SEC Form 4 · accession 0000018230-18-000140
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
May 1, 2018
Accepted (ET)
May 3, 2018 · 6:14 pm EDT
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 | May 1, 2018 | F | 79 | $142.37 | D | 3,209 | D | |
| Common StockF2 | holding | — | — | — | 4,354 | 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 restricted stock units granted on 5/1/2014, of which one-third vested on 5/1/2018.
- F2The information in this report is based on a 401(k) Plan statement dated as of 4/30/2018.