Filing Details

Accession Number:
0000018230-11-000053
Form Type:
4
Zero Holdings:
No
Publication Time:
2011-02-01 13:39:47
Reporting Period:
2011-02-01
Filing Date:
2011-02-01
Accepted Time:
2011-02-01 13:39:47
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
1171788 H Steven Wunning 100 N.e. Adams Street
Peoria IL 61629-7220
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 Acquisiton 2011-02-01 54,000 $27.14 128,430 No 4 M Direct
Common Disposition 2011-02-01 54,000 $96.97 74,430 No 4 S Direct
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 Phantom Stock Units Acquisiton 2011-02-01 125 $0.00 125 $0.00
Common Employee Stock Option Disposition 2011-02-01 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
22,402 No 4 A Direct
0 2013-06-10 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common 726 Indirect Owned by Wife
Common 1,125 Indirect Owned by Son
Footnotes
  1. This amount includes 24,647 shares in 401K.
  2. Reporting person disclaims beneficial ownership.
  3. Security converts to common stock on a one-for-one basis.
  4. The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service.
  5. (Right to buy) with tandem tax withholding rights.
  6. Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs.