SEC Form 4 · accession 0000018230-17-000086
CATERPILLAR INC · CAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Suzette M Long
Officer — Int. Executive Vice President
Period of report
Mar 6, 2017
Accepted (ET)
Mar 8, 2017 · 6:25 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 | Mar 6, 2017 | A | 14,635 | $0.00 | A | 15,163 | D | |
| Common StockF1 | holding | — | — | — | 409 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock OptionF2 | $95.66 | Mar 6, 2017 | A | 5,914 | A | — | Mar 6, 2027 | Common Stock | 5,914 | 5,914 | D |
Explanation of responses
- F1The information in this report is based on a 401(k) Plan statement dated as of 12/31/16.
- F2The 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.