Filing Details
- Accession Number:
- 0000018230-12-000202
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-04-10 13:00:00
- Reporting Period:
- 2010-03-09
- Filing Date:
- 2012-04-10
- Accepted Time:
- 2012-04-10 16:22:30
- 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
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common | Disposition | 2010-03-09 | 4 | $0.00 | 0 | No | 4 | J | Indirect | Daughter |
| Common | Acquisiton | 2010-07-07 | 355 | $58.23 | 355 | No | 4 | P | Indirect | Daughter |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | J | Indirect | Daughter |
| No | 4 | P | Indirect | Daughter |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common | 79,967 | 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 | 23,555 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 0 | 23,555 | Direct |
Footnotes
- This amount includes 243 shares in 401K and 386 shares in dividend reinvestment.
- These 4 shares were escheated by the transfer agent.
- These shares were purchased by the reporting person's daughter. The purchase of shares on July 7, 2010 by the reporting person's daughter was matchable under Section 16(b) of the Securities Exchange Act of 1934 with the reporting person's sale of shares on August 2, 2010 (to the extent of 355 shares sold on that date). The reporting person has paid to Caterpillar Inc. the full amount of profit realized in connection with the short-swing transaction.
- 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.
Billionaire Hedge Funds
