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CATERPILLAR INC · Nov 14, 1:17 PM ET

CATERPILLAR INC 4

4 · CATERPILLAR INC · Filed Nov 14, 2016

Insider Transaction Report

Form 4
Period: 2016-11-10
CATERPILLAR INCCAT
OBERHELMAN DOUGLAS R
Group President
Transactions
  • Exercise/Conversion

    Common Stock

    2016-11-10$73.20/sh+55,484$4,061,429→ 246,078 total
  • Disposition to Issuer

    Common Stock

    2016-11-10$93.40/sh−43,486$4,061,592→ 202,592 total
  • Tax Payment

    Common Stock

    2016-11-10$93.40/sh−5,483$512,112→ 197,109 total
  • Exercise/Conversion

    Stock Appreciation Right

    2016-11-10−55,484→ 60,000 total
    Exercise: $73.20From: 2011-03-03Exp: 2018-03-03→ Common Stock (55,484 underlying)
Holdings

  • Common Stock

    (indirect: By 401(k))
    35,424
Footnotes (1)
  • [F1]The information in this report is based on a 401(k) Plan statement dated as of 09/30/2016.

Documents

1 file
  • 4
    edgar.xmlPrimary

    PRIMARY DOCUMENT