SEC Form 4 · accession 0001104659-17-070314

CATERPILLAR INC · CAT

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Group President & CFO

Period of report

Nov 21, 2017

Accepted (ET)

Nov 24, 2017 · 1:15 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	Nov 21, 2017	M	22,696	$102.13	A	22,696	I	Held by Halverson Children's Trust
Common Stock	Nov 21, 2017	D	16,847	$137.59	D	5,849	I	Held by Halverson Children's Trust
Common Stock	Nov 21, 2017	M	21,416	$110.09	A	27,265	I	Held by Halverson Children's Trust
Common Stock^F1	Nov 21, 2017	S	17,210	$137.33	D	10,055	I	Held by Halverson Children's Trust
Common Stock^F2	holding	—	—		—	11,224	I	Held by 401(k) Plan
Common Stock	holding	—	—		—	202	I	Held by Mindy Halverson Trust
Common Stock	holding	—	—		—	7,814	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Appreciation Right	$102.13	Nov 21, 2017	M	22,696	D	Mar 7, 2014	Mar 7, 2021	Common Stock	22,696	0	I
Employee Stock Option	$110.09	Nov 21, 2017	M	21,416	D	Mar 5, 2015	Mar 5, 2022	Common Stock	21,416	0	I

F1The sale price in Column 4 is a weighted average sale price. The corresponding share were sold in multiple transactions at prices ranging from $137.18 to $137.63, inclusive. The reporting person undertakes to provide Caterpillar Inc., any security holder of Caterpillar Inc., or the staff of the Securities and Exchange Commission, upon request, full information.
F2The information in this report is bases on a 401(k) Plan statement dated as of 10/31/2017.