SEC Form 4 · accession 0000018230-17-000080
CATERPILLAR INC · CAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
III Donald J Umpleby
Officer — Chief Executive Officer · Director
Period of report
Mar 6, 2017
Accepted (ET)
Mar 8, 2017 · 6:10 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000018230
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock OptionF1 | $95.66 | Mar 6, 2017 | A | 214,370 | A | — | Mar 6, 2027 | Common Stock | 214,370 | 214,370 | D |
Explanation of responses
- F1The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan and vest equally in 1/3 increments beginning on the first anniversary of the grant date.