SEC Form 4 · accession 0000018230-18-000153
CATERPILLAR INC · CAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph E Creed
Officer — Interim CFO
Period of report
May 11, 2018
Accepted (ET)
May 15, 2018 · 1:19 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 Stock | May 11, 2018 | M | 2,382 | $110.09 | A | 2,554 | D | |
| Common Stock | May 11, 2018 | S | 2,382 | $155.67 | D | 172 | D | |
| Common Stock | May 11, 2018 | M | 2,150 | $89.75 | A | 2,322 | D | |
| Common Stock | May 11, 2018 | S | 2,150 | $155.67 | D | 172 | D | |
| Common StockF1 | holding | — | — | — | 8,134 | 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 Options | $110.09 | May 11, 2018 | M | 2,382 | D | Mar 5, 2015 | Mar 5, 2022 | Common Stock | 2,382 | 0 | D |
| Employee Stock Options | $89.75 | May 11, 2018 | M | 2,150 | D | Mar 4, 2016 | Mar 4, 2023 | Common Stock | 2,150 | 2,210 | D |
Explanation of responses
- F1The information in this report is based on a 401(k) Plan statement dated as of 4/30/2018.