SEC Form 4 · accession 0000018230-16-000613
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
Jul 28, 2016
Accepted (ET)
Aug 1, 2016 · 5:17 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 | Jul 28, 2016 | M | 9,449 | $57.85 | A | 20,232 | D | |
| Common Stock | Jul 28, 2016 | D | 6,608 | $82.71 | D | 13,624 | D | |
| Common StockF1 | Jul 28, 2016 | S | 2,841 | $82.73 | D | 10,783 | D | |
| Common StockF2 | holding | — | — | — | 10,784 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation Right | $57.85 | Jul 28, 2016 | M | 9,449 | D | Mar 1, 2013 | Mar 1, 2020 | Common Stock | 9,449 | 0 | D |
| Phantom Stock UnitsF4,F3,F5 | — | Jul 29, 2016 | A | 72 | A | — | — | Common Stock | 72 | 13,277 | D |
Explanation of responses
- F1The sale price reported in Column 4 is a weighted average sale price. The corresponding shares were sold in multiple transactions at prices ranging from $82.73 to $82.736, inclusive. The reporting person undertakes to provide to Caterpillar Inc., any security holder of Caterpillar Inc., or the staff of Securities and Exchange Commission, upon request, full information.
- F2The information in this report is based on a 401(k) Plan statement dated as of 06/30/2016.
- F3Each phatom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock.
- F4This total includes 48 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $82.76 and 24 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.
- F5The 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.