Filing Details
- Accession Number:
- 0000018230-17-000309
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-11-21 11:22:44
- Reporting Period:
- 2017-11-17
- Accepted Time:
- 2017-11-21 11:22:44
- 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 |
---|---|---|---|---|---|---|---|
1628013 | A Thomas Pellette | 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 | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2017-11-17 | 32,086 | $74.77 | 33,155 | No | 4 | M | Direct | |
Common Stock | Disposition | 2017-11-17 | 24,547 | $135.69 | 8,608 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
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 Options | Disposition | 2017-11-17 | 32,086 | $0.00 | 32,086 | $74.77 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
64,171 | 2026-03-07 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 11,949 | Indirect | Held by 401(k) Plan |
Common Stock | 5,261 | Indirect | Held by Pellette Family Trust |
Footnotes
- Excludes 1,525 shares previously owned which were contributed to the Pellette Family Trust.
- The sale price reported in Column 4 is a weighted average sale price. The corresponding shares were sold in multiple transcations at prices ranging from $135.65 to $135.82, inclusive. The reporting person undertakes to provide Caterpillar Inc., and any security holder of Caterpiller Inc., or the staff of the Securites and Exchange Commission, upon request, full information.
- The information in this report is based on a 401(k) Plan statement dated as of 10/31/2017.
- The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan and vest equally in 1/3 increments beginning on the first anniversary of the grant date.