SEC Form 4 · accession 0000018230-18-000090
CATERPILLAR INC · CAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Suzette M Long
Officer — General Counsel/Corporate Sec.
Period of report
Mar 5, 2018
Accepted (ET)
Mar 7, 2018 · 7:04 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 StockF1 | Mar 6, 2018 | F | 2,153 | $153.33 | D | 17,493 | D | |
| Common StockF2 | holding | — | — | — | 468 | 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 OptionF3 | $151.12 | Mar 5, 2018 | A | 46,440 | A | — | Mar 5, 2028 | Common Stock | 46,440 | 46,440 | D |
Explanation of responses
- F1Represents shares withheld from the reporting person to satisfy tax obligations arising from the vesting of restricted stock units granted on March 6, 2017 and August 14, 2017.
- F2The information in this report is based on a 401(k) Plan statement dated as of 2/28/2018.
- F3The 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.