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 |
|---|---|---|---|---|---|---|
| September 29, 2004 Filed Sep 30, 2004 18:18 UTC |
FELLIN PAOLOVice President
|
Exercise / conversionEmployee Stock Option · Derivative | 4,040 | $0.00 Strike: $32.91 | $0.00 |
DisclosureSEC source: 0000018230-04-000527 · edgar.xml · derivative · entry 4 FELLIN PAOLO · CIK 0001287964 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 4,040 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. 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 |
| September 29, 2004 Filed Sep 30, 2004 18:18 UTC |
FELLIN PAOLOVice President
|
SaleCommon | 10,340 | $80.00 | $827,200.00 |
DisclosureSEC source: 0000018230-04-000527 · edgar.xml · nonDerivative · entry 3 FELLIN PAOLO · CIK 0001287964 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,463 F1 · balance_after: This amount includes 7082 shares in EIP. Read SEC document |
| September 29, 2004 Filed Sep 30, 2004 18:18 UTC |
FELLIN PAOLOVice President
|
Exercise / conversionCommon | 6,300 | $51.66 | $325,434.06 |
DisclosureSEC source: 0000018230-04-000527 · edgar.xml · nonDerivative · entry 2 FELLIN PAOLO · CIK 0001287964 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,803 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 29, 2004 Filed Sep 30, 2004 18:18 UTC |
FELLIN PAOLOVice President
|
Exercise / conversionCommon | 4,040 | $32.91 | $132,941.05 |
DisclosureSEC source: 0000018230-04-000527 · edgar.xml · nonDerivative · entry 1 FELLIN PAOLO · CIK 0001287964 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,503 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 29, 2004 Filed Sep 30, 2004 18:44 UTC |
HELLER JOHN SVice President
|
GiftCommon | 310 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000529 · edgar.xml · nonDerivative · entry 1 HELLER JOHN S · CIK 0001287966 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,431 F1 · balance_after: This amount includes 3914 shares in 401K. Read SEC document |
| September 29, 2004 Filed Oct 7, 2004 17:54 UTC |
WESTERN DONALD GVice President
|
GiftCommon | 3,500 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000561 · edgar.xml · nonDerivative · entry 2 WESTERN DONALD G · CIK 0001171772 · Vice President 10b5-1 filing: Not disclosed Ownership: Indirect · Owned by Wife Disclosed balance after: 2,175 F2 · ownership.nature: Reporting person disclaims beneficial ownership. Read SEC document |
| September 14, 2004 Filed Sep 14, 2004 21:05 UTC |
SPRINGER WILLIAM FVice President
|
GiftCommon | 200 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000513 · edgar.xml · nonDerivative · entry 1 SPRINGER WILLIAM F · CIK 0001172566 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,988 F1 · balance_after: This amount includes 9939 shares in 401K and 30 shares in SEIP. Read SEC document |
| August 31, 2004 Filed Sep 1, 2004 13:35 UTC |
POWELL CHARLES DDirector
|
GrantCommon | 25 | $72.51 | $1,812.75 |
DisclosureSEC source: 0000018230-04-000498 · edgar.xml · nonDerivative · entry 1 POWELL CHARLES D · CIK 0001172570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,940 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 |
| August 31, 2004 Filed Sep 1, 2004 13:36 UTC |
GALLARDO JUANDirector
|
GrantCommon | 72 | $72.51 | $5,220.72 |
DisclosureSEC source: 0000018230-04-000499 · edgar.xml · nonDerivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,286 F1 · kind: Stock received in lieu of director's fees. Read SEC document |
| August 31, 2004 Filed Sep 1, 2004 17:42 UTC |
GOODE DAVID RDirector
|
GrantPhantom Stock Units · Derivative | 186 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0000018230-04-000503 · edgar.xml · derivative · entry 2 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 186 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 August 2004 at a price between $70.585 and $72.51. 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 August 2004 at a price between $70.585 and $72.51. 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 August 2004 at a price between $70.585 and $72.51. Read SEC document |
| August 31, 2004 Filed Sep 1, 2004 17:45 UTC |
MAGOWAN PETER ADirector
|
GrantPhantom Stock Units · Derivative | 108 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0000018230-04-000504 · edgar.xml · derivative · entry 3 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 108 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 August 2004 at a price between $71.35 and $72.51 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 August 2004 at a price between $71.35 and $72.51 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 August 2004 at a price between $71.35 and $72.51 per share. Read SEC document |
