Filing Details
- Accession Number:
- 0000018230-11-000067
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-02-08 15:09:43
- Reporting Period:
- 2011-02-07
- Filing Date:
- 2011-02-08
- Accepted Time:
- 2011-02-08 15:09:43
- 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 |
|---|---|---|---|---|---|---|---|
| 1171774 | P Richard Lavin | 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 | Acquisiton | 2011-02-07 | 30,000 | $45.64 | 80,882 | No | 4 | M | Direct | |
| Common | Disposition | 2011-02-07 | 20,439 | $100.15 | 60,443 | No | 4 | F | Direct | |
| Common | Acquisiton | 2011-02-07 | 34,000 | $38.63 | 94,443 | No | 4 | M | Direct | |
| Common | Disposition | 2011-02-07 | 21,770 | $100.15 | 72,673 | No | 4 | F | Direct | |
| Common | Acquisiton | 2011-02-07 | 36,000 | $38.63 | 108,673 | No | 4 | M | Direct | |
| Common | Disposition | 2011-02-07 | 36,000 | $100.42 | 72,673 | 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 | F | Direct | |
| 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 | Employee Stock Option | Disposition | 2011-02-07 | 30,000 | $0.00 | 30,000 | $45.64 |
| Common | Employee Stock Option | Disposition | 2011-02-07 | 34,000 | $0.00 | 34,000 | $38.63 |
| Common | Employee Stock Option | Disposition | 2011-02-07 | 36,000 | $0.00 | 36,000 | $38.63 |
| 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 | 2014-06-08 | No | 4 | M | Direct | |
| 0 | 2014-06-08 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common | 4 | Indirect | Custodian for Daughter |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common | Phantom Stock Units | $0.00 | 31 | 18,503 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 31 | 18,503 | Direct |
Footnotes
- This amount includes 13,665 shares in 401K and 333 shares in dividend reinvestment.
- 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.
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