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Home > Insider Trading > Filing (0000018230-14-000039)

Filing Details

Accession Number:: 0000018230-14-000039
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2014-02-04 14:13:43
Reporting Period:: 2014-01-31

Filing Date:: 2014-02-04
Accepted Time:: 2014-02-04 14:13:43
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

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2014-01-31	30,000	$38.63	85,755	No	4	M	Direct
Common Stock	Disposition	2014-01-31	19,791	$93.35	65,824	No	4	F	Direct
Common Stock	Acquisiton	2014-01-31	30,000	$38.63	95,824	No	4	M	Direct
Common Stock	Disposition	2014-01-31	30,000	$94.24	65,824	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	M	Direct
No	4	F	Direct
No	4	M	Direct
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Employee Stock Option	Disposition	2014-01-31	60,000	$0.00	60,000	$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 dividends accrued and shares acquired under Caterpillar Inc.'s 401(k) plan.