Filing Details
- Accession Number:
- 0000018230-14-000282
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-07-31 12:43:29
- Reporting Period:
- 2014-07-29
- Filing Date:
- 2014-07-31
- Accepted Time:
- 2014-07-31 11:43:29
- 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
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2014-07-29 | 48,144 | $73.20 | 84,931 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-07-29 | 33,493 | $105.22 | 51,438 | No | 4 | D | Direct | |
| Common Stock | Disposition | 2014-07-29 | 14,651 | $105.24 | 36,787 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2014-07-29 | 68,251 | $22.17 | 105,038 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-07-29 | 14,380 | $105.22 | 90,658 | No | 4 | D | Direct | |
| Common Stock | Disposition | 2014-07-29 | 53,871 | $105.24 | 36,787 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2014-07-30 | 2,925 | $22.17 | 39,712 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-07-30 | 619 | $104.69 | 39,093 | No | 4 | D | Direct | |
| Common Stock | Disposition | 2014-07-30 | 2,306 | $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 | |
| 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 | 2014-07-29 | 48,144 | $0.00 | 48,144 | $73.20 |
| Common Stock | Stock Appreciation Right | Disposition | 2014-07-29 | 68,251 | $0.00 | 68,251 | $22.17 |
| Common Stock | Stock Appreciation Right | Disposition | 2014-07-30 | 2,925 | $0.00 | 2,925 | $22.17 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2011-03-03 | 2018-03-03 | No | 4 | M | Direct |
| 0 | 2012-03-02 | 2019-03-02 | No | 4 | M | Direct |
| 0 | 2012-03-02 | 2019-03-02 | No | 4 | M | Direct |
Billionaire Hedge Funds
