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 |
|---|---|---|---|---|---|---|
| November 02, 2004 Filed Nov 15, 2004 20:55 UTC |
PARKER JAMES JVice President
|
GiftCommon | 534 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000648 · edgar.xml · nonDerivative · entry 1 PARKER JAMES J · CIK 0001173559 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,329 F1 · balance_after: This amount includes 6337 shares in 401K, 1086 shares in SEIP and 7 shares in dividend reinvestment. Read SEC document |
| November 01, 2004 Filed Nov 3, 2004 15:39 UTC |
HAEFELI HANS AVice President
|
Tax withholdingCommon | 216 | $81.30 | $17,559.72 |
DisclosureSEC source: 0000018230-04-000613 · edgar.xml · nonDerivative · entry 1 HAEFELI HANS A · CIK 0001273770 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,722 F1 · balance_after: This amount includes 1948 shares in EIP and 91 shares in dividend reinvestment. Read SEC document |
| October 29, 2004 Filed Nov 1, 2004 16:13 UTC |
GALLARDO JUANDirector
|
GrantCommon | 65 | $80.14 | $5,208.78 |
DisclosureSEC source: 0000018230-04-000596 · edgar.xml · nonDerivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,398 F1 · kind: Stock received in lieu of director's fees. Read SEC document |
| October 29, 2004 Filed Nov 1, 2004 16:15 UTC |
POWELL CHARLES DDirector
|
GrantCommon | 23 | $80.14 | $1,843.11 |
DisclosureSEC source: 0000018230-04-000597 · edgar.xml · nonDerivative · entry 1 POWELL CHARLES D · CIK 0001172570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,980 F2 · kind: Stock received in lieu of director's fees. F1 · balance_after: Included in this amount are 57 shares in dividend reinvestment. Read SEC document |
| October 29, 2004 Filed Nov 1, 2004 16:16 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 123 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000598 · 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 · 123 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 October 2004 at a price between $78.90 and $80.91 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 October 2004 at a price between $78.90 and $80.91 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 October 2004 at a price between $78.90 and $80.91 per share. Read SEC document |
| October 29, 2004 Filed Nov 1, 2004 16:17 UTC |
MAGOWAN PETER ADirector
|
GrantPhantom Stock Units · Derivative | 105 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0000018230-04-000599 · edgar.xml · derivative · entry 3 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 105 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 October 2004 at a price between $78.90 and $80.135 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 October 2004 at a price between $78.90 and $80.135 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 October 2004 at a price between $78.90 and $80.135 per share. Read SEC document |
| October 29, 2004 Filed Nov 1, 2004 16:19 UTC |
GOODE DAVID RDirector
|
GrantPhantom Stock Units · Derivative | 72 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0000018230-04-000600 · edgar.xml · derivative · entry 2 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 72 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 October 2004 at a price of $80.135 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 October 2004 at a price of $80.135 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 October 2004 at a price of $80.135 per share. Read SEC document |
| October 29, 2004 Filed Nov 1, 2004 22:48 UTC |
SPRINGER WILLIAM FVice President
|
Exercise / conversionEmployee Stock Option · Derivative | 1,262 | $0.00 Strike: $32.91 | $0.00 |
DisclosureSEC source: 0000018230-04-000602 · edgar.xml · derivative · entry 3 SPRINGER WILLIAM F · CIK 0001172566 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 1,262 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 |
| October 29, 2004 Filed Nov 1, 2004 22:48 UTC |
SPRINGER WILLIAM FVice President
|
Tax withholdingCommon | 737 | $80.14 | $59,059.50 |
DisclosureSEC source: 0000018230-04-000602 · edgar.xml · nonDerivative · entry 2 SPRINGER WILLIAM F · CIK 0001172566 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,270 F1 · balance_after: This amount includes 9996 shares in 401K and 30 shares in SEIP. Read SEC document |
| October 29, 2004 Filed Nov 1, 2004 22:48 UTC |
SPRINGER WILLIAM FVice President
|
Exercise / conversionCommon | 1,262 | $32.91 | $41,527.62 |
