SEC Form 4 · accession 0000018230-16-000536
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
May 31, 2016
Accepted (ET)
Jun 2, 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 | May 31, 2016 | S | 574 | $72.58 | D | 10,783 | D | |
| Common StockF1 | holding | — | — | — | 10,660 | I | Held by 401(k) plan | |
| Common Stock | holding | — | — | — | 17,296 | I | Held by Mindy Halverson Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom Stock UnitsF3,F2,F4 | — | May 31, 2016 | A | 78 | A | — | — | Common Stock | 78 | 13,127 | D |
Explanation of responses
- F1The information in this report is based on a 401(k) Plan statement dated as of 03/31/2016.
- F2Each phatom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock.
- F3This total includes 52 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $72.51and 26 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.
- F4The 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.