Filing Details

Accession Number:
0000018230-12-000072
Form Type:
4
Zero Holdings:
No
Publication Time:
2012-02-23 16:11:19
Reporting Period:
2012-02-21
Filing Date:
2012-02-23
Accepted Time:
2012-02-23 16:11:19
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
1171780 J Edward Rapp 100 N.e. Adams Street
Peoria IL 61629
Cfo & 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 2012-02-21 27,000 $27.14 68,293 No 4 M Direct
Common Disposition 2012-02-21 27,000 $115.00 41,293 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 2012-02-21 27,000 $115.00 27,000 $27.14
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
27,000 2013-06-10 No 4 M Direct
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Phantom Stock Units $0.00 0 20,617 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
0 20,617 Direct
Footnotes
  1. This amount includes 2283 shares in 401K.
  2. Includes 11,672 shares previously owned indirectly through Caterpillar's 401(k) plan.
  3. Exercisable in thirds beginning 1 year after the initial grant date. (1/3 after one year; 1/3 after two years; 1/3 after three years).
  4. Security converts to common stock on a one-for-one basis.
  5. The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service.