Filing Details
- Accession Number:
- 0000018230-16-000514
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-05-03 19:24:54
- Reporting Period:
- 2016-04-29
- Filing Date:
- 2016-05-03
- Accepted Time:
- 2016-05-03 19:24:54
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 18230 | Caterpillar Inc | CAT | Construction Machinery & Equip (3531) | 370602744 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1307061 | M Bradley Halverson | 100 N.e. Adams Street Peoria IL 61629 | Group President & Cfo | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Disposition | 2016-04-29 | 184 | $78.08 | 17,296 | No | 4 | S | Indirect | Held by Mindy Halverson Trust |
| Common Stock | Disposition | 2016-05-01 | 260 | $77.35 | 12,051 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2016-05-03 | 694 | $76.53 | 11,357 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Indirect | Held by Mindy Halverson Trust |
| No | 4 | F | Direct | |
| No | 4 | S | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 10,660 | Indirect | Held by 401(k) plan |
Footnotes
- Represents shares withheld from the reporting person solely to satisfy tax obligations arising from the vesting of restricted stock units granted on 05/01/2012, of which one-third vested on 05/01/2016.
- The information in this report is based on a 401(k) Plan statement dated as of 03/31/2016.
Billionaire Hedge Funds
