Filing Details

Accession Number:
0000018230-12-000202
Form Type:
4
Zero Holdings:
No
Publication Time:
2012-04-10 13:00:00
Reporting Period:
2010-03-09
Filing Date:
2012-04-10
Accepted Time:
2012-04-10 16:22:30
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
1171774 P Richard Lavin 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 Disposition 2010-03-09 4 $0.00 0 No 4 J Indirect Daughter
Common Acquisiton 2010-07-07 355 $58.23 355 No 4 P Indirect Daughter
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 J Indirect Daughter
No 4 P Indirect Daughter
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common 79,967 Direct
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Phantom Stock Units $0.00 0 23,555 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
0 23,555 Direct
Footnotes
  1. This amount includes 243 shares in 401K and 386 shares in dividend reinvestment.
  2. These 4 shares were escheated by the transfer agent.
  3. These shares were purchased by the reporting person's daughter. The purchase of shares on July 7, 2010 by the reporting person's daughter was matchable under Section 16(b) of the Securities Exchange Act of 1934 with the reporting person's sale of shares on August 2, 2010 (to the extent of 355 shares sold on that date). The reporting person has paid to Caterpillar Inc. the full amount of profit realized in connection with the short-swing transaction.
  4. Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock.
  5. The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled 100% in cash upon the reporting person's retirement or separation from service.