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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Caterpillar Inc | NYSE:CAT | NYSE | Common Stock |
Price Change | % Change | Share Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|
1.31 | 0.39% | 336.75 | 341.61 | 334.98 | 338.09 | 1,983,091 | 01:00:00 |
FORM 3
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Washington, D.C. 20549 |
OMB APPROVAL
OMB Number: 3235-0104 Estimated average burden hours per response... 0.5 |
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1. Name and Address of Reporting Person * De Lange Bob |
2. Date of Event Requiring Statement (MM/DD/YYYY)
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3. Issuer Name and Ticker or Trading Symbol CATERPILLAR INC [CAT] |
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
___ X ___ Officer (give title below) _____ Other (specify below) Group President / |
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
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X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Beneficially Owned |
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1.Title of Security
(Instr. 4) |
2. Amount of Securities Beneficially Owned
(Instr. 4) |
3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5) |
4. Nature of Indirect Beneficial Ownership
(Instr. 5) |
Common Stock | 9230 | D |
Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities) |
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1. Title of Derivate Security
(Instr. 4) |
2. Date Exercisable and Expiration Date
(MM/DD/YYYY) |
3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5) |
6. Nature of Indirect Beneficial Ownership
(Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stock Option | 3/3/2011 | 3/3/2018 | Common Stock | 866 | $73.20 | D | |
Employee Stock Option | 3/2/2012 | 3/2/2019 | Common Stock | 1389 | $22.17 | D | |
Employee Stock Option | 3/1/2013 | 3/1/2020 | Common Stock | 2157 | $57.85 | D | |
Employee Stock Option | 3/7/2014 | 3/7/2021 | Common Stock | 3359 | $102.13 | D | |
Employee Stock Option | 3/5/2015 | 3/5/2022 | Common Stock | 2952 | $110.09 | D | |
Employee Stock Option | 3/3/2016 | 3/3/2023 | Common Stock | 3994 | $89.75 | D | |
Employee Stock Option | 3/3/2017 | 3/3/2024 | Common Stock | 5795 | $96.31 | D | |
Employee Stock Option | (1) | 3/2/2025 | Common Stock | 31888 | $83.00 | D | |
Employee Stock Option | (2) | 3/7/2026 | Common Stock | 46870 | $74.77 | D |
Reporting Owners
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Reporting Owner Name / Address |
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Director | 10% Owner | Officer | Other | ||
De Lange Bob
100 NE ADAMS STREET PEORIA, IL 61629 |
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Group President |
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Signatures
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By: B. De Lange; G. Acker, POA | 1/11/2017 | |
** Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1 Year Caterpillar Chart |
1 Month Caterpillar Chart |
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