Filing Details

Accession Number:
0000018230-11-000267
Form Type:
4
Zero Holdings:
No
Publication Time:
2011-05-02 17:07:22
Reporting Period:
2011-04-29
Filing Date:
2011-05-02
Accepted Time:
2011-05-02 17:07:22
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
1307061 M Bradley Halverson 100 N.e. Adams Street
Peoria IL 61629
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 Acquisiton 2011-04-29 8,880 $25.36 25,566 No 4 M Direct
Common Disposition 2011-04-29 8,880 $115.49 16,686 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 Employee Stock Option Disposition 2011-04-29 8,880 $0.00 8,880 $25.36
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2012-06-11 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common 4,287 Indirect Owned by Wife's Trust
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Phantom Stock Units $0.00 0 5,693 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
0 5,693 Direct
Footnotes
  1. This amount includes 11,968 shares in 401K and 4 shares in dividend reinvestment.
  2. Beneficial ownership denied.
  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 one year; 1/3 after two years; 1/3 after three years.