Filing Details
- Accession Number:
- 0000018230-18-000153
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-05-15 13:19:43
- Reporting Period:
- 2018-05-11
- Accepted Time:
- 2018-05-15 13:19:43
- 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 |
|---|---|---|---|---|---|---|---|
| 1739859 | E Joseph Creed | 510 Lake Cook Road Suite 100 Deerfield IL 60015 | Interim 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 | 2018-05-11 | 2,382 | $110.09 | 2,554 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-05-11 | 2,382 | $155.67 | 172 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2018-05-11 | 2,150 | $89.75 | 2,322 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-05-11 | 2,150 | $155.67 | 172 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| 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 Options | Disposition | 2018-05-11 | 2,382 | $0.00 | 2,382 | $110.09 |
| Common Stock | Employee Stock Options | Disposition | 2018-05-11 | 2,150 | $0.00 | 2,150 | $89.75 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2015-03-05 | 2022-03-05 | No | 4 | M | Direct |
| 2,210 | 2016-03-04 | 2023-03-04 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 8,134 | Indirect | Held by 401(k) Plan |
Footnotes
- The information in this report is based on a 401(k) Plan statement dated as of 4/30/2018.
Billionaire Hedge Funds