| August 31, 2004 Filed Sep 1, 2004 17:47 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 111 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000505 · 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 · 111 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 August 2004 at a price between $70.585 and $72.51 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 August 2004 at a price between $70.585 and $72.51 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 August 2004 at a price between $70.585 and $72.51 per share. Read SEC document |
| August 31, 2004 Filed Sep 2, 2004 13:56 UTC |
WUNNING STEVEN HGroup President
|
GrantPhantom Stock Units · Derivative | 40 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000509 · 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 · 40 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 |
| August 31, 2004 Filed Sep 2, 2004 13:57 UTC |
PARKER JAMES JVice President
|
GrantPhantom Stock Units · Derivative | 30 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000510 · 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 · 30 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 |
| August 31, 2004 Filed Sep 2, 2004 13:58 UTC |
BAHAJ ALI MVice President
|
GrantPhantom Stock Units · Derivative | 29 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000511 · 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 · 29 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 |
| August 02, 2004 Filed Aug 3, 2004 13:20 UTC |
MURPHY DANIEL MVice President
|
SaleCommon | 400 | $72.88 | $29,152.00 |
DisclosureSEC source: 0000018230-04-000488 · edgar.xml · nonDerivative · entry 1 MURPHY DANIEL M · CIK 0001171791 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,322 F1 · balance_after: This amount includes 6651 shares in 401K and 2465 shares in SEIP. Read SEC document |
| July 30, 2004 Filed Aug 2, 2004 14:04 UTC |
GALLARDO JUANDirector
|
GrantCommon | 51 | $73.61 | $3,754.11 |
DisclosureSEC source: 0000018230-04-000473 · edgar.xml · nonDerivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,214 F1 · kind: Stock received in lieu of director's fees. Read SEC document |
| July 30, 2004 Filed Aug 2, 2004 14:06 UTC |
POWELL CHARLES DDirector
|
GrantCommon | 19 | $73.61 | $1,398.59 |
DisclosureSEC source: 0000018230-04-000474 · edgar.xml · nonDerivative · entry 1 POWELL CHARLES D · CIK 0001172570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,915 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 |
| July 30, 2004 Filed Aug 2, 2004 14:32 UTC |
MAGOWAN PETER ADirector
|
GrantPhantom Stock Units · Derivative | 73 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0000018230-04-000478 · edgar.xml · derivative · entry 3 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 73 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 July 2004 at a price of $73.61 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 July 2004 at a price of $73.61 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 July 2004 at a price of $73.61 per share. Read SEC document |
| July 30, 2004 Filed Aug 2, 2004 14:34 UTC |
GOODE DAVID RDirector
|
GrantPhantom Stock Units · Derivative | 92 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0000018230-04-000479 · edgar.xml · derivative · entry 2 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 92 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 July 2004 at a price between $73.61 and $77.87. 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 July 2004 at a price between $73.61 and $77.87. 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 July 2004 at a price between $73.61 and $77.87. Read SEC document |
| July 30, 2004 Filed Aug 2, 2004 14:35 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 92 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000480 · 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 · 92 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 July 2004 at a price between $73.61 and $77.87 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 July 2004 at a price between $73.61 and $77.87 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 July 2004 at a price between $73.61 and $77.87 per share. Read SEC document |
| July 30, 2004 Filed Aug 2, 2004 19:26 UTC |
WUNNING STEVEN HGroup President
|
GrantPhantom Stock Units · Derivative | 40 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000484 · 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 · 40 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 |
| July 30, 2004 Filed Aug 2, 2004 19:27 UTC |
PARKER JAMES JVice President
|
GrantPhantom Stock Units · Derivative | 29 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000485 · 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 · 29 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 |
