SEC Form 4 · accession 0000018230-17-000054
CATERPILLAR INC · CAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas A Pellette
Officer — Group President
Period of report
Feb 24, 2017
Accepted (ET)
Feb 28, 2017 · 12:13 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 | Feb 24, 2017 | M | 2,458 | $73.20 | A | 3,527 | D | |
| Common Stock | Feb 24, 2017 | D | 1,903 | $94.50 | D | 1,624 | D | |
| Common Stock | Feb 24, 2017 | F | 173 | $94.50 | D | 1,451 | D | |
| Common Stock | holding | — | — | — | 3,354 | I | Held by Pellette Family Trust | |
| Common StockF2 | holding | — | — | — | 11,387 | 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 | Feb 24, 2017 | M | 2,458 | D | Mar 3, 2011 | Mar 3, 2018 | Common Stock | 2,458 | 0 | D |
Explanation of responses
- F1Excludes 375 shares previously owned directly which were contributed to the Pellette Family Trust.
- F2The information in this report is based on a 401(k) Plan statement dated as of 12/31/2016.