Last 12 months
Inside the activity.
2 purchase rows · 91 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 1 | 16 |
| Dec 2025 | 0 | 14 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 21 |
| Mar 2026 | 0 | 5 |
| Apr 2026 | 0 | 0 |
| May 2026 | 1 | 21 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 14 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| January 12, 2005 Filed Jan 14, 2005 14:11 UTC |
BENSON RICHARD AVice President
|
Exercise / conversionEmployee Stock Option · Derivative | 1,604 | $0.00 Strike: $62.34 | $0.00 |
DisclosureSEC source: 0000018230-05-000028 · edgar.xml · derivative · entry 11 BENSON RICHARD A · CIK 0001171769 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 1,604 shares Expires 2009-06-08 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: (Right to buy) with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| January 12, 2005 Filed Jan 14, 2005 14:11 UTC |
BENSON RICHARD AVice President
|
Exercise / conversionEmployee Stock Option · Derivative | 1,795 | $0.00 Strike: $55.69 | $0.00 |
DisclosureSEC source: 0000018230-05-000028 · edgar.xml · derivative · entry 10 BENSON RICHARD A · CIK 0001171769 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 1,795 shares Expires 2008-06-09 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: (Right to buy) with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| January 12, 2005 Filed Jan 14, 2005 14:11 UTC |
BENSON RICHARD AVice President
|
Exercise / conversionEmployee Stock Option · Derivative | 1,934 | $0.00 Strike: $51.66 | $0.00 |
DisclosureSEC source: 0000018230-05-000028 · edgar.xml · derivative · entry 9 BENSON RICHARD A · CIK 0001171769 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 1,934 shares Expires 2007-06-10 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: (Right to buy) with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| January 12, 2005 Filed Jan 14, 2005 14:11 UTC |
BENSON RICHARD AVice President
|
Tax withholdingCommon | 1,090 | $91.62 | $99,865.80 |
DisclosureSEC source: 0000018230-05-000028 · edgar.xml · nonDerivative · entry 8 BENSON RICHARD A · CIK 0001171769 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,123 F1 · balance_after: This amount includes 18,830 shares in 401K. Read SEC document |
| January 12, 2005 Filed Jan 14, 2005 14:11 UTC |
BENSON RICHARD AVice President
|
Exercise / conversionCommon | 2,601 | $38.41 | $99,894.79 |
DisclosureSEC source: 0000018230-05-000028 · edgar.xml · nonDerivative · entry 7 BENSON RICHARD A · CIK 0001171769 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,213 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 12, 2005 Filed Jan 14, 2005 14:11 UTC |
BENSON RICHARD AVice President
|
Tax withholdingCommon | 1,091 | $91.62 | $99,957.42 |
DisclosureSEC source: 0000018230-05-000028 · edgar.xml · nonDerivative · entry 6 BENSON RICHARD A · CIK 0001171769 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,612 Read SEC document |
| January 12, 2005 Filed Jan 14, 2005 14:11 UTC |
BENSON RICHARD AVice President
|
Exercise / conversionCommon | 1,604 | $62.34 | $99,999.46 |
DisclosureSEC source: 0000018230-05-000028 · edgar.xml · nonDerivative · entry 5 BENSON RICHARD A · CIK 0001171769 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,703 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 12, 2005 Filed Jan 14, 2005 14:11 UTC |
BENSON RICHARD AVice President
|
Tax withholdingCommon | 1,091 | $91.62 | $99,957.42 |
DisclosureSEC source: 0000018230-05-000028 · edgar.xml · nonDerivative · entry 4 BENSON RICHARD A · CIK 0001171769 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,099 Read SEC document |
| January 12, 2005 Filed Jan 14, 2005 14:11 UTC |
BENSON RICHARD AVice President
|
Exercise / conversionCommon | 1,795 | $55.69 | $99,959.06 |
DisclosureSEC source: 0000018230-05-000028 · edgar.xml · nonDerivative · entry 3 BENSON RICHARD A · CIK 0001171769 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,190 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 12, 2005 Filed Jan 14, 2005 14:11 UTC |
BENSON RICHARD AVice President
|
Tax withholdingCommon | 1,090 | $91.62 | $99,865.80 |
DisclosureSEC source: 0000018230-05-000028 · edgar.xml · nonDerivative · entry 2 BENSON RICHARD A · CIK 0001171769 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,395 Read SEC document |
| January 12, 2005 Filed Jan 14, 2005 14:11 UTC |
BENSON RICHARD AVice President
|
Exercise / conversionCommon | 1,934 | $51.66 | $99,903.09 |
