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Filing Details

Accession Number:
Form Type:
Zero Holdings:
Publication Time:
2012-02-23 16:11:47
Reporting Period:
Filing Date:
Accepted Time:
2012-02-23 16:11:47
SEC Url:
Form 4 Filing
Cik Name Symbol Sector (SIC) IRS No
18230 Caterpillar Inc CAT Construction Machinery & Equip (3531) 370602744
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1171771 B James Buda 100 N.e. Adams Street
Peoria IL 61629-7310
Sr. Vp & Chief Legal Officer 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 54,000 $27.14 97,714 No 4 M Direct
Common Disposition 2012-02-21 54,000 $115.00 43,714 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 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
0 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 16,761 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
0 16,761 Direct
  1. This amount includes 3312 shares in dividend reinvestment.
  2. Includes 9580 shares previously owned indirectly through Caterpillar's 401k 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.