SEC Form 4 · accession 0000018230-18-000050
CATERPILLAR INC · CAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
III Donald J Umpleby
Officer — Chief Executive Officer · Director
Period of report
Feb 13, 2018
Accepted (ET)
Feb 15, 2018 · 6:43 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 | Feb 13, 2018 | A | 16,325 | $0.00 | A | 53,669 | D | |
| Common StockF1 | Feb 13, 2018 | F | 6,260 | $153.10 | D | 47,409 | D | |
| Common StockF2 | holding | — | — | — | 875 | I | Held by 401(k) Plan |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents shares withheld from the reporting person to satisfy tax obligations arising from the vesting of performance-based restricted stock units granted on February 27, 2015.
- F2The information in this report is based on a 401(k) Plan statement dated as of 1/31/2018.