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Home > Insider Trading > Filing (0000018230-11-000291)

Filing Details

Accession Number:: 0000018230-11-000291
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2011-05-05 15:33:32
Reporting Period:: 2011-05-04

Filing Date:: 2011-05-05
Accepted Time:: 2011-05-05 15:33:32
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
1171802	R John Brazil	103 Mesa Verde Boerne TX 78006		Yes	No	No	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common	Acquisiton	2011-05-04	5,833	$63.04	17,222	No	4	M	Direct
Common	Disposition	2011-05-04	3,285	$111.93	13,937	No	4	F	Direct
Common	Acquisiton	2011-05-04	7,000	$66.77	20,937	No	4	M	Direct
Common	Disposition	2011-05-04	4,175	$111.93	16,762	No	4	F	Direct
Common	Disposition	2011-05-05	5,373	$110.37	11,389	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	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common	Stock Appreciation Right	Disposition	2011-05-04	5,833	$0.00	5,833	$63.04
Common	Stock Appreciation Right	Disposition	2011-05-04	7,000	$0.00	7,000	$66.77

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0		2017-03-02	No	4	M	Direct
0		2016-06-14	No	4	M	Direct

Footnotes

The stock appreciation rights vest on 03/02/2010.
The stock appreciation rights vest on 06/14/2009.