Filing Details

Accession Number:
0000018230-11-000057
Form Type:
4
Zero Holdings:
No
Publication Time:
2011-02-04 10:57:09
Reporting Period:
2011-02-03
Filing Date:
2011-02-04
Accepted Time:
2011-02-04 10:57:09
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
1173565 I Joshua Smith 8401 Colesville Rd.
Suite 604
Silver Spring MD 20910
Yes No 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 2011-02-03 4,000 $29.43 14,985 No 4 M Direct
Common Acquisiton 2011-02-03 2,000 $40.64 16,985 No 4 M Direct
Common Disposition 2011-02-03 6,000 $99.00 10,985 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
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 2011-02-03 4,000 $0.00 4,000 $29.43
Common Employee Stock Option Disposition 2011-02-03 2,000 $0.00 2,000 $40.64
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2012-04-10 No 4 M Direct
0 2014-04-14 No 4 M Direct
Footnotes
  1. This amount includes 203 shares in dividend reinvestment.
  2. (Right to buy) with tandem tax withholding rights.
  3. Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs.