SEC Form 4 · accession 0000018230-19-000111
CATERPILLAR INC · CAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Suzette M Long
Officer — General Counsel/Corporate Sec.
Period of report
Mar 6, 2019
Accepted (ET)
Mar 8, 2019 · 2:01 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 | Mar 6, 2019 | F | 2,161 | $136.19 | D | 16,299 | D | |
| Common StockF2 | Mar 6, 2019 | F | 390 | $136.19 | D | 15,909 | D | |
| Common StockF3 | holding | — | — | — | 514 | 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 restricted stock units granted on March 6, 2017.
- F2Represents shares withheld from the reporting person to satisfy tax obligations arising from the vesting of restricted stock units granted on August 14, 2017.
- F3The information in this report is based on a 401(k) plan statement dated as of 2/28/2019.