SEC Form 4 · accession 0000018230-18-000170
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
Jun 13, 2018
Accepted (ET)
Jun 14, 2018 · 4:35 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 | Jun 13, 2018 | A | 7,111 | $0.00 | A | 7,283 | D | |
| Common StockF2 | holding | — | — | — | 8,152 | I | Held by 401(k) Plan |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The restricted stock units were granted under the Company's 2014 Long-Term Incentive Plan and have a three year pro-rata vesting schedule, vesting one-third on each of the first three anniversaries of the grant date.
- F2The information in this report is based on a 401(k) Plan statement dated as of 5/31/2018.