Filing Details
- Accession Number:
- 0000018230-14-000157
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-05-01 17:59:13
- Reporting Period:
- 2014-04-29
- Filing Date:
- 2014-05-01
- Accepted Time:
- 2014-05-01 17:59:13
- 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 | Group President & Cfo | 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 | 11,000 | $45.64 | 31,835 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-04-29 | 11,000 | $104.60 | 20,835 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2014-04-29 | 17,000 | $72.05 | 37,835 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-04-29 | 11,717 | $104.51 | 26,118 | No | 4 | D | Direct | |
| Common Stock | Disposition | 2014-04-29 | 5,283 | $104.51 | 20,835 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2014-04-29 | 3,355 | $104.80 | 17,480 | No | 4 | S | Indirect | By Mindy Halverson Trust |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | D | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Indirect | By Mindy Halverson Trust |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Options | Disposition | 2014-04-29 | 11,000 | $0.00 | 11,000 | $45.64 |
| Common Stock | Stock Aprreciation Right | Disposition | 2014-04-29 | 17,000 | $0.00 | 17,000 | $72.05 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2015-02-18 | No | 4 | M | Direct | |
| 0 | 2009-02-17 | 2016-02-17 | No | 4 | M | Direct |
Footnotes
- Exercisable in thirds beginning 1 year after the initial grant date. (1/3 after one year; 1/3 after two years; 1/3 after 3 years).
Billionaire Hedge Funds
