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Home > Insider Trading > Filing (0000018230-14-000151)

Filing Details

Accession Number:
0000018230-14-000151
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-05-01 17:53:11
Reporting Period:
2014-04-29
Filing Date:
2014-05-01
Accepted Time:
2014-05-01 17:53:11
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
1171771 B James Buda 100 N.e. Adams Street
Peoria IL 61629		 Executive Vice President No Yes No No
Reported Non-Derivative Transactions
Show Other Fields >>
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2014-04-29 48,000 $72.05 84,787 No 4 M Direct
Common Stock Disposition 2014-04-29 33,170 $104.26 51,617 No 4 D Direct
Common Stock Disposition 2014-04-29 14,830 $105.00 36,787 No 4 S Direct
Common Stock Acquisiton 2014-04-29 47,342 $63.04 84,129 No 4 M Direct
Common Stock Disposition 2014-04-29 28,624 $104.26 55,505 No 4 D Direct
Common Stock Disposition 2014-04-29 18,718 $105.00 36,787 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
Show Other Fields >>
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Stock Appreciation Right Disposition 2014-04-29 48,000 $0.00 48,000 $72.05
Common Stock Stock Appreciation Right Disposition 2014-04-29 47,342 $0.00 47,342 $63.04
Common Stock Phantom Stock Units Acquisiton 2014-04-30 41 $105.40 41 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2009-02-17 2016-02-17 No 4 M Direct
0 2010-03-02 2017-03-02 No 4 M Direct
20,495 No 4 A Direct
Footnotes
  1. Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock.
  2. This total includes 27 shares which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $105.40 and 14 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.
  3. The phantom stock units are to be settled 100% in cash upon the reporting person's retirement or separation from service.