0000018230-17-000233.txt : 20170731 0000018230-17-000233.hdr.sgml : 20170731 20170731200226 ACCESSION NUMBER: 0000018230-17-000233 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170727 FILED AS OF DATE: 20170731 DATE AS OF CHANGE: 20170731 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Johnson Denise C CENTRAL INDEX KEY: 0001608229 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 17994356 MAIL ADDRESS: STREET 1: C/O CATERPILLAR, INCORPORATED STREET 2: 901 WEST WASHINGTON, CV41110 CITY: EAST PEORIA STATE: IL ZIP: 61630 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 2017-07-27 0000018230 CATERPILLAR INC CAT 0001608229 Johnson Denise C 100 N.E. ADAMS STREET PEORIA IL 61629 0 1 0 0 Group President Common Stock 2017-07-27 4 M 0 17141 89.75 A 24149 D Common Stock 2017-07-27 4 S 0 17141 114.02 D 7008 D Common Stock 2017-07-27 4 M 0 25152 96.31 A 32160 D Common Stock 2017-07-27 4 S 0 25152 114.02 D 7008 D Common Stock 2017-07-27 4 M 0 31888 83.00 A 38896 D Common Stock 2017-07-27 4 S 0 31888 144.02 D 7008 D Common Stock 2017-07-27 4 M 0 14778 74.77 A 21786 D Common Stock 2017-07-27 4 S 0 14788 114.02 D 7008 D Common Stock 916 I Held by Jerry Johnson Trust Common Stock 3338 I Held by 401(k) Plan Employee Stock Option 89.75 2017-07-27 4 M 0 17141 0 D 2016-03-04 2023-03-04 Common Stock 17141 0 D Employee Stock Option 96.31 2017-07-27 4 M 0 25152 0 D 2017-03-03 2024-03-03 Common Stock 25152 0 D Employee Stock Option 83.00 2017-07-27 4 M 0 31888 0 D 2025-03-02 Common Stock 31888 15944 D Employee Stock Option 74.77 2017-07-27 4 M 0 14778 0 D 2026-03-07 Common Stock 14788 29554 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 $113.815 to $114.10, 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. Stock options vest equally in 1/3 increments beginning on the first anniversay of the grant date. Denise C. Johnson; G. Acker, POA 2017-07-31