SEC Form 4 · accession 0000018230-16-000527
CATERPILLAR INC · CAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James B Buda
Officer — Executive Vice President
Period of report
Apr 29, 2016
Accepted (ET)
May 3, 2016 · 8:04 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 1, 2016 | F | 519 | $77.35 | D | 43,881 | D | |
| Common StockF3 | holding | — | — | — | 1,805 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom Stock UnitsF5,F4,F6 | — | Apr 29, 2016 | A | 50 | A | — | — | Common Stock | 50 | 30,004 | 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 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.
- F4Each phatom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock.
- F5This total includes 33 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $77.72 and 17 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.
- F6The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service.