SEC Form 4 · accession 0000018230-16-000477
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 18, 2016
Accepted (ET)
Mar 22, 2016 · 1:40 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 | 50,884 | $63.04 | A | 246,721 | D | |
| Common Stock | Mar 18, 2016 | D | 42,323 | $75.79 | D | 204,398 | D | |
| Common Stock | Mar 18, 2016 | F | 3,912 | $75.79 | D | 200,486 | D | |
| Common Stock | Mar 18, 2016 | G | 1,847 | $0.00 | D | 198,639 | D | |
| Common StockF1 | 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 18, 2016 | M | 50,884 | D | Mar 2, 2010 | Mar 2, 2017 | Common Stock | 50,884 | 0 | D |
Explanation of responses
- F1The information in this report is based on a 401(k) Plan statement dated as of 12/31/2015.