Filing Details
- Accession Number:
- 0000018230-14-000064
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2014-02-27 16:21:40
- Reporting Period:
- 2014-01-31
- Filing Date:
- 2014-02-27
- Accepted Time:
- 2014-02-27 16:21:40
- Original Submission Date:
- 2014-02-27
- 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 |
|---|---|---|---|---|---|---|---|
| 1171780 | J Edward Rapp | 100 N.e. Adams Street Peoria IL 61629 | Group President | 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 | 2014-01-31 | 30,000 | $38.63 | 85,615 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-01-31 | 20,671 | $93.35 | 64,944 | No | 4 | F | Direct | |
| Common Stock | Acquisiton | 2014-01-31 | 30,000 | $38.63 | 94,944 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-01-31 | 30,000 | $94.24 | 64,944 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| 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 | 2014-01-31 | 60,000 | $0.00 | 60,000 | $38.63 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2004-12-31 | 2014-06-08 | No | 4 | M | Direct |
Footnotes
- Includes adjustments for dividends accrued and shares acquired under Caterpillar Inc.'s 401(k) plan.
- This amended Form 4 is being filed soley to correct an error in the number of shares surrendered by the reporting person to satisfy the exercise price and tax liability in connection with this transaction. The previously reported number was incorrect due to an administrative error.
Billionaire Hedge Funds
