SEC Form 4 · accession 0000018230-18-000242
CATERPILLAR INC · CAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Andrew R J Bonfield
Officer — Chief Financial Officer
Period of report
Sep 7, 2018
Accepted (ET)
Sep 11, 2018 · 6:04 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 | Sep 7, 2018 | A | 26,182 | $0.00 | A | 26,182 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock OptionsF1 | $141.32 | Sep 7, 2018 | A | 23,077 | A | — | — | Common Stock | 23,077 | 23,077 | D |
Explanation of responses
- F1The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on September 7, 2018 and vest equally in 1/3 increments on March 5, 2019, March 5, 2020 and March 5, 2021.