| July 30, 2004 Filed Aug 2, 2004 19:29 UTC |
BAHAJ ALI MVice President
|
GrantPhantom Stock Units · Derivative | 28 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000486 · 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 · 28 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 |
| July 28, 2004 Filed Jul 29, 2004 14:34 UTC |
BEELER RODNEY CVice President
|
Exercise / conversionEmployee Stock Option · Derivative | 2,400 | $0.00 Strike: $38.41 | $0.00 |
DisclosureSEC source: 0000018230-04-000470 · edgar.xml · derivative · entry 3 BEELER RODNEY C · CIK 0001287965 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 2,400 shares Expires 2010-06-12 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 |
| July 28, 2004 Filed Jul 29, 2004 14:34 UTC |
BEELER RODNEY CVice President
|
SaleCommon | 2,400 | $72.63 | $174,312.00 |
DisclosureSEC source: 0000018230-04-000470 · edgar.xml · nonDerivative · entry 2 BEELER RODNEY C · CIK 0001287965 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,591 F1 · balance_after: This amount includes 2535 shares in 401K and 56 shares in dividend reinvestment. Read SEC document |
| July 28, 2004 Filed Jul 29, 2004 14:34 UTC |
BEELER RODNEY CVice President
|
Exercise / conversionCommon | 2,400 | $38.41 | $92,175.12 |
DisclosureSEC source: 0000018230-04-000470 · edgar.xml · nonDerivative · entry 1 BEELER RODNEY C · CIK 0001287965 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,991 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 |
| July 27, 2004 Filed Jul 28, 2004 17:39 UTC |
BURRITT DAVID BController
|
OtherCommon | 2,909 | $72.17 | $209,942.53 |
DisclosureSEC source: 0000018230-04-000468 · edgar.xml · nonDerivative · entry 1 BURRITT DAVID B · CIK 0001204586 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,086 F1 · balance_after: This amount includes 4046 shares in 401K and 9 shares in dividend reinvestment. Read SEC document |
| July 21, 2004 Filed Jul 22, 2004 20:12 UTC |
BENSON RICHARD AVice President
|
Exercise / conversionEmployee Stock Option · Derivative | 3,038 | $0.00 Strike: $32.91 | $0.00 |
DisclosureSEC source: 0000018230-04-000466 · edgar.xml · derivative · entry 3 BENSON RICHARD A · CIK 0001171769 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 3,038 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. 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 |
| July 21, 2004 Filed Jul 22, 2004 20:12 UTC |
BENSON RICHARD AVice President
|
Tax withholdingCommon | 1,283 | $77.87 | $99,907.21 |
DisclosureSEC source: 0000018230-04-000466 · edgar.xml · nonDerivative · entry 2 BENSON RICHARD A · CIK 0001171769 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,103 F1 · balance_after: This amount includes 18,688 shares in 401K. Read SEC document |
| July 21, 2004 Filed Jul 22, 2004 20:12 UTC |
BENSON RICHARD AVice President
|
Exercise / conversionCommon | 3,038 | $32.91 | $99,969.04 |
DisclosureSEC source: 0000018230-04-000466 · edgar.xml · nonDerivative · entry 1 BENSON RICHARD A · CIK 0001171769 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,386 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 |
| June 30, 2004 Filed Jul 1, 2004 15:37 UTC |
POWELL CHARLES DDirector
|
GrantCommon | 26 | $78.80 | $2,048.80 |
DisclosureSEC source: 0000018230-04-000440 · edgar.xml · nonDerivative · entry 1 POWELL CHARLES D · CIK 0001172570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,896 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 |
| June 30, 2004 Filed Jul 1, 2004 15:38 UTC |
GALLARDO JUANDirector
|
GrantCommon | 75 | $78.80 | $5,910.00 |
DisclosureSEC source: 0000018230-04-000441 · edgar.xml · nonDerivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,153 F2 · kind: Stock received in lieu of director's fees. F1 · balance_after: Included in this amount are 18 shares in dividend reinvestment. Read SEC document |
| June 30, 2004 Filed Jul 1, 2004 17:48 UTC |
MAGOWAN PETER ADirector
|
GrantPhantom Stock Units · Derivative | 68 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000445 · edgar.xml · derivative · entry 3 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 68 shares Expires 1988-08-08 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 June 2004 at a price of $78.80 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 June 2004 at a price of $78.80 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 June 2004 at a price of $78.80 per share. Read SEC document |
| June 30, 2004 Filed Jul 1, 2004 17:50 UTC |
GOODE DAVID RDirector
|
