SEC Form 4 · accession 0000018230-16-000522
CATERPILLAR INC · CAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David P Bozeman
Officer — Senior Vice President
Period of report
May 2, 2016
Accepted (ET)
May 3, 2016 · 7:44 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 StockF1,F2 | May 2, 2016 | F | 52 | $77.35 | D | 24,260 | D | |
| Common StockF3 | holding | — | — | — | 1,298 | 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 05/02/2011, of which one-third vested on 05/02/2016.
- F2The number of shares in this column has been adjusted from the reporting person's previous Form 4 to account for dividend reinvestment.
- F3The information in this report is based on a 401(k) Plan statement dated as of 03/31/2016.