SEC Form 4 · accession 0000018230-16-000514
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
Apr 29, 2016
Accepted (ET)
May 3, 2016 · 7:24 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 29, 2016 | S | 184 | $78.08 | D | 17,296 | I | Held by Mindy Halverson Trust |
| Common StockF1 | May 1, 2016 | F | 260 | $77.35 | D | 12,051 | D | |
| Common Stock | May 3, 2016 | S | 694 | $76.53 | D | 11,357 | D | |
| Common StockF2 | holding | — | — | — | 10,660 | I | Held by 401(k) plan |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents shares withheld from the reporting person solely to satisfy tax obligations arising from the vesting of restricted stock units granted on 05/01/2012, of which one-third vested on 05/01/2016.
- F2The information in this report is based on a 401(k) Plan statement dated as of 03/31/2016.