Initial Statement of Beneficial Ownership (3)
January 11 2017 - 1:23PM
Edgar (US Regulatory)
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FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
De Lange Bob
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2. Date of Event Requiring Statement (MM/DD/YYYY)
1/1/2017
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3. Issuer Name
and
Ticker or Trading Symbol
CATERPILLAR INC [CAT]
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(Last)
(First)
(Middle)
100 NE ADAMS STREET
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
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X
___ Officer (give title below)
_____ Other (specify below)
Group President /
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(Street)
PEORIA, IL 61629
(City)
(State)
(Zip)
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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
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
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9230
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D
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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)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Employee Stock Option
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3/3/2011
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3/3/2018
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Common Stock
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866
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$73.20
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D
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Employee Stock Option
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3/2/2012
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3/2/2019
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Common Stock
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1389
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$22.17
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D
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Employee Stock Option
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3/1/2013
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3/1/2020
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Common Stock
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2157
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$57.85
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D
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Employee Stock Option
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3/7/2014
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3/7/2021
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Common Stock
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3359
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$102.13
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D
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Employee Stock Option
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3/5/2015
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3/5/2022
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Common Stock
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2952
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$110.09
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D
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Employee Stock Option
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3/3/2016
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3/3/2023
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Common Stock
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3994
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$89.75
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D
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Employee Stock Option
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3/3/2017
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3/3/2024
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Common Stock
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5795
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$96.31
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D
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Employee Stock Option
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(1)
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3/2/2025
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Common Stock
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31888
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$83.00
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D
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Employee Stock Option
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(2)
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3/7/2026
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Common Stock
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46870
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$74.77
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D
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Explanation of Responses:
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(
1)
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The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 2, 2015 and vest equally in 1/3 increments on each of the first, second and third anniversaries of the grant date.
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(
2)
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The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 7, 2016 and vest equally in 1/3 increments on each of the first, second and third anniversaries of the grant date.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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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
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1/11/2017
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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