SEC Form 4 · accession 0000018230-16-000626
CATERPILLAR INC · CAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas A Pellette
Officer — Group President
Period of report
Jul 29, 2016
Accepted (ET)
Aug 2, 2016 · 6:11 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 29, 2016 | M | 2,290 | $63.04 | A | 3,359 | D | |
| Common Stock | Jul 29, 2016 | D | 1,746 | $82.64 | D | 1,613 | D | |
| Common Stock | Jul 29, 2016 | F | 169 | $82.64 | D | 1,444 | D | |
| Common StockF1 | holding | — | — | — | 11,213 | I | Held by 401(k) Plan | |
| Common Stock | holding | — | — | — | 2,979 | I | Held by Pellette Family 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 | $63.04 | Jul 29, 2016 | M | 2,290 | D | Mar 2, 2010 | Mar 2, 2017 | Common Stock | 2,290 | 0 | D |
Explanation of responses
- F1The information in this report is based on a 401(k) Plan statement dated as of 06/30/2016.