SEC Form 4 · accession 0000018230-17-000237
CATERPILLAR INC · CAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bradley M Halverson
Officer — Group President & CFO
Period of report
Jul 27, 2017
Accepted (ET)
Jul 31, 2017 · 9:45 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 StockF2 | Jul 27, 2017 | M | 79,976 | $89.75 | A | 87,790 | D | |
| Common StockF1 | Jul 27, 2017 | S | 79,976 | $114.03 | D | 7,814 | D | |
| Common Stock | Jul 27, 2017 | M | 102,636 | $83.00 | A | 110,450 | D | |
| Common StockF1 | Jul 27, 2017 | S | 89,636 | $114.03 | D | 20,814 | D | |
| Common Stock | Jul 27, 2017 | S | 100 | $114.33 | D | 20,714 | D | |
| Common Stock | Jul 27, 2017 | S | 200 | $114.34 | D | 20,514 | D | |
| Common Stock | Jul 27, 2017 | S | 12,700 | $114.37 | D | 7,814 | D | |
| Common StockF3 | holding | — | — | — | 11,128 | I | Held by 401(k) Plan | |
| Common StockF4 | holding | — | — | — | 202 | I | Held by Mindy Halverson Trust |
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 | 79,976 | D | Mar 4, 2017 | Mar 4, 2023 | Common Stock | 79,976 | 0 | D |
| Employee Stock OptionF5 | $83.00 | Jul 27, 2017 | M | 102,636 | D | — | Mar 2, 2025 | Common Stock | 102,636 | 51,318 | D |
| Phantom Stock UnitsF6,F7 | — | Jul 27, 2017 | I | 14,363 | D | — | — | Common Stock | 14,363 | 999 | 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 $113.32 to $114.31, 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.
- F2Reflects adjustment for clerical error to total shares of Common Stock of the Issuer previously reported as beneficially owned by Mr. Halverson.
- F3The information in this report is based on a 401(k) Plan statement dated as of 06/30/2017.
- F4Reflects adjustments for clerical error to total shares of Common Stock of the Issuer reported as held in the Mindy Halverson Trust.
- F5Stock options vest equally in 1/3 increments beginning on the first anniversay of the grant date.
- F6Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock.
- F7The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan.