Filing Details
- Accession Number:
- 0000018230-12-000073
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-02-23 16:11:47
- Reporting Period:
- 2012-02-21
- Filing Date:
- 2012-02-23
- Filing Date Changed:
- 2012-02-23
- Accepted Time:
- 2012-02-23 16:11:47
- Original Submission Date:
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 |
|---|---|---|---|---|---|---|---|
| 1171771 | B James Buda | 100 N.e. Adams Street Peoria IL 61629-7310 |
Sr. Vp & Chief Legal Officer | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings |
|---|---|---|---|---|---|
| Common | Acquisiton | 2012-02-21 | 54,000 | $27.14 | 97,714 |
| Common | Disposition | 2012-02-21 | 54,000 | $115.00 | 43,714 |
| 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 | Employee Stock Option | Disposition | 2012-02-21 | 54,000 | $0.00 | 54,000 | $27.14 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2013-06-10 | No | 4 | M | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date |
|---|---|---|---|
| Common | Phantom Stock Units | $0.00 |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 0 | 16,761 | Direct |
Footnotes
- This amount includes 3312 shares in dividend reinvestment.
- Includes 9580 shares previously owned indirectly through Caterpillar's 401k plan.
- Exercisable in thirds beginning 1 year after the initial grant date. (1/3 after one year; 1/3 after two years; 1/3 after three years).
- Security converts to common stock on a one-for-one basis.
- The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service.
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