Filing Details
- Accession Number:
- 0000018230-12-000069
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-02-21 16:17:51
- Reporting Period:
- 2012-02-21
- Filing Date:
- 2012-02-21
- Accepted Time:
- 2012-02-21 16:17:51
- 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 |
|---|---|---|---|---|---|---|---|
| 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 | Disposition | 2012-02-21 | 7,000 | $114.73 | 80,048 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | 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 | 36 | 21,074 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 36 | 21,074 | Direct |
Footnotes
- This amount includes 14,171 shares in 401K and 301 shares in dividend reinvestment.
- Security converts to common stock on a one-for-one basis.
- The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service.
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