Filing Details
- Accession Number:
- 0000018230-13-000030
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-01-09 15:14:40
- Reporting Period:
- 2013-01-07
- Filing Date:
- 2013-01-09
- Accepted Time:
- 2013-01-09 15:14:40
- 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 |
|---|---|---|---|---|---|---|---|
| 1415606 | A. Jananne Copeland | 100 N.e. Adams Street Peoria IL 61629 | Controller/Chief Acctg 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 Stock | Acquisiton | 2013-01-07 | 3,700 | $38.63 | 11,330 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-01-07 | 3,700 | $95.00 | 7,630 | 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 Stock | Employee Stock Option | Disposition | 2013-01-07 | 3,700 | $0.00 | 3,700 | $38.63 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 3,720 | 2014-06-08 | No | 4 | M | Direct |
Footnotes
- Pursuant to a previously enacted 10b5-1 plan.
- Exercisable in thirds beginning 1 year after the initial grant date of June 8, 2004. (1/3 after one year; 1/3 after two years; 1/3 after 3 years).
Billionaire Hedge Funds
