Pellette Thomas A 4
4 · CATERPILLAR INC · Filed Feb 2, 2018
Insider Transaction Report
Form 4
Pellette Thomas A
Group President
Transactions
- Exercise/Conversion
Common Stock
2018-01-31$83.00/sh+95,199$7,901,517→ 96,268 total - Sale
Common Stock
[F1]2018-01-31$164.11/sh−19,799$3,249,214→ 76,469 total - Sale
Common Stock
[F2]2018-01-31$162.84/sh−69,024$11,239,868→ 7,445 total - Sale
Common Stock
[F3][F4]2018-01-31$162.70/sh−6,376$1,037,375→ 1,069 total - Exercise/Conversion
Employee Stock Option
[F6]2018-01-31$83.00/sh−95,199$7,901,517→ 47,599 totalExercise: $83.00Exp: 2025-03-02→ Common Stock (95,199 underlying)
Holdings
- 12,800(indirect: By Trust)
Common Stock
- 12,014(indirect: By 401(k))
Common Stock
[F5]
Footnotes (6)
- [F1]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 $164.70 to $163.70, 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.
- [F2]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 $163..695 to $163.70, 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.
- [F3]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 $162..69 to $162.60, 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.
- [F4]Excludes 7,539 shares previously owned which were contributed to the Pellette Family Trust.
- [F5]The information in this report is based on a 401(k) Plan statement dated as of 1/31/2018.
- [F6]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.
Signature
/s/ Barbara Thomas, POA for Thomas A. Pellette|2018-02-02