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4//SEC Filing

BRAZIL JOHN R 4

Accession 0000018230-11-000291

CIK 0000018230other

View on SEC.gov Company Profile

Filed

May 4, 8:00 PM ET

Accepted

May 5, 3:33 PM ET

Size

14.6 KB

Accession

0000018230-11-000291

Insider Transaction Report

Form 4

Period: 2011-05-04

CATERPILLAR INCCAT

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

Issuer

CATERPILLAR INC

CIK 0000018230

Entity typeother

Related Parties

1

filerCIK 0001171802

Filing Metadata

Form type: 4
Filed: May 4, 8:00 PM ET
Accepted: May 5, 3:33 PM ET
Size: 14.6 KB

View on SEC.gov