SEC Form 4 · accession 0000018230-17-000142
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
Apr 28, 2017
Accepted (ET)
May 1, 2017 · 5:16 pm EDT
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 | Apr 28, 2017 | M | 5,060 | $57.85 | A | 6,129 | D | |
| Common Stock | Apr 28, 2017 | D | 2,845 | $102.88 | D | 3,284 | D | |
| Common Stock | Apr 28, 2017 | F | 690 | $102.88 | D | 2,594 | D | |
| Common Stock | holding | — | — | — | 3,736 | I | Held by Pellette Family Trust | |
| Common StockF2 | holding | — | — | — | 11,683 | 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 | $57.85 | Apr 28, 2017 | M | 5,060 | D | Mar 1, 2013 | Mar 1, 2020 | Common Stock | 5,060 | 0 | D |
Explanation of responses
- F1Excludes 382 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 03/31/2017.