Filing Details
- Accession Number:
- 0000018230-14-000175
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-05-02 13:49:51
- Reporting Period:
- 2014-05-01
- Filing Date:
- 2014-05-02
- Accepted Time:
- 2014-05-02 13:49:51
- 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 | 2014-05-01 | 8,400 | $45.64 | 36,926 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-05-01 | 5,881 | $105.43 | 31,045 | 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 | 2014-05-01 | 8,400 | $0.00 | 8,400 | $45.64 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2005-02-18 | 2015-02-18 | No | 4 | M | Direct |
Footnotes
- Shares sold to cover cost of (i) exercise price of options and (ii) cost of tax liability.
Billionaire Hedge Funds
