SEC Form 4 · accession 0000018230-17-000251
CATERPILLAR INC · CAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Suzette M Long
Officer — Int. Executive Vice President · Other
Period of report
Aug 4, 2017
Accepted (ET)
Aug 7, 2017 · 6:18 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 | Aug 4, 2017 | M | 3,025 | $110.09 | A | 18,188 | D | |
| Common StockF1 | Aug 4, 2017 | S | 2,838 | $114.30 | D | 15,350 | D | |
| Common Stock | Aug 4, 2017 | M | 4,052 | $89.75 | A | 19,402 | D | |
| Common StockF1 | Aug 4, 2017 | S | 3,497 | $114.30 | D | 15,905 | D | |
| Common Stock | Aug 4, 2017 | M | 1,756 | $96.31 | A | 17,661 | D | |
| Common StockF1 | Aug 4, 2017 | S | 1,585 | $114.30 | D | 16,076 | D | |
| Common Stock | Aug 4, 2017 | M | 4,438 | $83.00 | A | 20,514 | D | |
| Common StockF1 | Aug 4, 2017 | S | 3,650 | $114.30 | D | 16,864 | D | |
| Common Stock | Aug 4, 2017 | M | 2,961 | $74.77 | A | 19,825 | D | |
| Common StockF1 | Aug 4, 2017 | S | 2,289 | $114.30 | D | 17,536 | D | |
| Common StockF2 | holding | — | — | — | 444 | 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 | $110.09 | Aug 4, 2017 | M | 3,025 | D | Mar 5, 2015 | Mar 5, 2022 | Common Stock | 3,025 | 0 | D |
| Employee Stock Option | $89.75 | Aug 4, 2017 | M | 4,052 | D | Mar 4, 2016 | Mar 4, 2023 | Common Stock | 4,052 | 0 | D |
| Employee Stock Option | $96.31 | Aug 4, 2017 | M | 1,756 | D | Mar 3, 2017 | Mar 3, 2024 | Common Stock | 1,756 | 0 | D |
| Employee Stock OptionF3 | $83.00 | Aug 4, 2017 | M | 4,438 | D | — | Mar 2, 2025 | Common Stock | 4,438 | 2,219 | D |
| Employee Stock OptionF3 | $74.77 | Aug 4, 2017 | M | 2,961 | D | — | Mar 7, 2026 | Common Stock | 2,961 | 5,922 | 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 $114.09 to $114.58, 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.
- F3The stock options vest equally in 1/3 increments beginning on the first anniversary of the grant date.