SEC Form 4 · accession 0000018230-18-000035
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
Jan 31, 2018
Accepted (ET)
Feb 2, 2018 · 8:56 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 | Jan 31, 2018 | M | 95,199 | $83.00 | A | 96,268 | D | |
| Common StockF1 | Jan 31, 2018 | S | 19,799 | $164.11 | D | 76,469 | D | |
| Common StockF2 | Jan 31, 2018 | S | 69,024 | $162.84 | D | 7,445 | D | |
| Common StockF3,F4 | Jan 31, 2018 | S | 6,376 | $162.70 | D | 1,069 | D | |
| Common Stock | holding | — | — | — | 12,800 | I | Held by Pellette Family Trust | |
| Common StockF5 | holding | — | — | — | 12,014 | 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 OptionF6 | $83.00 | Jan 31, 2018 | M | 95,199 | D | — | Mar 2, 2025 | Common Stock | 95,199 | 47,599 | 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 $164.70 to $163.70, inclusive. The reporting person undertakes to provide Caterpillar Inc., and any security holder of Caterpillar Inc., or the staff of the Securities and Exchange Commission, upon request, information regarding the number of shares sold at each price within the range.
- F2The sale price reported in Column 4 is a weighted average sale price. The corresponding shares were sold in multiple transactions at prices ranging from $163..695 to $163.70, inclusive. The reporting person undertakes to provide Caterpillar Inc., and any security holder of Caterpillar Inc., or the staff of the Securities and Exchange Commission, upon request, information regarding the number of shares sold at each price within the range.
- F3The sale price reported in Column 4 is a weighted average sale price. The corresponding shares were sold in multiple transactions at prices ranging from $162..69 to $162.60, inclusive. The reporting person undertakes to provide Caterpillar Inc., and any security holder of Caterpillar Inc., or the staff of the Securities and Exchange Commission, upon request, information regarding the number of shares sold at each price within the range.
- F4Excludes 7,539 shares previously owned which were contributed to the Pellette Family Trust.
- F5The information in this report is based on a 401(k) Plan statement dated as of 1/31/2018.
- F6The 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.