SEC Form 4 · accession 0000018230-19-000046
CATERPILLAR INC · CAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas A Pellette
Officer — Group President
Period of report
Feb 12, 2019
Accepted (ET)
Feb 14, 2019 · 5:31 pm EST
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 | Feb 12, 2019 | A | 15,217 | $0.00 | A | 16,286 | D | |
| Common StockF1 | Feb 12, 2019 | F | 5,625 | $131.78 | D | 10,661 | D | |
| Common Stock | holding | — | — | — | 20,321 | I | Held by Pellette Family Trust | |
| Common StockF2 | holding | — | — | — | 12,559 | 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 vesting of performance-based restricted stock units granted on March 7, 2016.
- F2The information in this report is based on a 401(k) plan statement dated as of 1/31/2019.