DisclosureSEC source: 0000018230-04-000602 · edgar.xml · nonDerivative · entry 1 SPRINGER WILLIAM F · CIK 0001172566 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,007 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 |
| October 29, 2004 Filed Nov 2, 2004 15:21 UTC |
WUNNING STEVEN HGroup President
|
GrantPhantom Stock Units · Derivative | 36 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000606 · 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 · 36 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 |
| October 29, 2004 Filed Nov 2, 2004 15:22 UTC |
PARKER JAMES JVice President
|
GrantPhantom Stock Units · Derivative | 27 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000607 · 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 · 27 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 |
| October 29, 2004 Filed Nov 2, 2004 15:23 UTC |
BAHAJ ALI MVice President
|
GrantPhantom Stock Units · Derivative | 26 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000608 · 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 · 26 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 |
| October 28, 2004 Filed Oct 29, 2004 13:03 UTC |
SPRINGER WILLIAM FVice President
|
SaleCommon | 300 | $79.95 | $23,985.00 |
DisclosureSEC source: 0000018230-04-000588 · edgar.xml · nonDerivative · entry 1 SPRINGER WILLIAM F · CIK 0001172566 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,745 F1 · balance_after: This amount includes 9996 shares in 401K and 30 shares in SEIP. Read SEC document |
| October 27, 2004 Filed Oct 29, 2004 13:34 UTC |
SCHENA CHRISTIANO VVice President
|
Exercise / conversionEmployee Stock Option · Derivative | 3,262 | $0.00 Strike: $32.91 | $0.00 |
DisclosureSEC source: 0000018230-04-000590 · edgar.xml · derivative · entry 3 SCHENA CHRISTIANO V · CIK 0001204588 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 3,262 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 |
| October 27, 2004 Filed Oct 29, 2004 13:34 UTC |
SCHENA CHRISTIANO VVice President
|
Tax withholdingCommon | 1,906 | $80.04 | $152,546.71 |
DisclosureSEC source: 0000018230-04-000590 · edgar.xml · nonDerivative · entry 2 SCHENA CHRISTIANO V · CIK 0001204588 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,760 F1 · balance_after: This amount includes 7892 shares in 401K; 154 shares in SEIP and 122 shares in dividend reinvestment. Read SEC document |
| October 27, 2004 Filed Oct 29, 2004 13:34 UTC |
SCHENA CHRISTIANO VVice President
|
Exercise / conversionCommon | 3,262 | $32.91 | $107,340.02 |
DisclosureSEC source: 0000018230-04-000590 · edgar.xml · nonDerivative · entry 1 SCHENA CHRISTIANO V · CIK 0001204588 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,666 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 |
| October 26, 2004 Filed Oct 27, 2004 15:56 UTC |
LEVENICK STUART LGroup President
|
GiftCommon | 130 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000582 · edgar.xml · nonDerivative · entry 1 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,577 F1 · balance_after: This amount includes 1790 shares in EIP-1 and 6 shares in dividend reinvestment. Read SEC document |
| October 26, 2004 Filed Oct 28, 2004 14:12 UTC |
SCHENA CHRISTIANO VVice President
|
SaleCommon | 1,000 | $79.29 | $79,290.00 |
DisclosureSEC source: 0000018230-04-000584 · edgar.xml · nonDerivative · entry 2 SCHENA CHRISTIANO V · CIK 0001204588 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,404 F1 · balance_after: This amount includes 7892 shares in 401K; 154 shares in SEIP and 122 shares in dividend reinvestment. Read SEC document |
| October 26, 2004 Filed Oct 28, 2004 14:12 UTC |
SCHENA CHRISTIANO VVice President
|
SaleCommon | 1,221 | $79.26 | $96,776.46 |
DisclosureSEC source: 0000018230-04-000584 · edgar.xml · nonDerivative · entry 1 SCHENA CHRISTIANO V · CIK 0001204588 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,404 Read SEC document |
| October 04, 2004 Filed Oct 5, 2004 15:20 UTC |
MCPHEETERS F LYNNV.P./Chief Financial Officer
|
GiftCommon | 453 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000557 · edgar.xml · nonDerivative · entry 1 MCPHEETERS F LYNN · CIK 0001171766 · V.P./Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,845 F1 · balance_after: This amount includes 7675 shares in 401K, 621 shares in SEIP and 622 shares in dividend reinvestment. Read SEC document |
| October 01, 2004 Filed Oct 4, 2004 13:52 UTC |
BANWART SIDNEY CVice President
|
