Filing Details
- Accession Number:
- 0000018230-10-000201
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-04-06 13:00:00
- Reporting Period:
- 2010-04-05
- Filing Date:
- 2010-04-06
- Accepted Time:
- 2010-04-06 14:08:27
- 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 |
---|---|---|---|---|---|---|---|
1171780 | J Edward Rapp | 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 | 2010-04-05 | 132 | $64.60 | 41,767 | No | 4 | F | Direct | |
Common | Acquisiton | 2010-04-05 | 24,000 | $26.77 | 65,767 | No | 4 | M | Direct | |
Common | Disposition | 2010-04-05 | 24,000 | $65.00 | 41,767 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | F | Direct | |
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 | 2010-04-05 | 24,000 | $0.00 | 24,000 | $26.77 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | 2011-06-12 | 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 | 20,143 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
0 | 20,143 | Direct |
Footnotes
- This amount includes 13,411 shares in 401K.
- 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.
- Amount reflects shares surrendered to satisfy tax withholding requirements upon the vesting of restricted stock.
- (Right to buy) with tandem tax withholding rights.
- Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs.