SEC Form 4 · accession 0000018230-17-000313
CATERPILLAR INC · CAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jananne A. Copeland
Officer — Chief Accounting Officer
Period of report
Nov 24, 2017
Accepted (ET)
Nov 28, 2017 · 5:40 pm 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 Stock | Nov 24, 2017 | M | 5,620 | $57.85 | A | 8,908 | D | |
| Common Stock | Nov 24, 2017 | D | 2,373 | $136.95 | D | 6,535 | D | |
| Common StockF1 | Nov 24, 2017 | S | 3,247 | $136.95 | D | 3,288 | D | |
| Common StockF2 | holding | — | — | — | 4,317 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation Right | $57.85 | Nov 24, 2017 | M | 5,620 | A | Mar 1, 2013 | Mar 1, 2020 | Common Stock | 5,620 | 0 | D |
| Phantom Stock UnitsF4,F3,F5 | — | Nov 24, 2017 | A | 20 | A | — | — | Common Stock | 20 | 2,875 | D |
Explanation of responses
- F1The sale price reported in Column 4 is a weighted average sale price. The corresponding shares were sold in multiple transcations at prices ranging from $136.94 to $136.95, 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.
- F2The information in this report is based on a 401(k) Plan statement dated as of 10/31/2017.
- F3Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock.
- F4This total includes 13 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $137.39 and 7 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.
- F5The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirment or separation from service.