Exercise / conversionEmployee Stock Option · Derivative | 6,526 | $0.00 Strike: $51.66 | $0.00 |
DisclosureSEC source: 0000018230-04-000548 · edgar.xml · derivative · entry 10 BANWART SIDNEY C · CIK 0001171787 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 6,526 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. F3 · security: (Right to Buy) with tandem tax withholding rights. F4 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| October 01, 2004 Filed Oct 4, 2004 13:52 UTC |
BANWART SIDNEY CVice President
|
Exercise / conversionEmployee Stock Option · Derivative | 1,807 | $0.00 Strike: $32.91 | $0.00 |
DisclosureSEC source: 0000018230-04-000548 · edgar.xml · derivative · entry 9 BANWART SIDNEY C · CIK 0001171787 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 1,807 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. F3 · security: (Right to Buy) with tandem tax withholding rights. F4 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| October 01, 2004 Filed Oct 4, 2004 13:52 UTC |
BANWART SIDNEY CVice President
|
Exercise / conversionEmployee Stock Option · Derivative | 1,800 | $0.00 Strike: $30.16 | $0.00 |
DisclosureSEC source: 0000018230-04-000548 · edgar.xml · derivative · entry 8 BANWART SIDNEY C · CIK 0001171787 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 1,800 shares Expires 2005-06-06 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. F3 · security: (Right to Buy) with tandem tax withholding rights. F4 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| October 01, 2004 Filed Oct 4, 2004 13:52 UTC |
BANWART SIDNEY CVice President
|
Tax withholdingCommon | 4,877 | $80.45 | $392,330.27 |
DisclosureSEC source: 0000018230-04-000548 · edgar.xml · nonDerivative · entry 6 BANWART SIDNEY C · CIK 0001171787 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,951 F1 · balance_after: This amount includes 11,015 shares in 401K, 2192 shares in SEIP and 1903 shares in dividend reinvestment. Read SEC document |
| October 01, 2004 Filed Oct 4, 2004 13:52 UTC |
BANWART SIDNEY CVice President
|
Exercise / conversionCommon | 6,526 | $51.66 | $337,108.36 |
DisclosureSEC source: 0000018230-04-000548 · edgar.xml · nonDerivative · entry 5 BANWART SIDNEY C · CIK 0001171787 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,828 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 |
| October 01, 2004 Filed Oct 4, 2004 13:52 UTC |
BANWART SIDNEY CVice President
|
Tax withholdingCommon | 1,053 | $80.45 | $84,708.59 |
DisclosureSEC source: 0000018230-04-000548 · edgar.xml · nonDerivative · entry 4 BANWART SIDNEY C · CIK 0001171787 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,302 Read SEC document |
| October 01, 2004 Filed Oct 4, 2004 13:52 UTC |
BANWART SIDNEY CVice President
|
Exercise / conversionCommon | 1,807 | $32.91 | $59,461.50 |
DisclosureSEC source: 0000018230-04-000548 · edgar.xml · nonDerivative · entry 3 BANWART SIDNEY C · CIK 0001171787 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,355 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 |
| October 01, 2004 Filed Oct 4, 2004 13:52 UTC |
BANWART SIDNEY CVice President
|
Tax withholdingCommon | 674 | $80.45 | $54,219.93 |
DisclosureSEC source: 0000018230-04-000548 · edgar.xml · nonDerivative · entry 2 BANWART SIDNEY C · CIK 0001171787 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,548 Read SEC document |
| October 01, 2004 Filed Oct 4, 2004 13:52 UTC |
BANWART SIDNEY CVice President
|
Exercise / conversionCommon | 1,800 | $30.16 | $54,281.16 |
DisclosureSEC source: 0000018230-04-000548 · edgar.xml · nonDerivative · entry 1 BANWART SIDNEY C · CIK 0001171787 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,222 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 |
| October 01, 2004 Filed Oct 4, 2004 14:02 UTC |
PARKER JAMES JVice President
|
Exercise / conversionEmployee Stock Option · Derivative | 940 | $0.00 Strike: $30.16 | $0.00 |
DisclosureSEC source: 0000018230-04-000554 · edgar.xml · derivative · entry 3 PARKER JAMES J · CIK 0001173559 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 940 shares Expires 2005-06-06 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. F3 · security: (Right to Buy) with tandem tax withholding rights. F2 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| October 01, 2004 Filed Oct 4, 2004 14:02 UTC |
PARKER JAMES JVice President
|
Tax withholdingCommon | 352 | $80.45 | $28,316.64 |
