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CATERPILLAR INC — Director's Dealing 2012
Mar 7, 2012
29780_dirs_2012-03-07_d3f122a2-d16e-4a24-98fd-31190113e478.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: 2012-03-05
Reporting Person: Copeland Jananne A. (Controller/Chief Acctg Officer)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2012-03-05 | Employee Stock Option (right to buy) | $110.09 | A | 5777 | Acquired | 2022-03-05 | Common (5777) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common | 7822 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Phantom Stock Units | $ | Common (0) | 1302 | Direct |
Footnotes
F1: This amount includes 3596 shares in 401K.
F2: 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.
F3: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock.
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