SEC Form 4 · accession 0000018230-16-000505
CATERPILLAR INC · CAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Juan Gallardo
Director
Period of report
Apr 22, 2016
Accepted (ET)
Apr 26, 2016 · 4:46 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 | Apr 22, 2016 | M | 7,000 | $66.77 | A | 276,472 | D | |
| Common Stock | Apr 22, 2016 | D | 5,977 | $78.19 | D | 270,495 | D | |
| Common Stock | Apr 22, 2016 | F | 307 | $78.19 | D | 270,188 | 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 | $66.77 | Apr 22, 2016 | M | 7,000 | D | Jun 14, 2009 | Jun 14, 2016 | Common Stock | 7,000 | 0 | D |