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CATERPILLAR INC — Director's Dealing 2009
Feb 2, 2009
29780_dirs_2009-02-02_aa5f3768-d682-4656-90d6-249a40a0db34.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: CATERPILLAR INC (CAT)
CIK: 0000018230
Period of Report: 2009-01-29
Reporting Person: MAGOWAN PETER A (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2009-01-29 | Common | P | 2500 | $32.3812 | Acquired | 275502 | Direct |
| 2009-01-30 | Common | P | 3000 | $30.951 | Acquired | 278502 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2009-01-30 | Phantom Stock Units | $ | A | 242 | Acquired | Common (242) | Direct |
Footnotes
F1: This amount includes 3548 shares in dividend reinvestment.
F2: Security converts to common stock on a one-for-one basis.
F3: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in January 2009 at a price of $30.90 per share.
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