Filing Details
- Accession Number:
- 0000018230-14-000035
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-02-03 18:29:38
- Reporting Period:
- 2014-01-30
- Filing Date:
- 2014-02-03
- Accepted Time:
- 2014-02-03 18:29:38
- 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 |
|---|---|---|---|---|---|---|---|
| 1566320 | J Donald Iii Umpleby | 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 Stock | Acquisiton | 2014-01-30 | 10,000 | $38.63 | 34,659 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-01-30 | 6,133 | $92.40 | 28,526 | 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 | 2014-01-30 | 10,000 | $0.00 | 10,000 | $38.63 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2004-12-31 | 2014-06-08 | No | 4 | M | Direct |
Footnotes
- Includes adjustments for shares acquired under Caterpillar Inc.'s 401(k) plan.
- Shares sold to cover cost of (i) exercise price of options and (ii) cost of tax liability.
Billionaire Hedge Funds
