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CATERPILLAR INC — Director's Dealing 2012
Dec 20, 2012
29780_dirs_2012-12-20_117197e1-b5f2-463b-8a14-1535bfda0be6.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: 2012-12-20
Reporting Person: FIFE EUGENE V (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2012-12-20 | Common | M | 8000 | $26.03 | Acquired | 37628 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2012-12-20 | Employee Stock Option | $26.03 | M | 8000 | Disposed | 2013-04-09 | Common (8000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common | 2000 | Indirect |
| Common | 1000 | Indirect |
Footnotes
F1: Reporting person disclaims beneficial ownership.
F2: Exercisable in thirds beginning 1 year after the initial grant date of April 9, 2003. (1/3 after one year; 1/3 after two years; 1/3 after 3 years).
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