SEC Form 4 · accession 0000018230-18-000271
CATERPILLAR INC · CAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Denise C Johnson
Officer — Group President
Period of report
Oct 1, 2018
Accepted (ET)
Oct 3, 2018 · 5:49 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 | Oct 1, 2018 | M | 15,944 | $83.00 | A | 22,826 | D | |
| Common StockF2 | Oct 1, 2018 | S | 14,444 | $153.25 | D | 8,382 | D | |
| Common StockF3 | Oct 1, 2018 | S | 1,500 | $152.69 | D | 6,882 | D | |
| Common Stock | Oct 2, 2018 | M | 4,330 | $110.09 | A | 11,212 | D | |
| Common Stock | Oct 2, 2018 | S | 4,330 | $155.00 | D | 6,882 | D | |
| Common Stock | Oct 2, 2018 | M | 14,777 | $74.77 | A | 21,659 | D | |
| Common Stock | Oct 2, 2018 | S | 14,777 | $155.00 | D | 6,882 | D | |
| Common StockF4 | holding | — | — | — | 3,744 | I | Held by 401(k) Plan | |
| Common StockF5 | holding | — | — | — | 936 | I | Held by Jerry Johnson Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock OptionF6 | $83.00 | Oct 1, 2018 | M | 15,944 | D | — | Mar 2, 2025 | Common Stock | 15,944 | 0 | D |
| Employee Stock Option | $110.09 | Oct 2, 2018 | M | 4,330 | D | Mar 5, 2015 | Mar 5, 2022 | Common Stock | 4,330 | 0 | D |
| Employee Stock OptionsF6 | $74.77 | Oct 2, 2018 | M | 14,777 | D | — | Mar 7, 2026 | Common Stock | 14,777 | 14,777 | D |
Explanation of responses
- F1The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 plan adopted by the reporting person on August 29, 2018.
- 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 $152.77 to $153.75, 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 sale price reported in Column 4 is a weighted average sale price. The corresponding shares were sold in multiple transactions at prices ranging from $152.65 to $152.74, 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.
- F4The information in this report is based on a 401(k) report dated as of 09/30/2018.
- F5Includes adjustments for dividends accrued.
- F6The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan and vest equally in 1/3 increments beginning on the first anniversary of the grant date.