DisclosureSEC source: 0000018230-04-000554 · edgar.xml · nonDerivative · entry 2 PARKER JAMES J · CIK 0001173559 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,672 F1 · balance_after: This amount includes 6270 shares in 401K, 962 shares in SEIP and 7 shares in dividend reinvestment. Read SEC document |
| October 01, 2004 Filed Oct 4, 2004 14:02 UTC |
PARKER JAMES JVice President
|
Exercise / conversionCommon | 940 | $30.16 | $28,346.83 |
DisclosureSEC source: 0000018230-04-000554 · edgar.xml · nonDerivative · entry 1 PARKER JAMES J · CIK 0001173559 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,024 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 |
| October 01, 2004 Filed Oct 7, 2004 17:54 UTC |
WESTERN DONALD GVice President
|
GiftCommon | 6,274 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000561 · edgar.xml · nonDerivative · entry 3 WESTERN DONALD G · CIK 0001171772 · Vice President 10b5-1 filing: Not disclosed Ownership: Indirect · Owned by Wife Disclosed balance after: 8,449 F3 · kind: Notified on 10/1/04 that transfer of 6274 shares from joint direct account to indirect account occurred in 1996. F2 · ownership.nature: Reporting person disclaims beneficial ownership. Read SEC document |
| October 01, 2004 Filed Oct 7, 2004 17:54 UTC |
WESTERN DONALD GVice President
|
GiftCommon | 6,274 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000561 · edgar.xml · nonDerivative · entry 1 WESTERN DONALD G · CIK 0001171772 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,175 F3 · kind: Notified on 10/1/04 that transfer of 6274 shares from joint direct account to indirect account occurred in 1996. F1 · balance_after: This amount includes 12,470 shares in 401K and 3334 shares in SEIP. Read SEC document |
| September 30, 2004 Filed Oct 1, 2004 15:14 UTC |
WUNNING STEVEN HGroup President
|
GrantPhantom Stock Units · Derivative | 36 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000536 · 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 · 36 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 |
| September 30, 2004 Filed Oct 1, 2004 15:16 UTC |
PARKER JAMES JVice President
|
GrantPhantom Stock Units · Derivative | 27 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000537 · 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 · 27 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 |
| September 30, 2004 Filed Oct 1, 2004 15:17 UTC |
BAHAJ ALI MVice President
|
GrantPhantom Stock Units · Derivative | 26 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000538 · 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 · 26 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 |
| September 30, 2004 Filed Oct 1, 2004 21:05 UTC |
MCPHEETERS F LYNNV.P./Chief Financial Officer
|
Exercise / conversionEmployee Stock Option · Derivative | 4,104 | $0.00 Strike: $30.16 | $0.00 |
DisclosureSEC source: 0000018230-04-000540 · edgar.xml · derivative · entry 7 MCPHEETERS F LYNN · CIK 0001171766 · V.P./Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 4,104 shares Expires 2005-06-06 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. F5 · security: (Right to Buy) with tandem tax withholding rights. F4 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| September 30, 2004 Filed Oct 1, 2004 21:05 UTC |
MCPHEETERS F LYNNV.P./Chief Financial Officer
|
Exercise / conversionEmployee Stock Option · Derivative | 1,316 | $0.00 Strike: $30.16 | $0.00 |
DisclosureSEC source: 0000018230-04-000540 · edgar.xml · derivative · entry 6 MCPHEETERS F LYNN · CIK 0001171766 · V.P./Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 1,316 shares Expires 2005-06-06 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. F5 · security: (Right to Buy) with tandem tax withholding rights. F4 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| September 30, 2004 Filed Oct 1, 2004 21:05 UTC |
MCPHEETERS F LYNNV.P./Chief Financial Officer
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Tax withholdingCommon | 2,291 | $80.58 | $184,597.33 |
DisclosureSEC source: 0000018230-04-000540 · edgar.xml · nonDerivative · entry 4 MCPHEETERS F LYNN · CIK 0001171766 · V.P./Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,298 F1 · balance_after: This amount includes 7675 shares in 401K, 621 shares in SEIP and 622 shares in dividend reinvestment. Read SEC document |
| September 30, 2004 Filed Oct 1, 2004 21:05 UTC |
MCPHEETERS F LYNNV.P./Chief Financial Officer
