Filing Details
- Accession Number:
- 0000018230-11-000053
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-02-01 13:39:47
- Reporting Period:
- 2011-02-01
- Filing Date:
- 2011-02-01
- Accepted Time:
- 2011-02-01 13:39:47
- 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 |
---|---|---|---|---|---|---|---|
1171788 | H Steven Wunning | 100 N.e. Adams Street Peoria IL 61629-7220 | 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 | Acquisiton | 2011-02-01 | 54,000 | $27.14 | 128,430 | No | 4 | M | Direct | |
Common | Disposition | 2011-02-01 | 54,000 | $96.97 | 74,430 | 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 | Phantom Stock Units | Acquisiton | 2011-02-01 | 125 | $0.00 | 125 | $0.00 |
Common | Employee Stock Option | Disposition | 2011-02-01 | 54,000 | $0.00 | 54,000 | $27.14 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
22,402 | No | 4 | A | Direct | ||
0 | 2013-06-10 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common | 726 | Indirect | Owned by Wife |
Common | 1,125 | Indirect | Owned by Son |
Footnotes
- This amount includes 24,647 shares in 401K.
- Reporting person disclaims beneficial ownership.
- Security converts to common stock on a one-for-one basis.
- The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service.
- (Right to buy) with tandem tax withholding rights.
- Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs.