SEC Form 4 · accession 0000018230-17-000153
CATERPILLAR INC · CAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Denise C Johnson
Officer — Group President
Period of report
May 1, 2017
Accepted (ET)
May 3, 2017 · 6:40 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,F2 | May 1, 2017 | F | 89 | $102.20 | D | 7,008 | D | |
| Common StockF2 | holding | — | — | — | 916 | I | Held by Jerry Johnson Trust | |
| Common StockF3 | holding | — | — | — | 3,179 | I | Held by 401(k) Plan |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents shares withheld from the reporting person solely to satisfy tax obligations arising from the vesting of restricted stock units granted on 5/01/14, of which one-third vested on 05/01/2017.
- F2Includes adjustments for dividends accrued.
- F3The information in this report is based on a 401(k) Plan statement dated as of 03/31/2017.