Filing Details

Accession Number:
0000018230-13-000030
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-01-09 15:14:40
Reporting Period:
2013-01-07
Filing Date:
2013-01-09
Accepted Time:
2013-01-09 15:14:40
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
18230 Caterpillar Inc CAT Construction Machinery & Equip (3531) 370602744
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1415606 A. Jananne Copeland 100 N.e. Adams Street
Peoria IL 61629
Controller/Chief Acctg Officer No Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2013-01-07 3,700 $38.63 11,330 No 4 M Direct
Common Stock Disposition 2013-01-07 3,700 $95.00 7,630 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Employee Stock Option Disposition 2013-01-07 3,700 $0.00 3,700 $38.63
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
3,720 2014-06-08 No 4 M Direct
Footnotes
  1. Pursuant to a previously enacted 10b5-1 plan.
  2. Exercisable in thirds beginning 1 year after the initial grant date of June 8, 2004. (1/3 after one year; 1/3 after two years; 1/3 after 3 years).