Home > Insider Trading > Filing (0000018230-18-000271)

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	510 Lake Cook Road, Suite 100 Deerfield IL 60015	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	2018-10-01	15,944	$83.00	22,826	No	4	M	Direct
Common Stock	Disposition	2018-10-01	14,444	$153.25	8,382	No	4	S	Direct
Common Stock	Disposition	2018-10-01	1,500	$152.69	6,882	No	4	S	Direct
Common Stock	Acquisiton	2018-10-02	4,330	$110.09	11,212	No	4	M	Direct
Common Stock	Disposition	2018-10-02	4,330	$155.00	6,882	No	4	S	Direct
Common Stock	Acquisiton	2018-10-02	14,777	$74.77	21,659	No	4	M	Direct
Common Stock	Disposition	2018-10-02	14,777	$155.00	6,882	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	M	Direct
No	4	S	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	2018-10-01	15,944	$0.00	15,944	$83.00
Common Stock	Employee Stock Option	Disposition	2018-10-02	4,330	$0.00	4,330	$110.09
Common Stock	Employee Stock Options	Disposition	2018-10-02	14,777	$0.00	14,777	$74.77

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0		2025-03-02	No	4	M	Direct
0	2015-03-05	2022-03-05	No	4	M	Direct
14,777		2026-03-07	No	4	M	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	3,744	Indirect	Held by 401(k) Plan
Common Stock	936	Indirect	Held by Jerry Johnson Trust

Footnotes

The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 plan adopted by the reporting person on August 29, 2018.
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 $152.77 to $153.75, inclusive. The reporting person undertakes to provide Caterpillar Inc., and any security holder of Caterpillar Inc., or the staff of the Securities and Exchange Commission, upon request, information regarding the number of shares sold at each price within the range.
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 $152.65 to $152.74, inclusive. The reporting person undertakes to provide Caterpillar Inc., and any security holder of Caterpillar Inc., or the staff of the Securities and Exchange Commission, upon request, information regarding the number of shares sold at each price within the range.
The information in this report is based on a 401(k) report dated as of 09/30/2018.
Includes adjustments for dividends accrued.
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.