SEC Form 4 · accession 0000018230-18-000215
CATERPILLAR INC · CAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Cheryl H Johnson
Officer — Chief Human Resources Officer
Period of report
Jul 25, 2018
Accepted (ET)
Jul 27, 2018 · 3:13 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 | Jul 25, 2018 | F | 3,461 | $138.86 | D | 12,254 | D | |
| Common StockF2 | holding | — | — | — | 42 | 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 vest of restricted stock units granted on 7/25/2017.
- F2The information in this report is based on a 401(k) Plan statement dated as of 6/30/2018.