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CATERPILLAR INC — Director's Dealing 2011
Mar 30, 2011
29780_dirs_2011-03-30_f58ebb02-0a1d-4c40-a99f-ada5bfe3dd97.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: 2011-03-28
Reporting Person: LEVENICK STUART L (Group President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2011-03-28 | Common | M | 126000 | $38.6275 | Acquired | 221671 | Direct |
| 2011-03-28 | Common | F | 78145 | $109.945 | Disposed | 143526 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2011-03-28 | Employee Stock Option | $38.6275 | M | 126000 | Disposed | 2014-06-08 | Common (126000) | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Phantom Stock Units | $ | Common (0) | 15221 | Direct |
Footnotes
F1: This amount includes 4391 shares in 401K and 27 shares in dividend reinvestment.
F2: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service.
F3: Security converts to common stock on a one-for-one basis.
F4: (Right to buy) with tandem tax withholding rights.
F5: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs.
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