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