SEC Form 4 · accession 0000018230-17-000233
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
Jul 27, 2017
Accepted (ET)
Jul 31, 2017 · 8:02 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 Stock | Jul 27, 2017 | M | 17,141 | $89.75 | A | 24,149 | D | |
| Common StockF1 | Jul 27, 2017 | S | 17,141 | $114.02 | D | 7,008 | D | |
| Common Stock | Jul 27, 2017 | M | 25,152 | $96.31 | A | 32,160 | D | |
| Common StockF1 | Jul 27, 2017 | S | 25,152 | $114.02 | D | 7,008 | D | |
| Common Stock | Jul 27, 2017 | M | 31,888 | $83.00 | A | 38,896 | D | |
| Common StockF1 | Jul 27, 2017 | S | 31,888 | $144.02 | D | 7,008 | D | |
| Common Stock | Jul 27, 2017 | M | 14,778 | $74.77 | A | 21,786 | D | |
| Common StockF1 | Jul 27, 2017 | S | 14,788 | $114.02 | D | 7,008 | D | |
| Common Stock | holding | — | — | — | 916 | I | Held by Jerry Johnson Trust | |
| Common StockF2 | holding | — | — | — | 3,338 | 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 Option | $89.75 | Jul 27, 2017 | M | 17,141 | D | Mar 4, 2016 | Mar 4, 2023 | Common Stock | 17,141 | 0 | D |
| Employee Stock Option | $96.31 | Jul 27, 2017 | M | 25,152 | D | Mar 3, 2017 | Mar 3, 2024 | Common Stock | 25,152 | 0 | D |
| Employee Stock OptionF3 | $83.00 | Jul 27, 2017 | M | 31,888 | D | — | Mar 2, 2025 | Common Stock | 31,888 | 15,944 | D |
| Employee Stock OptionF3 | $74.77 | Jul 27, 2017 | M | 14,778 | D | — | Mar 7, 2026 | Common Stock | 14,788 | 29,554 | D |
Explanation of responses
- F1The sale price reported in Column 4 is a weighted average sale price. The corresponding shares were sold in multiple transactions at prices ranging from $113.815 to $114.10, inclusive. The reporting person undertakes to provide Caterpillar Inc., any security holder of Caterpillar Inc., or the staff of the Securities and Exchange Commission, upon request, full information.
- F2The information in this report is based on a 401(k) Plan statement dated as of 06/30/2017.
- F3Stock options vest equally in 1/3 increments beginning on the first anniversay of the grant date.