SEC Form 4 · accession 0000018230-17-000315
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
Nov 27, 2017
Accepted (ET)
Nov 29, 2017 · 2:42 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 27, 2017 | S | 2,600 | $137.67 | D | 5,214 | D | |
| Common Stock | holding | — | — | — | 202 | I | Held by Mindy Halverson Trust | |
| Common Stock | holding | — | — | — | 10,055 | I | Held by Halverson Children's Trust | |
| Common StockF1 | holding | — | — | — | 11,224 | I | Held by 401(k) Plan |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The information in this report is based on a 401(k) Plan statement dated as of 10/31/2017.