Filing Details
- Accession Number:
- 0000018230-14-000151
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-05-01 17:53:11
- Reporting Period:
- 2014-04-29
- Filing Date:
- 2014-05-01
- Accepted Time:
- 2014-05-01 17:53:11
- 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 |
|---|---|---|---|---|---|---|---|
| 1171771 | B James Buda | 100 N.e. Adams Street Peoria IL 61629 | Executive 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 Stock | Acquisiton | 2014-04-29 | 48,000 | $72.05 | 84,787 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-04-29 | 33,170 | $104.26 | 51,617 | No | 4 | D | Direct | |
| Common Stock | Disposition | 2014-04-29 | 14,830 | $105.00 | 36,787 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2014-04-29 | 47,342 | $63.04 | 84,129 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-04-29 | 28,624 | $104.26 | 55,505 | No | 4 | D | Direct | |
| Common Stock | Disposition | 2014-04-29 | 18,718 | $105.00 | 36,787 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | D | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | D | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Appreciation Right | Disposition | 2014-04-29 | 48,000 | $0.00 | 48,000 | $72.05 |
| Common Stock | Stock Appreciation Right | Disposition | 2014-04-29 | 47,342 | $0.00 | 47,342 | $63.04 |
| Common Stock | Phantom Stock Units | Acquisiton | 2014-04-30 | 41 | $105.40 | 41 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2009-02-17 | 2016-02-17 | No | 4 | M | Direct |
| 0 | 2010-03-02 | 2017-03-02 | No | 4 | M | Direct |
| 20,495 | No | 4 | A | Direct |
Footnotes
- Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock.
- This total includes 27 shares which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $105.40 and 14 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.
- The phantom stock units are to be settled 100% in cash upon the reporting person's retirement or separation from service.
Billionaire Hedge Funds
