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Home > Insider Trading > Filing (0000018230-12-000400)

Filing Details

Accession Number:: 0000018230-12-000400
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2012-08-02 09:52:40
Reporting Period:: 2012-07-31

Filing Date:: 2012-08-02
Accepted Time:: 2012-08-02 09:52:40
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
1171774	P Richard Lavin	100 N.e. Adams Street Peoria IL 61629	Group President	No	Yes	No	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common	Disposition	2012-08-01	2,000	$84.92	73,257	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common	Phantom Stock Units	Acquisiton	2012-07-31	120	$0.00	120	$0.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
24,134			No	4	A	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common	405	Indirect	Daughter

Footnotes

This amount includes 283 shares in 401K and 386 shares in dividend reinvestment.
Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock.
The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled 100% in cash upon the reporting person's retirement or separation from service.
Includes 185 units acquired under Tax-Conditioned Plans.