DisclosureSEC source: 0000018230-05-000028 · edgar.xml · nonDerivative · entry 1 BENSON RICHARD A · CIK 0001171769 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,485 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 04, 2005 Filed Jan 21, 2005 15:44 UTC |
Rohner William JVice President
|
GiftCommon | 100 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000032 · edgar.xml · nonDerivative · entry 1 Rohner William J · CIK 0001307210 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,279 F1 · balance_after: This amount includes 261 shares in dividend reinvestment. Read SEC document |
| January 04, 2005 Filed Jan 18, 2006 17:35 UTC |
WESTERN DONALD GVice President
|
GiftCommon | 2,940 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-06-000041 · edgar.xml · nonDerivative · entry 5 WESTERN DONALD G · CIK 0001171772 · Vice President 10b5-1 filing: Not disclosed Ownership: Indirect · Owned by Wife Disclosed balance after: 19,838 F2 · shares: This amount was adjusted for the 2-for-1 stock split on July 14, 2005. F3 · ownership.nature: Reporting person disclaims beneficial ownership. Read SEC document |
| January 04, 2005 Filed Jan 18, 2006 17:35 UTC |
WESTERN DONALD GVice President
|
GiftCommon | 2,940 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-06-000041 · edgar.xml · nonDerivative · entry 1 WESTERN DONALD G · CIK 0001171772 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,346 F2 · shares: This amount was adjusted for the 2-for-1 stock split on July 14, 2005. Read SEC document |
| January 03, 2005 Filed Jan 4, 2005 15:40 UTC |
HELLER JOHN SVice President
|
Exercise / conversionEmployee Stock Option · Derivative | 2,705 | $0.00 Strike: $55.69 | $0.00 |
DisclosureSEC source: 0000018230-05-000022 · edgar.xml · derivative · entry 3 HELLER JOHN S · CIK 0001287966 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 2,705 shares Expires 2008-06-09 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: (Right to Buy) with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| January 03, 2005 Filed Jan 4, 2005 15:40 UTC |
HELLER JOHN SVice President
|
SaleCommon | 2,705 | $96.10 | $259,950.50 |
DisclosureSEC source: 0000018230-05-000022 · edgar.xml · nonDerivative · entry 2 HELLER JOHN S · CIK 0001287966 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,490 F1 · balance_after: This amount includes 3973 shares in 401K. Read SEC document |
| January 03, 2005 Filed Jan 4, 2005 15:40 UTC |
HELLER JOHN SVice President
|
Exercise / conversionCommon | 2,705 | $55.69 | $150,634.69 |
DisclosureSEC source: 0000018230-05-000022 · edgar.xml · nonDerivative · entry 1 HELLER JOHN S · CIK 0001287966 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,195 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 03, 2005 Filed Jan 4, 2005 16:11 UTC |
STROUP GARY AVice President
|
Exercise / conversionEmployee Stock Option · Derivative | 9,000 | $0.00 Strike: $54.29 | $0.00 |
DisclosureSEC source: 0000018230-05-000024 · edgar.xml · derivative · entry 11 STROUP GARY A · CIK 0001171795 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 9,000 shares Expires 2013-06-10 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: (Right to Buy) with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| January 03, 2005 Filed Jan 4, 2005 16:11 UTC |
STROUP GARY AVice President
|
Exercise / conversionEmployee Stock Option · Derivative | 21,000 | $0.00 Strike: $62.34 | $0.00 |
DisclosureSEC source: 0000018230-05-000024 · edgar.xml · derivative · entry 10 STROUP GARY A · CIK 0001171795 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 21,000 shares Expires 2009-06-08 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: (Right to Buy) with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| January 03, 2005 Filed Jan 4, 2005 16:11 UTC |
STROUP GARY AVice President
|
Exercise / conversionEmployee Stock Option · Derivative | 21,000 | $0.00 Strike: $55.69 | $0.00 |
DisclosureSEC source: 0000018230-05-000024 · edgar.xml · derivative · entry 9 STROUP GARY A · CIK 0001171795 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 21,000 shares Expires 2008-06-09 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: (Right to Buy) with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| January 03, 2005 Filed Jan 4, 2005 16:11 UTC |
STROUP GARY AVice President
|
Exercise / conversionEmployee Stock Option · Derivative | 24,000 | $0.00 Strike: $53.53 | $0.00 |
DisclosureSEC source: 0000018230-05-000024 · edgar.xml · derivative · entry 8 STROUP GARY A · CIK 0001171795 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 24,000 shares Expires 2011-06-12 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: (Right to Buy) with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| January 03, 2005 Filed Jan 4, 2005 16:11 UTC |
