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CATERPILLAR INC — Director's Dealing 2011
May 2, 2011
29780_dirs_2011-05-02_926486b9-3702-4646-8903-e855cdb1e3f1.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: 2011-04-29
Reporting Person: GALLARDO JUAN (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2011-04-11 | Common | M | 8000 | $22.755 | Acquired | 230860 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2011-04-29 | Phantom Stock Units | $ | A | 108 | Acquired | Common (108) | Direct |
Footnotes
F1: Security converts to common stock on a one-for-one basis.
F2: 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 April 2011 at a price of $115.4000 per share.
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