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CATERPILLAR INC — Director's Dealing 2012
May 2, 2012
29780_dirs_2012-05-02_28dd70f2-c7ca-4aa1-ae51-083c057ad0ca.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: 2012-04-30
Reporting Person: CALHOUN DAVID L (Director)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2012-04-30 | Phantom Stock Units | $ | A | 121 | Acquired | Common (121) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common | 2109 | Direct |
Footnotes
F1: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock.
F2: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement.
F3: The units were valued in April 2012 on the basis of the issuer's common stock price, 121 units at a price of $103.33
F4: This number does not include 600 shares previously reported as indirectly held by the reporting person as such shares were inadvertently reported in the original filing.