STROUP GARY AVice President
|
Exercise / conversionEmployee Stock Option · Derivative | 20,000 | $0.00 Strike: $50.72 | $0.00 |
DisclosureSEC source: 0000018230-05-000024 · edgar.xml · derivative · entry 7 STROUP GARY A · CIK 0001171795 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 20,000 shares Expires 2012-06-11 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: (Right to Buy) with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| January 03, 2005 Filed Jan 4, 2005 16:11 UTC |
STROUP GARY AVice President
|
SaleCommon | 95,000 | $96.10 | $9,129,500.00 |
DisclosureSEC source: 0000018230-05-000024 · edgar.xml · nonDerivative · entry 6 STROUP GARY A · CIK 0001171795 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,239 F1 · balance_after: This amount includes 9483 shares in 401K, 491 shares in SEIP and 7 shares in dividend reinvestment. Read SEC document |
| January 03, 2005 Filed Jan 4, 2005 16:11 UTC |
STROUP GARY AVice President
|
Exercise / conversionCommon | 9,000 | $54.29 | $488,565.00 |
DisclosureSEC source: 0000018230-05-000024 · edgar.xml · nonDerivative · entry 5 STROUP GARY A · CIK 0001171795 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 139,239 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 03, 2005 Filed Jan 4, 2005 16:11 UTC |
STROUP GARY AVice President
|
Exercise / conversionCommon | 21,000 | $62.34 | $1,309,219.80 |
DisclosureSEC source: 0000018230-05-000024 · edgar.xml · nonDerivative · entry 4 STROUP GARY A · CIK 0001171795 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 130,239 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 03, 2005 Filed Jan 4, 2005 16:11 UTC |
STROUP GARY AVice President
|
Exercise / conversionCommon | 21,000 | $55.69 | $1,169,437.50 |
DisclosureSEC source: 0000018230-05-000024 · edgar.xml · nonDerivative · entry 3 STROUP GARY A · CIK 0001171795 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 109,239 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 03, 2005 Filed Jan 4, 2005 16:11 UTC |
STROUP GARY AVice President
|
Exercise / conversionCommon | 24,000 | $53.53 | $1,284,720.00 |
DisclosureSEC source: 0000018230-05-000024 · edgar.xml · nonDerivative · entry 2 STROUP GARY A · CIK 0001171795 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 88,239 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 03, 2005 Filed Jan 4, 2005 16:11 UTC |
STROUP GARY AVice President
|
Exercise / conversionCommon | 20,000 | $50.72 | $1,014,300.00 |
DisclosureSEC source: 0000018230-05-000024 · edgar.xml · nonDerivative · entry 1 STROUP GARY A · CIK 0001171795 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,239 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 03, 2005 Filed Feb 23, 2005 22:43 UTC |
COLGAN KEVIN ETreasurer
|
GrantCommon | 1,200 | $95.85 | $115,014.00 |
DisclosureSEC source: 0000018230-05-000209 · edgar.xml · nonDerivative · entry 1 COLGAN KEVIN E · CIK 0001171789 · Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,338 F2 · kind: Restricted stock awarded pursuant to Caterpillar Inc. 1996 Stock Option and Long-Term Incentive Plan. F1 · balance_after: This amount includes 16,172 shares in 401K. Read SEC document |
| December 31, 2004 Filed Jan 4, 2005 14:45 UTC |
GALLARDO JUANDirector
|
GrantCommon | 61 | $97.59 | $5,952.69 |
DisclosureSEC source: 0000018230-05-000008 · edgar.xml · nonDerivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,502 F1 · kind: Stock received in lieu of director's fees. F2 · balance_after: This amount includes 2 shares in dividend reinvestment. Read SEC document |
| December 31, 2004 Filed Jan 4, 2005 14:50 UTC |
POWELL CHARLES DDirector
|
GrantCommon | 22 | $97.59 | $2,146.87 |
DisclosureSEC source: 0000018230-05-000009 · edgar.xml · nonDerivative · entry 1 POWELL CHARLES D · CIK 0001172570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,042 F2 · kind: Stock received in lieu of director's fees. F1 · balance_after: Included in this amount are 82 shares in dividend reinvestment. Read SEC document |
| December 31, 2004 Filed Jan 4, 2005 14:51 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 103 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000010 · edgar.xml · derivative · entry 2 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 103 shares Expires not disclosed F1 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · price: 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 December 2004 at a price between $90.54 and $97.585 per share. F2 · derivative.exercise_date: 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 December 2004 at a price between $90.54 and $97.585 per share. F2 · derivative.expiration_date: 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 December 2004 at a price between $90.54 and $97.585 per share. Read SEC document |
