Home > Insider Trading > Filing (0000018230-17-000233)

Filing Details

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
1608229	C Denise Johnson	100 N.e. Adams Street Peoria IL 61629	Group President	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
Common Stock	Acquisiton	2017-07-27	17,141	$89.75	24,149	No	4	M	Direct
Common Stock	Disposition	2017-07-27	17,141	$114.02	7,008	No	4	S	Direct
Common Stock	Acquisiton	2017-07-27	25,152	$96.31	32,160	No	4	M	Direct
Common Stock	Disposition	2017-07-27	25,152	$114.02	7,008	No	4	S	Direct
Common Stock	Acquisiton	2017-07-27	31,888	$83.00	38,896	No	4	M	Direct
Common Stock	Disposition	2017-07-27	31,888	$144.02	7,008	No	4	S	Direct
Common Stock	Acquisiton	2017-07-27	14,778	$74.77	21,786	No	4	M	Direct
Common Stock	Disposition	2017-07-27	14,788	$114.02	7,008	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	M	Direct
No	4	S	Direct
No	4	M	Direct
No	4	S	Direct
No	4	M	Direct
No	4	S	Direct
No	4	M	Direct
No	4	S	Direct

Reported Derivative Transactions

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Employee Stock Option	Disposition	2017-07-27	17,141	$0.00	17,141	$89.75
Common Stock	Employee Stock Option	Disposition	2017-07-27	25,152	$0.00	25,152	$96.31
Common Stock	Employee Stock Option	Disposition	2017-07-27	31,888	$0.00	31,888	$83.00
Common Stock	Employee Stock Option	Disposition	2017-07-27	14,778	$0.00	14,788	$74.77

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0	2016-03-04	2023-03-04	No	4	M	Direct
0	2017-03-03	2024-03-03	No	4	M	Direct
15,944		2025-03-02	No	4	M	Direct
29,554		2026-03-07	No	4	M	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	916	Indirect	Held by Jerry Johnson Trust
Common Stock	3,338	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 $113.815 to $114.10, 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 06/30/2017.
Stock options vest equally in 1/3 increments beginning on the first anniversay of the grant date.