4//SEC Filing
CATERPILLAR INC 4
Accession 0000018230-17-000028
$CATCIK 0000018230operating
Filed
Jan 23, 7:00 PM ET
Accepted
Jan 24, 6:45 PM ET
Size
18.0 KB
Accession
0000018230-17-000028
Insider Transaction Report
Form 4
OBERHELMAN DOUGLAS R
Group President
Transactions
- Exercise/Conversion
Common Stock
2017-01-20$73.20/sh+60,000$4,392,000→ 219,141 total - Tax Payment
Common Stock
2017-01-20$94.31/sh−4,584$432,317→ 167,988 total - Exercise/Conversion
Stock Appreciation Right
2017-01-20−60,000→ 0 totalExercise: $73.20From: 2011-03-03Exp: 2018-03-03→ Common Stock (60,000 underlying) - Exercise/Conversion
Stock Appreciation Right
2017-01-20−100,000→ 66,252 totalExercise: $22.17From: 2012-03-02Exp: 2019-03-02→ Common Stock (100,000 underlying) - Disposition to Issuer
Common Stock
2017-01-20$94.31/sh−46,569$4,391,922→ 172,572 total - Exercise/Conversion
Common Stock
2017-01-20$22.17/sh+100,000$2,217,000→ 267,988 total - Disposition to Issuer
Common Stock
2017-01-20$94.31/sh−23,507$2,216,945→ 244,481 total - Tax Payment
Common Stock
2017-01-20$94.31/sh−34,958$3,296,889→ 209,523 total
Holdings
- 38,000(indirect: By Foundation)
Common Stock
- 35,711(indirect: By 401(k))
Common Stock
Footnotes (2)
- [F1]Excludes 38,000 shares previously owned directly which were contributed to a family foundation on December 19, 2016, and also includes an addition of 32 shares that were inadvertently double counted as part of a stock gift reported on a Form 4 filed on October 4, 2016.
- [F2]The information in this report is based on a 401(k) Plan statement dated as of 12/31/2016.
Documents
Issuer
CATERPILLAR INC
CIK 0000018230
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0000018230
Filing Metadata
- Form type
- 4
- Filed
- Jan 23, 7:00 PM ET
- Accepted
- Jan 24, 6:45 PM ET
- Size
- 18.0 KB