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CATERPILLAR INC — Director's Dealing 2011
Apr 5, 2011
29780_dirs_2011-04-05_0028fafb-36cc-4729-879c-e42d26b168b3.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: 2010-03-02
Reporting Person: RAPP EDWARD J (Group President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2010-03-02 | Common | M | 2594 | — | Acquired | 42439 | Direct |
| 2010-03-02 | Common | F | 764 | $58.42 | Disposed | 41675 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2010-03-02 | Restricted Stock Units | $ | M | 2594 | Disposed | 2010-03-02 | Common (2594) | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Phantom Stock Units | $ | Common (0) | 20036 | Direct |
Footnotes
F1: This amount includes 13,187 shares in 401K.
F2: Security converts to common stock on a one-for-one basis.
F3: 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.
F4: Each restricted stock unit represents the equivalent of one share of Caterpillar common stock. On March 2, 2010, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar common stock.
F5: Amount reflects shares surrendered to satisfy tax withholding requirements upon the vesting of restricted stock units.