| December 31, 2004 Filed Jan 4, 2005 14:52 UTC |
MAGOWAN PETER ADirector
|
GrantPhantom Stock Units · Derivative | 88 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0000018230-05-000011 · edgar.xml · derivative · entry 3 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 88 shares Expires not disclosed F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F4 · price: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in December 2004 at a price between $90.54 and $97.585 per share. F4 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in December 2004 at a price between $90.54 and $97.585 per share. F4 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in December 2004 at a price between $90.54 and $97.585 per share. Read SEC document |
| December 31, 2004 Filed Jan 4, 2005 14:54 UTC |
GOODE DAVID RDirector
|
GrantPhantom Stock Units · Derivative | 103 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0000018230-05-000012 · edgar.xml · derivative · entry 2 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 103 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · price: 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 December 2004 at a price between $90.54 and $97.585 per share. F3 · derivative.exercise_date: 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 December 2004 at a price between $90.54 and $97.585 per share. F3 · derivative.expiration_date: 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 December 2004 at a price between $90.54 and $97.585 per share. Read SEC document |
| December 31, 2004 Filed Jan 4, 2005 15:09 UTC |
WUNNING STEVEN HGroup President
|
GrantPhantom Stock Units · Derivative | 30 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000016 · edgar.xml · derivative · entry 3 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 30 shares Expires not disclosed F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F4 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or other termination of service. F4 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or other termination of service. Read SEC document |
| December 31, 2004 Filed Jan 4, 2005 15:10 UTC |
PARKER JAMES JVice President
|
GrantPhantom Stock Units · Derivative | 22 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000017 · edgar.xml · derivative · entry 2 PARKER JAMES J · CIK 0001173559 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 22 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or other termination of service. F3 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or other termination of service. Read SEC document |
| December 31, 2004 Filed Jan 4, 2005 15:12 UTC |
BAHAJ ALI MVice President
|
GrantPhantom Stock Units · Derivative | 21 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000018 · edgar.xml · derivative · entry 3 BAHAJ ALI M · CIK 0001172565 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 21 shares Expires not disclosed F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F4 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or other termination of service. F4 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or other termination of service. Read SEC document |
| December 31, 2004 Filed Jan 4, 2005 15:38 UTC |
Rohner William JVice President
|
GrantPhantom Stock Units · Derivative | 50 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000021 · edgar.xml · derivative · entry 2 Rohner William J · CIK 0001307210 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 50 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or other termination of service. F3 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or other termination of service. Read SEC document |
| December 31, 2004 Filed Feb 7, 2005 14:06 UTC Amendment |
Rohner William JVice President
|
GrantPhantom Stock Units · Derivative | 0 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000115 · edgar.xml · derivative · entry 2 Rohner William J · CIK 0001307210 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 0 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F4 · shares: Shares were incorrectly stated and were not acquired in the Caterpillar Stock Fund. F3 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or other termination of service. F3 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or other termination of service. F4 · derivative.underlying_shares: Shares were incorrectly stated and were not acquired in the Caterpillar Stock Fund. Read SEC document |
