Filing Details
- Accession Number:
- 0000018230-12-000060
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-02-02 09:54:41
- Reporting Period:
- 2012-01-31
- Filing Date:
- 2012-02-02
- Accepted Time:
- 2012-02-02 09:54:41
- 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 | 2012-01-31 | 126,000 | $38.63 | 201,863 | No | 4 | M | Direct | |
| Common | Disposition | 2012-01-31 | 126,000 | $111.09 | 75,863 | 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 | Employee Stock Option | Disposition | 2012-01-31 | 126,000 | $0.00 | 126,000 | $38.63 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2014-06-08 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common | 951 | Indirect | Owned by Wife |
Footnotes
- This amount includes 24,698 shares in 401K.
- Reporting person disclaims beneficial ownership.
- Right to buy with tandem tax withholding rights.
- Exercisable in thirds beginning 1 year after the initial grant date. (1/3 after one year; 1/3 after two years; 1/3 after three years).
Billionaire Hedge Funds
