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CATERPILLAR INC — Director's Dealing 2012
Feb 1, 2012
29780_dirs_2012-02-01_5abc2df5-3906-4608-ae9b-0067d12ddc8c.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: 2012-01-31
Reporting Person: DICKINSON DANIEL M (Director)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2012-01-31 | Phantom Stock Units | $ | A | 114 | Acquired | Common (114) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common | 6406 | Direct |
Footnotes
F1: Security converts to common stock on a one-for-one basis.
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.
The stock was acquired in January 2012 at a price of $110.36 per share.
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