Filing Details
- Accession Number:
- 0000018230-10-000390
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-08-05 13:00:00
- Reporting Period:
- 2010-08-04
- Filing Date:
- 2010-08-05
- Accepted Time:
- 2010-08-05 11:33:26
- 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 |
---|---|---|---|---|---|---|---|
1307061 | M Bradley Halverson | 100 N.e. Adams Street Peoria IL 61629 | Vice 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 | Acquisiton | 2010-08-04 | 5,000 | $25.36 | 21,146 | No | 4 | M | Direct | |
Common | Disposition | 2010-08-04 | 5,000 | $71.12 | 16,146 | 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 | Employee Stock Option | Disposition | 2010-08-04 | 5,000 | $0.00 | 5,000 | $25.36 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | 2012-06-11 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common | 4,238 | Indirect | Owned by Wife's Trust |
Reported Derivative Holdings
Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|---|---|---|---|
Common | Phantom Stock Units | $0.00 | 0 | 4,096 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
0 | 4,096 | Direct |
Footnotes
- This amount includes 11,709 shares in 401K and 4 shares in dividend reinvestment.
- Beneficial ownership denied.
- 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.
- (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.