SEC Form 4 · accession 0000018230-19-000055
CATERPILLAR INC · CAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bob De Lange
Officer — Group President
Period of report
Feb 25, 2019
Accepted (ET)
Feb 26, 2019 · 2:56 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 25, 2019 | M | 2,157 | $57.85 | A | 18,481 | D | |
| Common Stock | Feb 25, 2019 | D | 882 | $141.37 | D | 17,599 | D | |
| Common Stock | Feb 25, 2019 | F | 540 | $141.37 | D | 17,059 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation Right | $57.85 | Feb 25, 2019 | M | 2,157 | D | Mar 1, 2013 | Mar 1, 2020 | Common Stock | 2,157 | 0 | D |