SEC Form 4 · accession 0000018230-16-000524
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
Apr 29, 2016
Accepted (ET)
May 3, 2016 · 7:49 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 | M | 2,141 | $63.04 | A | 36,431 | D | |
| Common Stock | Apr 29, 2016 | D | 1,726 | $78.16 | D | 34,705 | D | |
| Common Stock | Apr 29, 2016 | F | 129 | $78.16 | D | 34,576 | D | |
| Common StockF1 | May 1, 2016 | F | 260 | $77.35 | D | 34,316 | D | |
| Common StockF2 | holding | — | — | — | 833 | 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 | Apr 29, 2016 | M | 2,141 | D | Mar 2, 2010 | Mar 2, 2017 | Common Stock | 2,141 | 0 | D |
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 3/31/2016.