0000018230-18-000271.txt : 20181003 0000018230-18-000271.hdr.sgml : 20181003 20181003174922 ACCESSION NUMBER: 0000018230-18-000271 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181001 FILED AS OF DATE: 20181003 DATE AS OF CHANGE: 20181003 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: 181106238 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: 510 LAKE COOK ROAD STREET 2: SUITE 100 CITY: DEERFIELD STATE: IL ZIP: 60015 BUSINESS PHONE: 2245514000 MAIL ADDRESS: STREET 1: 510 LAKE COOK ROAD STREET 2: SUITE 100 CITY: DEERFIELD STATE: IL ZIP: 60015 FORMER COMPANY: FORMER CONFORMED NAME: CATERPILLAR TRACTOR CO DATE OF NAME CHANGE: 19860623 4 1 wf-form4_153860334328631.xml FORM 4 X0306 4 2018-10-01 0 0000018230 CATERPILLAR INC CAT 0001608229 Johnson Denise C 510 LAKE COOK ROAD, SUITE 100 DEERFIELD IL 60015 0 1 0 0 Group President Common Stock 2018-10-01 4 M 0 15944 83 A 22826 D Common Stock 2018-10-01 4 S 0 14444 153.25 D 8382 D Common Stock 2018-10-01 4 S 0 1500 152.69 D 6882 D Common Stock 2018-10-02 4 M 0 4330 110.09 A 11212 D Common Stock 2018-10-02 4 S 0 4330 155 D 6882 D Common Stock 2018-10-02 4 M 0 14777 74.77 A 21659 D Common Stock 2018-10-02 4 S 0 14777 155 D 6882 D Common Stock 3744 I Held by 401(k) Plan Common Stock 936 I Held by Jerry Johnson Trust Employee Stock Option 83.0 2018-10-01 4 M 0 15944 0 D 2025-03-02 Common Stock 15944.0 0 D Employee Stock Option 110.09 2018-10-02 4 M 0 4330 0 D 2015-03-05 2022-03-05 Common Stock 4330.0 0 D Employee Stock Options 74.77 2018-10-02 4 M 0 14777 0 D 2026-03-07 Common Stock 14777.0 14777 D The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 plan adopted by the reporting person on August 29, 2018. 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 $152.77 to $153.75, 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. 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 $152.65 to $152.74, 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. The information in this report is based on a 401(k) report dated as of 09/30/2018. Includes adjustments for dividends accrued. 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. By: /s/ Barbara Thomas, POA for Denise C. Johnson 2018-10-03