SEC Form 4 · accession 0000018230-17-000045
CATERPILLAR INC · CAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Juan Gallardo
Director
Period of report
Feb 15, 2017
Accepted (ET)
Feb 16, 2017 · 6:16 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 | Feb 15, 2017 | M | 5,833 | $63.04 | A | 276,021 | D | |
| Common Stock | Feb 15, 2017 | D | 3,732 | $98.51 | D | 272,289 | D | |
| Common StockF1 | Feb 15, 2017 | F | 631 | $98.51 | D | 271,725 | 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 | Feb 15, 2017 | M | 5,833 | D | Mar 2, 2010 | Mar 2, 2017 | Common Stock | 5,833 | 0 | D |
Explanation of responses
- F1Includes adjustments for dividends accrued.