SEC Form 4 · accession 0000018230-16-000725
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
Nov 10, 2016
Accepted (ET)
Nov 14, 2016 · 1:17 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 10, 2016 | M | 55,484 | $73.20 | A | 246,078 | D | |
| Common Stock | Nov 10, 2016 | D | 43,486 | $93.40 | D | 202,592 | D | |
| Common Stock | Nov 10, 2016 | F | 5,483 | $93.40 | D | 197,109 | D | |
| Common StockF1 | holding | — | — | — | 35,424 | 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 10, 2016 | M | 55,484 | D | Mar 3, 2011 | Mar 3, 2018 | Common Stock | 55,484 | 60,000 | D |
Explanation of responses
- F1The information in this report is based on a 401(k) Plan statement dated as of 09/30/2016.