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CATERPILLAR INC — Director's Dealing 2012
Feb 23, 2012
29780_dirs_2012-02-23_53b30849-4d5f-4481-8aff-e87a1ddaa41e.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: 2012-02-21
Reporting Person: BUDA JAMES B (Sr. VP & Chief Legal Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2012-02-21 | Common | M | 54000 | $27.1425 | Acquired | 97714 | Direct |
| 2012-02-21 | Common | S | 54000 | $115.00 | Disposed | 43714 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2012-02-21 | Employee Stock Option | $27.1425 | M | 54000 | Disposed | 2013-06-10 | Common (54000) | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Phantom Stock Units | $ | Common (0) | 16761 | Direct |
Footnotes
F1: This amount includes 3312 shares in dividend reinvestment.
F2: Includes 9580 shares previously owned indirectly through Caterpillar's 401k plan.
F3: 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).
F4: Security converts to common stock on a one-for-one basis.
F5: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service.