SEC Form 4 · accession 0000018230-18-000145
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
May 7, 2018
Accepted (ET)
May 9, 2018 · 2:35 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 7, 2018 | M | 3,842 | $102.13 | A | 4,911 | D | |
| Common Stock | May 7, 2018 | D | 2,606 | $150.54 | D | 2,305 | D | |
| Common Stock | May 7, 2018 | S | 1,236 | $150.56 | D | 1,069 | D | |
| Common Stock | May 7, 2018 | M | 4,456 | $110.09 | A | 5,525 | D | |
| Common Stock | May 7, 2018 | M | 20,569 | $89.75 | A | 26,094 | D | |
| Common Stock | May 7, 2018 | M | 28,220 | $96.31 | A | 54,314 | D | |
| Common StockF2 | May 7, 2018 | S | 53,245 | $150.16 | D | 1,069 | D | |
| Common Stock | holding | — | — | — | 20,321 | I | Held by Pellette Family Trust | |
| Common StockF3 | holding | — | — | — | 12,234 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation Right | $102.13 | May 7, 2018 | M | 3,842 | D | Mar 7, 2014 | Mar 7, 2021 | Common Stock | 3,842 | 0 | D |
| Employee Stock Option | $110.09 | May 7, 2018 | M | 4,456 | D | Mar 4, 2015 | Mar 4, 2022 | Common Stock | 4,456 | 0 | D |
| Employee Stock Option | $89.75 | May 7, 2018 | M | 20,569 | D | Mar 4, 2016 | Mar 4, 2023 | Common Stock | 20,569 | 0 | D |
| Employee Stock Option | $96.31 | May 7, 2018 | M | 28,220 | D | Mar 3, 2017 | Mar 3, 2024 | Common Stock | 28,220 | 0 | D |
Explanation of responses
- F1This amount reflects 7,521 shares that were transferred to Pellette Family Trust.
- 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 $150.00 to $150.43, 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 information in this report is based on a 401(k) Plan statement dated as of 4/30/2018.