Filing Details
- Accession Number:
- 0000018230-15-000268
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-07-31 14:45:36
- Reporting Period:
- 2015-07-29
- Filing Date:
- 2015-07-31
- Accepted Time:
- 2015-07-31 14:45:36
- 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 |
|---|---|---|---|---|---|---|---|
| 1307061 | M Bradley Halverson | 100 N.e. Adams Street Peoria IL 61629 | Group President & Cfo | 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 | 2015-07-29 | 9,935 | $63.04 | 22,246 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2015-07-29 | 8,113 | $77.19 | 14,133 | No | 4 | D | Direct | |
| Common Stock | Disposition | 2015-07-29 | 1,822 | $77.11 | 12,311 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2015-07-29 | 14,092 | $22.17 | 26,403 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2015-07-29 | 4,047 | $77.19 | 22,356 | No | 4 | D | Direct | |
| Common Stock | Disposition | 2015-07-29 | 10,045 | $77.11 | 12,311 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | D | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | D | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Appreciation Right | Disposition | 2015-07-29 | 9,935 | $0.00 | 9,935 | $63.04 |
| Common Stock | Stock Appreciation Right | Disposition | 2015-07-29 | 14,092 | $0.00 | 14,092 | $22.17 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2010-03-02 | 2017-03-02 | No | 4 | M | Direct |
| 0 | 2012-03-02 | 2019-03-02 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 10,274 | Indirect | Held by 401(k) Plan |
| Common Stock | 17,480 | Indirect | Held by Mindy Halverson Trust |
Footnotes
- The information in this report is based on a 401(k) Plan statement dated as of 06/30/2015.
Billionaire Hedge Funds
