0000018230-17-000251.txt : 20170807 0000018230-17-000251.hdr.sgml : 20170807 20170807181819 ACCESSION NUMBER: 0000018230-17-000251 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170804 FILED AS OF DATE: 20170807 DATE AS OF CHANGE: 20170807 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Long Suzette M CENTRAL INDEX KEY: 0001698572 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 171012867 MAIL ADDRESS: STREET 1: 100 NE ADAMS STREET CITY: PEORIA STATE: IL ZIP: 61629 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CATERPILLAR INC CENTRAL INDEX KEY: 0000018230 STANDARD INDUSTRIAL CLASSIFICATION: CONSTRUCTION MACHINERY & EQUIP [3531] IRS NUMBER: 370602744 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 100 NE ADAMS ST CITY: PEORIA STATE: IL ZIP: 61629 BUSINESS PHONE: 3096751000 MAIL ADDRESS: STREET 1: 100 NE ADAMS ST CITY: PEORIA STATE: IL ZIP: 61629 FORMER COMPANY: FORMER CONFORMED NAME: CATERPILLAR TRACTOR CO DATE OF NAME CHANGE: 19860623 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2017-08-04 0000018230 CATERPILLAR INC CAT 0001698572 Long Suzette M 100 NE ADAMS STREET PEORIA IL 61629 0 1 0 1 Int. Executive Vice President Corporate Secretary Common Stock 2017-08-04 4 M 0 3025 110.09 A 18188 D Common Stock 2017-08-04 4 S 0 2838 114.30 D 15350 D Common Stock 2017-08-04 4 M 0 4052 89.75 A 19402 D Common Stock 2017-08-04 4 S 0 3497 114.30 D 15905 D Common Stock 2017-08-04 4 M 0 1756 96.31 A 17661 D Common Stock 2017-08-04 4 S 0 1585 114.30 D 16076 D Common Stock 2017-08-04 4 M 0 4438 83.00 A 20514 D Common Stock 2017-08-04 4 S 0 3650 114.30 D 16864 D Common Stock 2017-08-04 4 M 0 2961 74.77 A 19825 D Common Stock 2017-08-04 4 S 0 2289 114.30 D 17536 D Common Stock 444 I Held by 401(k) Plan Employee Stock Option 110.09 2017-08-04 4 M 0 3025 0 D 2015-03-05 2022-03-05 Common Stock 3025 0 D Employee Stock Option 89.75 2017-08-04 4 M 0 4052 0 D 2016-03-04 2023-03-04 Common Stock 4052 0 D Employee Stock Option 96.31 2017-08-04 4 M 0 1756 0 D 2017-03-03 2024-03-03 Common Stock 1756 0 D Employee Stock Option 83.00 2017-08-04 4 M 0 4438 0 D 2025-03-02 Common Stock 4438 2219 D Employee Stock Option 74.77 2017-08-04 4 M 0 2961 0 D 2026-03-07 Common Stock 2961 5922 D 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 $114.09 to $114.58, inclusive. The reporting person undertakes to provide Caterpillar Inc., any security holder of Caterpillar Inc., or the staff of the Securities and Exchange Commission, upon request, full information. The information in this report is based on a 401(k) Plan statement dated as of 06/30/2017. The stock options vest equally in 1/3 increments beginning on the first anniversary of the grant date. Suzette M. Long; G. Acker, POA 2017-08-07