Filing Details
- Accession Number:
- 0000018230-12-000072
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-02-23 16:11:19
- Reporting Period:
- 2012-02-21
- Filing Date:
- 2012-02-23
- Accepted Time:
- 2012-02-23 16:11:19
- 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 |
---|---|---|---|---|---|---|---|
1171780 | J Edward Rapp | 100 N.e. Adams Street Peoria IL 61629 | Cfo & 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 | 2012-02-21 | 27,000 | $27.14 | 68,293 | No | 4 | M | Direct | |
Common | Disposition | 2012-02-21 | 27,000 | $115.00 | 41,293 | 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 | 2012-02-21 | 27,000 | $115.00 | 27,000 | $27.14 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
27,000 | 2013-06-10 | No | 4 | M | Direct |
Reported Derivative Holdings
Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|---|---|---|---|
Common | Phantom Stock Units | $0.00 | 0 | 20,617 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
0 | 20,617 | Direct |
Footnotes
- This amount includes 2283 shares in 401K.
- Includes 11,672 shares previously owned indirectly through Caterpillar's 401(k) plan.
- 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).
- 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.