SEC Form 4 · accession 0000018230-16-000475
CATERPILLAR INC · CAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
III Donald J Umpleby
Officer — Group President
Period of report
Mar 18, 2016
Accepted (ET)
Mar 22, 2016 · 1:28 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 | Mar 18, 2016 | M | 1,200 | $63.04 | A | 35,351 | D | |
| Common Stock | Mar 18, 2016 | D | 998 | $75.79 | D | 34,353 | D | |
| Common StockF1 | Mar 18, 2016 | F | 63 | $75.79 | D | 34,290 | D | |
| Common StockF2 | holding | — | — | — | 824 | 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 18, 2016 | M | 1,200 | D | Mar 2, 2010 | Mar 2, 2017 | Common Stock | 1,200 | 2,141 | 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 reinvestment.
- F2The information in this report is based on a 401(k) Plan statement dated as of 12/31/2015.