SEC Form 4 · accession 0000018230-16-000620
CATERPILLAR INC · CAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Douglas R Oberhelman
Officer — CEO & Chairman of the Board
Period of report
Jul 29, 2016
Accepted (ET)
Aug 2, 2016 · 5:56 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 22, 2016 | G | 1,800 | $0.00 | D | 196,639 | D | |
| Common StockF1 | holding | — | — | — | 35,166 | 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 UnitsF3,F2,F4 | — | Jul 29, 2016 | A | 145 | A | — | — | Common Stock | 145 | 71,043 | D |
Explanation of responses
- F1The information in this report is based on a 401(k) Plan statement dated as of 06/30/2016.
- F2Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock.
- F3This total includes 97 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 48 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.