SEC Form 4 · accession 0000018230-17-000309
CATERPILLAR INC · CAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas A Pellette
Officer — Group President
Period of report
Nov 17, 2017
Accepted (ET)
Nov 21, 2017 · 11:22 am EST
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 | Nov 17, 2017 | M | 32,086 | $74.77 | A | 33,155 | D | |
| Common StockF2 | Nov 17, 2017 | S | 24,547 | $135.69 | D | 8,608 | D | |
| Common StockF3 | holding | — | — | — | 11,949 | I | Held by 401(k) Plan | |
| Common Stock | holding | — | — | — | 5,261 | I | Held by Pellette Family 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 OptionsF4 | $74.77 | Nov 17, 2017 | M | 32,086 | D | — | Mar 7, 2026 | Common Stock | 32,086 | 64,171 | D |
Explanation of responses
- F1Excludes 1,525 shares previously owned which were contributed to the Pellette Family Trust.
- F2The sale price reported in Column 4 is a weighted average sale price. The corresponding shares were sold in multiple transcations at prices ranging from $135.65 to $135.82, inclusive. The reporting person undertakes to provide Caterpillar Inc., and any security holder of Caterpiller Inc., or the staff of the Securites and Exchange Commission, upon request, full information.
- F3The information in this report is based on a 401(k) Plan statement dated as of 10/31/2017.
- F4The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan and vest equally in 1/3 increments beginning on the first anniversary of the grant date.