SEC Form 4 · accession 0000018230-19-000100
CATERPILLAR INC · CAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David L Calhoun
Director
Period of report
Mar 4, 2019
Accepted (ET)
Mar 6, 2019 · 6:00 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 StockF1,F2 | Mar 4, 2019 | A | 2,891 | $0.00 | A | 31,134 | D | |
| Common Stock | holding | — | — | — | 16,400 | I | Held by Grantor Retained Annuity Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Includes adjustments for dividends accrued.
- F2Reflects the transfer of 8,600 shares from a grantor retained annuity trust to the Reporting Person during 2018. This transfer was exempt from reporting pursuant to Rule 16a-13 under the Securities Exchange Act of 1934, as amended.