SEC Form 4 · accession 0000018230-17-000028
CATERPILLAR INC · CAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Douglas R Oberhelman
Officer — Chairman of the Board
Period of report
Jan 20, 2017
Accepted (ET)
Jan 24, 2017 · 6:45 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 StockF1 | Jan 20, 2017 | M | 60,000 | $73.20 | A | 219,141 | D | |
| Common Stock | Jan 20, 2017 | D | 46,569 | $94.31 | D | 172,572 | D | |
| Common Stock | Jan 20, 2017 | F | 4,584 | $94.31 | D | 167,988 | D | |
| Common Stock | Jan 20, 2017 | M | 100,000 | $22.17 | A | 267,988 | D | |
| Common Stock | Jan 20, 2017 | D | 23,507 | $94.31 | D | 244,481 | D | |
| Common Stock | Jan 20, 2017 | F | 34,958 | $94.31 | D | 209,523 | D | |
| Common Stock | holding | — | — | — | 38,000 | I | Held by family foundation | |
| Common StockF2 | holding | — | — | — | 35,711 | 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 | Jan 20, 2017 | M | 60,000 | D | Mar 3, 2011 | Mar 3, 2018 | Common Stock | 60,000 | 0 | D |
| Stock Appreciation Right | $22.17 | Jan 20, 2017 | M | 100,000 | D | Mar 2, 2012 | Mar 2, 2019 | Common Stock | 100,000 | 66,252 | D |
Explanation of responses
- F1Excludes 38,000 shares previously owned directly which were contributed to a family foundation on December 19, 2016, and also includes an addition of 32 shares that were inadvertently double counted as part of a stock gift reported on a Form 4 filed on October 4, 2016.
- F2The information in this report is based on a 401(k) Plan statement dated as of 12/31/2016.