SEC Form 4 · accession 0000018230-16-000729
CATERPILLAR INC · CAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
III Donald J Umpleby
Officer — Group President
Period of report
Nov 14, 2016
Accepted (ET)
Nov 15, 2016 · 2:30 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 14, 2016 | M | 4,661 | $73.20 | A | 38,977 | D | |
| Common Stock | Nov 14, 2016 | D | 3,619 | $94.26 | D | 35,358 | D | |
| Common Stock | Nov 14, 2016 | F | 324 | $94.26 | D | 35,034 | D | |
| Common Stock | Nov 14, 2016 | M | 6,619 | $22.17 | A | 41,653 | D | |
| Common Stock | Nov 14, 2016 | D | 1,556 | $94.26 | D | 40,097 | D | |
| Common Stock | Nov 14, 2016 | F | 1,575 | $94.26 | D | 38,522 | D | |
| Common StockF1 | holding | — | — | — | 848 | 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 14, 2016 | M | 4,661 | D | Mar 2, 2011 | Mar 2, 2018 | Common Stock | 4,661 | 0 | D |
| Stock Appreciation Right | $22.17 | Nov 14, 2016 | M | 6,619 | D | Mar 2, 2012 | Mar 2, 2019 | Common Stock | 6,619 | 0 | D |
Explanation of responses
- F1The information in this report is based on a 401(k) Plan statement dated as of 9/30/2016.