0000018230-16-000613.txt : 20160801
0000018230-16-000613.hdr.sgml : 20160801
20160801171746
ACCESSION NUMBER: 0000018230-16-000613
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160728
FILED AS OF DATE: 20160801
DATE AS OF CHANGE: 20160801
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
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Halverson Bradley M
CENTRAL INDEX KEY: 0001307061
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-00768
FILM NUMBER: 161798244
MAIL ADDRESS:
STREET 1: 100 N.E. ADAMS STREET
CITY: PEORIA
STATE: IL
ZIP: 61629
4
1
edgar.xml
PRIMARY DOCUMENT
X0306
4
2016-07-28
0000018230
CATERPILLAR INC
CAT
0001307061
Halverson Bradley M
100 N.E. ADAMS STREET
PEORIA
IL
61629
0
1
0
0
Group President & CFO
Common Stock
2016-07-28
4
M
0
9449
57.85
A
20232
D
Common Stock
2016-07-28
4
D
0
6608
82.71
D
13624
D
Common Stock
2016-07-28
4
S
0
2841
82.73
D
10783
D
Common Stock
10784
I
Held by 401(k) Plan
Common Stock
17296
I
Held by Mindy Halverson Trust
Stock Appreciation Right
57.85
2016-07-28
4
M
0
9449
0
D
2013-03-01
2020-03-01
Common Stock
9449
0
D
Phantom Stock Units
2016-07-29
4
A
0
72
82.76
A
Common Stock
72
13277
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 $82.73 to $82.736, inclusive. The reporting person undertakes to provide to Caterpillar Inc., any security holder of Caterpillar Inc., or the staff of Securities and Exchange Commission, upon request, full information.
The information in this report is based on a 401(k) Plan statement dated as of 06/30/2016.
Each phatom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock.
This total includes 48 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $82.76 and 24 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.
The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service.
Bradley M. Halverson; G. Acker, POA
2016-08-01