Filing Details
- Accession Number:
- 0000018230-16-000723
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-11-14 13:08:17
- Reporting Period:
- 2016-11-09
- Filing Date:
- 2016-11-14
- Accepted Time:
- 2016-11-14 13:08:17
- 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 |
|---|---|---|---|---|---|---|---|
| 1415606 | A. Jananne Copeland | 100 N.e. Adams Street Peoria IL 61629 | Chief Accounting Officer | 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 | Acquisiton | 2016-11-09 | 3,886 | $73.20 | 6,390 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-11-09 | 3,120 | $91.17 | 3,270 | No | 4 | D | Direct | |
| Common Stock | Disposition | 2016-11-09 | 766 | $91.22 | 2,504 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2016-11-09 | 5,408 | $22.17 | 7,912 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-11-09 | 1,315 | $91.17 | 6,597 | No | 4 | D | Direct | |
| Common Stock | Disposition | 2016-11-09 | 4,093 | $91.22 | 2,504 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | D | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | D | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Appreciation Right | Disposition | 2016-11-09 | 3,886 | $0.00 | 3,886 | $73.20 |
| Common Stock | Stock Appreciation Right | Disposition | 2016-11-09 | 5,408 | $0.00 | 5,408 | $22.17 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2011-03-03 | 2018-03-03 | No | 4 | M | Direct |
| 0 | 2012-03-02 | 2019-03-02 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 4,189 | Indirect | Held by 401(k) Plan |
Footnotes
- The sale price reported in Column 4 is a weighted average sale price. The corresponding shares were sold in multiple transactions at prices ranging from $91.22 to $91.225, 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.
- The information in this report is based on a 401(k) Plan statement dated as of 09/30/2016.
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