⌘K

Login Start Free

Home/Filings/4/0000018230-18-000145

4//SEC Filing

Pellette Thomas A 4

Accession 0000018230-18-000145

CIK 0000018230other

View on SEC.gov Company Profile

Filed

May 8, 8:00 PM ET

Accepted

May 9, 2:35 PM ET

Size

23.0 KB

Accession

0000018230-18-000145

Insider Transaction Report

Form 4

Period: 2018-05-07

CATERPILLAR INCCAT

Pellette Thomas A

Group President

Transactions

Exercise/Conversion
Common Stock
2018-05-07$102.13/sh+3,842$392,383→ 4,911 total
Disposition to Issuer
Common Stock
2018-05-07$150.54/sh−2,606$392,307→ 2,305 total
Exercise/Conversion
Common Stock
2018-05-07$89.75/sh+20,569$1,846,068→ 26,094 total
Exercise/Conversion
Common Stock
2018-05-07$96.31/sh+28,220$2,717,868→ 54,314 total
Sale
Common Stock
2018-05-07$150.16/sh−53,245$7,995,269→ 1,069 total
Exercise/Conversion
Common Stock
2018-05-07$110.09/sh+4,456$490,561→ 5,525 total
Exercise/Conversion
Stock Appreciation Right
2018-05-07−3,842→ 0 total
Exercise: $102.13From: 2014-03-07Exp: 2021-03-07→ Common Stock (3,842 underlying)
Exercise/Conversion
Employee Stock Option
2018-05-07−4,456→ 0 total
Exercise: $110.09From: 2015-03-04Exp: 2022-03-04→ Common Stock (4,456 underlying)
Exercise/Conversion
Employee Stock Option
2018-05-07−20,569→ 0 total
Exercise: $89.75From: 2016-03-04Exp: 2023-03-04→ Common Stock (20,569 underlying)
Exercise/Conversion
Employee Stock Option
2018-05-07−28,220→ 0 total
Exercise: $96.31From: 2017-03-03Exp: 2024-03-03→ Common Stock (28,220 underlying)
Sale
Common Stock
2018-05-07$150.56/sh−1,236$186,092→ 1,069 total

Holdings

Common Stock
(indirect: By Trust)
20,321
Common Stock
(indirect: By 401(k))
12,234

Footnotes (3)

[F1]This amount reflects 7,521 shares that were transferred to Pellette Family Trust.
[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 $150.00 to $150.43, 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 information in this report is based on a 401(k) Plan statement dated as of 4/30/2018.

Documents

1 file

4
wf-form4_152589089319397.xmlPrimary
FORM 4

Issuer

CATERPILLAR INC

CIK 0000018230

Entity typeother

Related Parties

1

filerCIK 0001628013

Filing Metadata

Form type: 4
Filed: May 8, 8:00 PM ET
Accepted: May 9, 2:35 PM ET
Size: 23.0 KB

View on SEC.gov