SEC Form 4 · accession 0000018230-16-000653
CATERPILLAR INC · CAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Denise C Johnson
Officer — Group President
Period of report
Sep 1, 2016
Accepted (ET)
Sep 6, 2016 · 6:40 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 | Sep 1, 2016 | F | 285 | $81.29 | D | 6,682 | D | |
| Common Stock | holding | — | — | — | 900 | I | Held by Jerry Johnson Trust | |
| Common StockF2 | holding | — | — | — | 2,733 | I | Held by 401(k) Plan |
Table II — derivative securities
No Table II lines on this filing.
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 09/01/2011.
- F2The information in this report is based on a 401(k) Plan statement dated as of 06/30/2016.