SEC Form 4 · accession 0001104659-17-064693
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
Oct 26, 2017
Accepted (ET)
Oct 30, 2017 · 5:15 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 26, 2017 | M | 866 | $73.20 | A | 11,096 | D | |
| Common Stock | Oct 26, 2017 | D | 460 | $137.60 | D | 10,636 | D | |
| Common Stock | Oct 26, 2017 | S | 406 | $137.58 | D | 10,230 | D | |
| Common Stock | Oct 26, 2017 | M | 1,389 | $22.17 | A | 11,619 | D | |
| Common Stock | Oct 26, 2017 | D | 223 | $137.60 | D | 11,396 | D | |
| Common Stock | Oct 26, 2017 | S | 1,166 | $137.58 | D | 10,230 | 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 | $73.20 | Oct 26, 2017 | M | 866 | D | Mar 3, 2011 | Mar 3, 2018 | Common Stock | 866 | 0 | D |
| Stock Appreciation Rights | $22.17 | Oct 26, 2017 | M | 1,389 | D | Mar 2, 2012 | Mar 2, 2019 | Common Stock | 1,389 | 0 | D |