0000018230-18-000153.txt : 20180515 0000018230-18-000153.hdr.sgml : 20180515 20180515131943 ACCESSION NUMBER: 0000018230-18-000153 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180511 FILED AS OF DATE: 20180515 DATE AS OF CHANGE: 20180515 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Creed Joseph E CENTRAL INDEX KEY: 0001739859 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 18834974 MAIL ADDRESS: STREET 1: 510 LAKE COOK ROAD STREET 2: SUITE 100 CITY: DEERFIELD STATE: IL ZIP: 60015 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_152640476926621.xml FORM 4 X0306 4 2018-05-11 0 0000018230 CATERPILLAR INC CAT 0001739859 Creed Joseph E 510 LAKE COOK ROAD SUITE 100 DEERFIELD IL 60015 0 1 0 0 Interim CFO Common Stock 2018-05-11 4 M 0 2382 110.09 A 2554 D Common Stock 2018-05-11 4 S 0 2382 155.67 D 172 D Common Stock 2018-05-11 4 M 0 2150 89.75 A 2322 D Common Stock 2018-05-11 4 S 0 2150 155.67 D 172 D Common Stock 8134 I Held by 401(k) Plan Employee Stock Options 110.09 2018-05-11 4 M 0 2382 0 D 2015-03-05 2022-03-05 Common Stock 2382.0 0 D Employee Stock Options 89.75 2018-05-11 4 M 0 2150 0 D 2016-03-04 2023-03-04 Common Stock 2150.0 2210 D The information in this report is based on a 401(k) Plan statement dated as of 4/30/2018. /s/ Barbara Thomas, POA for Joseph E. Creed 2018-05-15