| December 23, 2004 Filed Jan 3, 2005 14:57 UTC |
GALES THOMAS AVice President
|
GiftCommon | 1,600 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000002 · edgar.xml · nonDerivative · entry 5 GALES THOMAS A · CIK 0001171773 · Vice President 10b5-1 filing: Not disclosed Ownership: Indirect · Owned by Wife Disclosed balance after: 12,548 F2 · ownership.nature: Reporting person disclaims beneficial ownership. Read SEC document |
| December 23, 2004 Filed Jan 3, 2005 14:57 UTC |
GALES THOMAS AVice President
|
GiftCommon | 1,600 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000002 · edgar.xml · nonDerivative · entry 4 GALES THOMAS A · CIK 0001171773 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,628 F1 · balance_after: This amount includes 5843 shares in 401K, 22 shares in SEIP and 1510 shares in dividend reinvestment. Read SEC document |
| December 21, 2004 Filed Dec 22, 2004 15:54 UTC |
PALMER GERALDVice President
|
GiftCommon | 457 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000718 · edgar.xml · nonDerivative · entry 1 PALMER GERALD · CIK 0001171803 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,270 F1 · balance_after: This amount includes 2285 shares in SEIP. Read SEC document |
| December 20, 2004 Filed Dec 21, 2004 14:02 UTC |
Halverson Bradley MController
|
Exercise / conversionEmployee Stock Option · Derivative | 350 | $0.00 Strike: $32.91 | $0.00 |
DisclosureSEC source: 0000018230-04-000716 · edgar.xml · derivative · entry 2 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 350 shares Expires 2006-06-11 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: (Right to Buy) with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| December 20, 2004 Filed Dec 21, 2004 14:02 UTC |
Halverson Bradley MController
|
Exercise / conversionCommon | 350 | $32.91 | $11,517.17 |
DisclosureSEC source: 0000018230-04-000716 · edgar.xml · nonDerivative · entry 1 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,063 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: This amount includes 3616 shares in 401K and 232 shares in dividend reinvestment. Read SEC document |
| December 20, 2004 Filed Jan 3, 2005 14:57 UTC |
GALES THOMAS AVice President
|
GiftCommon | 200 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000002 · edgar.xml · nonDerivative · entry 3 GALES THOMAS A · CIK 0001171773 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,228 Read SEC document |
| December 16, 2004 Filed Dec 16, 2004 15:13 UTC |
Halverson Bradley MController
|
GiftCommon | 100 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000708 · edgar.xml · nonDerivative · entry 4 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,713 F1 · balance_after: This amount includes 3616 shares in 401K and 232 shares in dividend reinvestment. Read SEC document |
| December 16, 2004 Filed Dec 16, 2004 19:22 UTC |
COLGAN KEVIN ETreasurer
|
GiftCommon | 163 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000711 · edgar.xml · nonDerivative · entry 1 COLGAN KEVIN E · CIK 0001171789 · Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,083 F1 · balance_after: This amount includes 16,117 shares in 401K. Read SEC document |
| December 16, 2004 Filed Jan 3, 2005 14:57 UTC |
GALES THOMAS AVice President
|
GiftCommon | 200 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000002 · edgar.xml · nonDerivative · entry 2 GALES THOMAS A · CIK 0001171773 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,428 Read SEC document |
| December 15, 2004 Filed Dec 16, 2004 15:13 UTC |
Halverson Bradley MController
|
Exercise / conversionEmployee Stock Option · Derivative | 2,245 | $0.00 Strike: $55.69 | $0.00 |
DisclosureSEC source: 0000018230-04-000708 · edgar.xml · derivative · entry 6 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 2,245 shares Expires 2008-06-09 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: (Right to Buy) with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| December 15, 2004 Filed Dec 16, 2004 15:13 UTC |
Halverson Bradley MController
|
Exercise / conversionEmployee Stock Option · Derivative | 2,106 | $0.00 Strike: $51.66 | $0.00 |
DisclosureSEC source: 0000018230-04-000708 · edgar.xml · derivative · entry 5 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 2,106 shares Expires 2007-06-10 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: (Right to Buy) with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.