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CATERPILLAR INC·4

May 5, 3:33 PM ET

BRAZIL JOHN R 4

4 · CATERPILLAR INC · Filed May 5, 2011

Insider Transaction Report

Form 4
Period: 2011-05-04
CATERPILLAR INCCAT
BRAZIL JOHN R
Director
Transactions
  • Exercise/Conversion

    Common

    2011-05-04$63.04/sh+5,833$367,712→ 17,222 total
  • Exercise/Conversion

    Stock Appreciation Right

    2011-05-04−5,833→ 0 total
    Exercise: $63.04Exp: 2017-03-02→ Common (5,833 underlying)
  • Tax Payment

    Common

    2011-05-04$111.93/sh−3,285$367,690→ 13,937 total
  • Tax Payment

    Common

    2011-05-04$111.93/sh−4,175$467,308→ 16,762 total
  • Exercise/Conversion

    Stock Appreciation Right

    2011-05-04−7,000→ 0 total
    Exercise: $66.77Exp: 2016-06-14→ Common (7,000 underlying)
  • Exercise/Conversion

    Common

    2011-05-04$66.77/sh+7,000$467,355→ 20,937 total
  • Sale

    Common

    2011-05-05$110.37/sh−5,373$593,007→ 11,389 total
Footnotes (2)
  • [F1]The stock appreciation rights vest on 03/02/2010.
  • [F2]The stock appreciation rights vest on 06/14/2009.

Documents

1 file
  • 4
    edgar.xmlPrimary

    PRIMARY DOCUMENT