AI assistant

The assistant answers questions, extracts KPIs, and summarises risk factors directly from the filing text.

CATERPILLAR INC Director's Dealing 2012

Oct 2, 2012

29780_dirs_2012-10-02_55719a5e-cd23-4bc8-9415-d3703ebb14c7.zip

Director's Dealing

Open in viewer

Opens in your device viewer

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CATERPILLAR INC (CAT)
CIK: 0000018230
Period of Report: 2012-09-28

Reporting Person: Copeland Jananne A. (Controller/Chief Acctg Officer)

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2012-09-28	Phantom Stock Units	$	A	28	Acquired		Common (28)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common	7927	Direct

Footnotes

F1: This amount includes 3701 shares in 401K.

F2: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock.

F3: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled 100% in cash upon the reporting person's retirement or separation from service.