Sec Form 4 Filing - Halverson Bradley M @ CATERPILLAR INC - 2017-07-27

Insider filing report for Changes in Beneficial Ownership
"Insiders might sell their shares for any number of reasons, but they buy them for only one: they think the price will rise"
- Peter Lynch
What is insider trading>>
FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Expires: November 30, 2011
Estimated average burden hours per response... 0.5
1. Name and Address of Reporting Person
Halverson Bradley M
2. Issuer Name and Ticker or Trading Symbol
CATERPILLAR INC [ CAT]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
Group President & CFO
(Last) (First) (Middle)
100 N.E. ADAMS STREET
3. Date of Earliest Transaction (MM/DD/YY)
07/27/2017
(Street)
PEORIA, IL61629
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 07/27/2017 M 79,976 A $ 89.75 87,790 ( 2 ) D
Common Stock 07/27/2017 S 79,976 D $ 114.03 ( 1 ) 7,814 D
Common Stock 07/27/2017 M 102,636 A $ 83 110,450 D
Common Stock 07/27/2017 S 89,636 D $ 114.03 ( 1 ) 20,814 D
Common Stock 07/27/2017 S 100 D $ 114.33 20,714 D
Common Stock 07/27/2017 S 200 D $ 114.34 20,514 D
Common Stock 07/27/2017 S 12,700 D $ 114.37 7,814 D
Common Stock 11,128 ( 3 ) I Held by 401(k) Plan
Common Stock 202 ( 4 ) I Held by Mindy Halverson Trust
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
6. Date Exercisable and Expiration Date
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Employee Stock Option $ 89.75 07/27/2017 M 79,976 03/04/2017 03/04/2023 Common Stock 79,976 $ 0 0 D
Employee Stock Option $ 83 07/27/2017 M 102,636 ( 5 ) 03/02/2025 Common Stock 102,636 $ 0 51,318 D
Phantom Stock Units ( 6 ) 07/27/2017 I 14,363 ( 7 ) ( 7 ) Common Stock 14,363 $ 114.37 999 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Halverson Bradley M
100 N.E. ADAMS STREET
PEORIA, IL61629
Group President & CFO
Signatures
Bradley M. Halverson; G. Acker, POA 07/31/2017
Signature of Reporting Person Date
Explanation of Responses:
( 1 )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 $113.32 to $114.31, inclusive. The reporting person undertakes to provide Caterpillar Inc., any security holder of Caterpillar Inc., or the staff of the Securities and Exchange Commission, upon request, full information.
( 2 )Reflects adjustment for clerical error to total shares of Common Stock of the Issuer previously reported as beneficially owned by Mr. Halverson.
( 3 )The information in this report is based on a 401(k) Plan statement dated as of 06/30/2017.
( 4 )Reflects adjustments for clerical error to total shares of Common Stock of the Issuer reported as held in the Mindy Halverson Trust.
( 5 )Stock options vest equally in 1/3 increments beginning on the first anniversay of the grant date.
( 6 )Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock.
( 7 )The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan.

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 4(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 Number.