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Exercise / conversionCommon | 4,104 | $30.16 | $123,761.04 |
DisclosureSEC source: 0000018230-04-000540 · edgar.xml · nonDerivative · entry 3 MCPHEETERS F LYNN · CIK 0001171766 · V.P./Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,589 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 |
| September 30, 2004 Filed Oct 1, 2004 21:05 UTC |
MCPHEETERS F LYNNV.P./Chief Financial Officer
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Tax withholdingCommon | 492 | $80.58 | $39,642.90 |
DisclosureSEC source: 0000018230-04-000540 · edgar.xml · nonDerivative · entry 2 MCPHEETERS F LYNN · CIK 0001171766 · V.P./Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,485 Read SEC document |
| September 30, 2004 Filed Oct 1, 2004 21:05 UTC |
MCPHEETERS F LYNNV.P./Chief Financial Officer
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Exercise / conversionCommon | 1,316 | $30.16 | $39,685.56 |
DisclosureSEC source: 0000018230-04-000540 · edgar.xml · nonDerivative · entry 1 MCPHEETERS F LYNN · CIK 0001171766 · V.P./Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,977 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 |
| September 30, 2004 Filed Oct 4, 2004 13:53 UTC |
GOODE DAVID RDirector
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GrantPhantom Stock Units · Derivative | 72 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0000018230-04-000549 · edgar.xml · derivative · entry 2 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 72 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 September 2004 at a price of $80.575 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 September 2004 at a price of $80.575 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 September 2004 at a price of $80.575 per share. Read SEC document |
| September 30, 2004 Filed Oct 4, 2004 13:55 UTC |
MAGOWAN PETER ADirector
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GrantPhantom Stock Units · Derivative | 67 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0000018230-04-000550 · edgar.xml · derivative · entry 3 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 67 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 September 2004 at a price of $80.575 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 September 2004 at a price of $80.575 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 September 2004 at a price of $80.575 per share. Read SEC document |
| September 30, 2004 Filed Oct 4, 2004 13:58 UTC |
RUST EDWARD B JRDirector
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GrantPhantom Stock Units · Derivative | 72 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000551 · 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 · 72 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 September 2004 at a price of $80.575 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 September 2004 at a price of $80.575 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 September 2004 at a price of $80.575 per share. Read SEC document |
| September 30, 2004 Filed Oct 4, 2004 13:59 UTC |
POWELL CHARLES DDirector
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GrantCommon | 17 | $80.58 | $1,369.78 |
DisclosureSEC source: 0000018230-04-000552 · edgar.xml · nonDerivative · entry 1 POWELL CHARLES D · CIK 0001172570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,957 F2 · kind: Stock received in lieu of director's fees. F1 · balance_after: Included in this amount are 57 shares in dividend reinvestment. Read SEC document |
| September 30, 2004 Filed Oct 4, 2004 14:01 UTC |
GALLARDO JUANDirector
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GrantCommon | 47 | $80.58 | $3,787.03 |
DisclosureSEC source: 0000018230-04-000553 · edgar.xml · nonDerivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,333 F1 · kind: Stock received in lieu of director's fees. Read SEC document |
| September 29, 2004 Filed Sep 30, 2004 18:18 UTC |
FELLIN PAOLOVice President
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Exercise / conversionEmployee Stock Option · Derivative | 6,300 | $0.00 Strike: $51.66 | $0.00 |
DisclosureSEC source: 0000018230-04-000527 · edgar.xml · derivative · entry 5 FELLIN PAOLO · CIK 0001287964 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 6,300 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. F3 · security: (Right to Buy) with tandem tax withholding rights. F2 · 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.