,956 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation Right | $63.04 | Mar 4, 2016 | M | 75,000 | D | Mar 2, 2010 | Mar 2, 2017 | Common Stock | 75,000 | 50,884 | D |
| Employee Stock OptionF3 | $74.77 | Mar 7, 2016 | A | 349,749 | A | — | Mar 7, 2026 | Common Stock | 349,749 | 349,749 | D |
Explanation of responses
- F1The number of shares in this column has been adjusted from the reporting person's previous Form 4 to account for dividend reinvesment.
- F2The information in this report is based on a 401(k) Plan statement dated as of 12/31/2015.
- F3The stock options were granted pursuant to the Caterpollar Inc. 2014 Long-Term Incentive Plan and vest equally in 1/3 increments beginning on the first anniversary of the grant date.