SEC Form 4 · accession 0000018230-17-000243
CATERPILLAR INC · CAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William A Osborn
Director
Period of report
Jul 28, 2017
Accepted (ET)
Aug 1, 2017 · 4:10 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 | Jul 28, 2017 | S | 5,000 | $113.67 | D | 51,645 | D |
Table II — derivative securities
No Table II lines on this filing.
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 $113.66 to $113.69, 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 adjustments for clerical error to total shares of Common Stock of the Issuer previously reported as beneficially owned by Mr. Osborn.