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Home > Insider Trading > Filing (0001104659-17-064693)

Filing Details

Accession Number:: 0001104659-17-064693
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2017-10-30 17:15:11
Reporting Period:: 2017-10-26

Accepted Time:: 2017-10-30 17:15:11
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
1694342	Bob Lange De	100 Ne Adams Street Peoria IL 61629	Group President	No	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2017-10-26	866	$73.20	11,096	No	4	M	Direct
Common Stock	Disposition	2017-10-26	460	$137.60	10,636	No	4	D	Direct
Common Stock	Disposition	2017-10-26	406	$137.58	10,230	No	4	S	Direct
Common Stock	Acquisiton	2017-10-26	1,389	$22.17	11,619	No	4	M	Direct
Common Stock	Disposition	2017-10-26	223	$137.60	11,396	No	4	D	Direct
Common Stock	Disposition	2017-10-26	1,166	$137.58	10,230	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

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Stock Appreciation Right	Disposition	2017-10-26	866	$0.00	866	$73.20
Common Stock	Stock Appreciation Rights	Disposition	2017-10-26	1,389	$0.00	1,389	$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