Filing Details
- Accession Number:
- 0000018230-10-000073
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-02-08 12:00:00
- Reporting Period:
- 2010-02-05
- Filing Date:
- 2010-02-08
- Accepted Time:
- 2010-02-08 09:24:09
- 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 |
---|---|---|---|---|---|---|---|
1171770 | R Douglas Oberhelman | 100 N.e. Adams Street Peoria IL 61629-7220 | Vice Chairman & Ceo-Elect | 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 | 2010-02-05 | 10,699 | $51.47 | 70,303 | No | 4 | S | Direct | |
Common | Disposition | 2010-02-05 | 9,123 | $51.60 | 61,180 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | S | Direct | |
No | 4 | S | 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 | 41,747 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
0 | 41,747 | Direct |
Footnotes
- This amount includes 27,094 shares in 401K and 7975 shares in dividend reinvestment.
- Security converts to common stock on a one-for-one basis.
- The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service.