0000018230-16-000628.txt : 20160802 0000018230-16-000628.hdr.sgml : 20160802 20160802181859 ACCESSION NUMBER: 0000018230-16-000628 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160729 FILED AS OF DATE: 20160802 DATE AS OF CHANGE: 20160802 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: Copeland Jananne A. CENTRAL INDEX KEY: 0001415606 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 161801784 MAIL ADDRESS: STREET 1: 100 N.E. ADAMS STREET CITY: PEORIA STATE: IL ZIP: 61629 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2016-07-29 0000018230 CATERPILLAR INC CAT 0001415606 Copeland Jananne A. 100 N.E. ADAMS STREET PEORIA IL 61629 0 1 0 0 Chief Accounting Officer Common Stock 2016-07-29 4 M 0 2935 63.04 A 5439 D Common Stock 2016-07-29 4 D 0 2229 82.97 D 3210 D Common Stock 2016-07-29 4 S 0 706 82.95 D 2504 D Common Stock 4159 I Held by 401(k) Plan Stock Appreciation Right 63.04 2016-07-29 4 M 0 2935 0 D 2010-03-02 2017-03-02 Common Stock 2935 0 D Phantom Stock Units 2016-07-29 4 A 0 31 82.76 A Common Stock 31 2607 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 $82.95 to $82.96, 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 21 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 10 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. J. A. Copeland; G. Acker, POA 2016-08-02