4//SEC Filing
Pellette Thomas A 4
Accession 0000018230-18-000035
CIK 0000018230other
Filed
Feb 1, 7:00 PM ET
Accepted
Feb 2, 8:56 PM ET
Size
14.1 KB
Accession
0000018230-18-000035
Insider Transaction Report
Form 4
Pellette Thomas A
Group President
Transactions
- Sale
Common Stock
2018-01-31$164.11/sh−19,799$3,249,214→ 76,469 total - Exercise/Conversion
Common Stock
2018-01-31$83.00/sh+95,199$7,901,517→ 96,268 total - Sale
Common Stock
2018-01-31$162.84/sh−69,024$11,239,868→ 7,445 total - Sale
Common Stock
2018-01-31$162.70/sh−6,376$1,037,375→ 1,069 total - Exercise/Conversion
Employee Stock Option
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
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.
Documents
Issuer
CATERPILLAR INC
CIK 0000018230
Entity typeother
Related Parties
1- filerCIK 0001628013
Filing Metadata
- Form type
- 4
- Filed
- Feb 1, 7:00 PM ET
- Accepted
- Feb 2, 8:56 PM ET
- Size
- 14.1 KB