SEC Form 4 · accession 0000018230-16-000727
CATERPILLAR INC · CAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel M Dickinson
Director
Period of report
Nov 10, 2016
Accepted (ET)
Nov 14, 2016 · 1:25 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 | 2,916 | $63.04 | A | 17,476 | D | |
| Common Stock | Nov 10, 2016 | D | 1,966 | $93.49 | D | 15,510 | D | |
| Common Stock | Nov 10, 2016 | S | 950 | $93.52 | D | 14,560 | D |
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 | Nov 10, 2016 | M | 2,916 | D | Mar 2, 2010 | Mar 2, 2017 | Common Stock | 2,916 | 0 | D |