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CATERPILLAR INC — Director's Dealing 2009
Oct 21, 2009
29780_dirs_2009-10-21_710e69b3-9cf4-4a06-984a-be453933c535.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: 2009-10-20
Reporting Person: VITTECOQ GERARD R (Group President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2009-10-20 | Common | M | 5984 | $19.2032 | Acquired | 105347 | Direct |
| 2009-10-20 | Common | F | 1921 | $59.79 | Disposed | 103426 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2009-10-20 | Employee Stock Option | $19.2032 | M | 5984 | Disposed | 2010-06-12 | Common (5984) | Direct |
Footnotes
F1: Included in this amount are 37,093 shares in EIP.
F2: (Right to buy) with tandem tax withholding rights.
F3: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs.
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