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CATERPILLAR INC — Director's Dealing 2012
Feb 2, 2012
29780_dirs_2012-02-02_caef23a3-1fad-4963-b881-c4cc088b68d9.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: 2012-01-31
Reporting Person: WUNNING STEVEN H (Group President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2012-01-31 | Common | M | 126000 | $38.6275 | Acquired | 201863 | Direct |
| 2012-01-31 | Common | S | 126000 | $111.0943 | Disposed | 75863 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2012-01-31 | Employee Stock Option | $38.6275 | M | 126000 | Disposed | 2014-06-08 | Common (126000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common | 951 | Indirect |
Footnotes
F1: This amount includes 24,698 shares in 401K.
F2: Reporting person disclaims beneficial ownership.
F3: Right to buy with tandem tax withholding rights.
F4: Exercisable in thirds beginning 1 year after the initial grant date. (1/3 after one year; 1/3 after two years; 1/3 after three years).
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