SEC Form 4 · accession 0000018230-16-000723
CATERPILLAR INC · CAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jananne A. Copeland
Officer — Chief Accounting Officer
Period of report
Nov 9, 2016
Accepted (ET)
Nov 14, 2016 · 1:08 pm EST
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 | Nov 9, 2016 | M | 3,886 | $73.20 | A | 6,390 | D | |
| Common Stock | Nov 9, 2016 | D | 3,120 | $91.17 | D | 3,270 | D | |
| Common StockF1 | Nov 9, 2016 | S | 766 | $91.22 | D | 2,504 | D | |
| Common Stock | Nov 9, 2016 | M | 5,408 | $22.17 | A | 7,912 | D | |
| Common Stock | Nov 9, 2016 | D | 1,315 | $91.17 | D | 6,597 | D | |
| Common StockF1 | Nov 9, 2016 | S | 4,093 | $91.22 | D | 2,504 | D | |
| Common StockF2 | holding | — | — | — | 4,189 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation Right | $73.20 | Nov 9, 2016 | M | 3,886 | D | Mar 3, 2011 | Mar 3, 2018 | Common Stock | 3,886 | 0 | D |
| Stock Appreciation Right | $22.17 | Nov 9, 2016 | M | 5,408 | D | Mar 2, 2012 | Mar 2, 2019 | Common Stock | 5,408 | 0 | 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 $91.22 to $91.225, inclusive. The reporting person undertakes to provide Caterpillar Inc., any security holder of Caterpillar Inc., or the staff of the Securities and Exchange Commission, upon request, full information.
- F2The information in this report is based on a 401(k) Plan statement dated as of 09/30/2016.