Filing Details
- Accession Number:
- 0001104659-17-070314
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-11-24 13:15:07
- Reporting Period:
- 2017-11-21
- Accepted Time:
- 2017-11-24 13:15:07
- 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 | Acquisiton | 2017-11-21 | 22,696 | $102.13 | 22,696 | No | 4 | M | Indirect | Held by Halverson Children's Trust |
| Common Stock | Disposition | 2017-11-21 | 16,847 | $137.59 | 5,849 | No | 4 | D | Indirect | Held by Halverson Children's Trust |
| Common Stock | Acquisiton | 2017-11-21 | 21,416 | $110.09 | 27,265 | No | 4 | M | Indirect | Held by Halverson Children's Trust |
| Common Stock | Disposition | 2017-11-21 | 17,210 | $137.33 | 10,055 | No | 4 | S | Indirect | Held by Halverson Children's Trust |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Indirect | Held by Halverson Children's Trust |
| No | 4 | D | Indirect | Held by Halverson Children's Trust |
| No | 4 | M | Indirect | Held by Halverson Children's Trust |
| No | 4 | S | Indirect | Held by Halverson Children's Trust |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Appreciation Right | Disposition | 2017-11-21 | 22,696 | $0.00 | 22,696 | $102.13 |
| Common Stock | Employee Stock Option | Disposition | 2017-11-21 | 21,416 | $0.00 | 21,416 | $110.09 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2014-03-07 | 2021-03-07 | No | 4 | M | Indirect |
| 0 | 2015-03-05 | 2022-03-05 | No | 4 | M | Indirect |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 11,224 | Indirect | Held by 401(k) Plan |
| Common Stock | 202 | Indirect | Held by Mindy Halverson Trust |
| Common Stock | 7,814 | Direct |
Footnotes
- The sale price in Column 4 is a weighted average sale price. The corresponding share were sold in multiple transactions at prices ranging from $137.18 to $137.63, 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 bases on a 401(k) Plan statement dated as of 10/31/2017.
Billionaire Hedge Funds