GrantPhantom Stock Units · Derivative | 100 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000446 · edgar.xml · derivative · entry 2 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 100 shares Expires 1988-08-08 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 June 2004 at a price between $76.24 and $78.80. 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 June 2004 at a price between $76.24 and $78.80. 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 June 2004 at a price between $76.24 and $78.80. Read SEC document |
| June 30, 2004 Filed Jul 1, 2004 17:51 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 100 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000447 · 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 · 100 shares Expires 1988-08-08 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 June 2004 at a price between $76.24 and $78.80 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 June 2004 at a price between $76.24 and $78.80 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 June 2004 at a price between $76.24 and $78.80 per share. Read SEC document |
| June 30, 2004 Filed Jul 1, 2004 19:51 UTC |
BAHAJ ALI MVice President
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GrantPhantom Stock Units · Derivative | 26 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000451 · 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 1988-08-08 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 |
| June 30, 2004 Filed Jul 1, 2004 19:54 UTC |
PARKER JAMES JVice President
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GrantPhantom Stock Units · Derivative | 27 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000452 · 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 1988-08-08 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 |
| June 30, 2004 Filed Jul 1, 2004 19:55 UTC |
WUNNING STEVEN HGroup President
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GrantPhantom Stock Units · Derivative | 37 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000453 · 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 · 37 shares Expires 1988-08-08 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 |
| June 30, 2004 Filed Mar 22, 2006 20:50 UTC |
RUST EDWARD B JRDirector
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PurchaseCommon | 28 | $39.75 | $1,113.00 |
DisclosureSEC source: 0000018230-06-000179 · edgar.xml · nonDerivative · entry 12 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,532 F1 · kind: Transactions executed by third-party money manager in Mr. Rust's financial portfolio without Mr. Rust's knowledge. All shares and prices are post-split from company's 2-for-1 stock split effective 7/13/05. Read SEC document |
| June 30, 2004 Filed Mar 22, 2006 20:52 UTC |
RUST EDWARD B JRDirector
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PurchaseCommon | 28 | $39.75 | $1,113.00 |
DisclosureSEC source: 0000018230-06-000180 · edgar.xml · nonDerivative · entry 12 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,532 F1 · kind: Transactions executed by third-party money manager in Mr. Rust's financial portfolio without Mr. Rust's knowledge. All shares and prices are post-split from company's 2-for-1 stock split effective 7/13/05. Read SEC document |
| June 24, 2004 Filed Jun 25, 2004 14:06 UTC |
MCPHEETERS F LYNNV.P./Chief Financial Officer
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GiftCommon | 300 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000429 · 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: 40,621 F1 · balance_after: This amount includes 7638 shares in 401K, 618 shares in SEIP and 1444 shares in dividend reinvestment. Read SEC document |
| June 16, 2004 Filed Mar 22, 2006 20:50 UTC |
RUST EDWARD B JRDirector
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PurchaseCommon | 48 | $37.08 | $1,779.84 |
DisclosureSEC source: 0000018230-06-000179 · edgar.xml · nonDerivative · entry 11 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,504 F1 · kind: Transactions executed by third-party money manager in Mr. Rust's financial portfolio without Mr. Rust's knowledge. All shares and prices are post-split from company's 2-for-1 stock split effective 7/13/05. Read SEC document |
| June 16, 2004 Filed Mar 22, 2006 20:52 UTC |
RUST EDWARD B JRDirector
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PurchaseCommon | 48 | $37.08 | $1,779.84 |
DisclosureSEC source: 0000018230-06-000180 · edgar.xml · nonDerivative · entry 11 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,504 F1 · kind: Transactions executed by third-party money manager in Mr. Rust's financial portfolio without Mr. Rust's knowledge. All shares and prices are post-split from company's 2-for-1 stock split effective 7/13/05. Read SEC document |
| June 14, 2004 Filed Jun 15, 2004 15:15 UTC |
SHAHEEN GERALD LGroup President
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Exercise / conversionEmployee Stock Option · Derivative | 3,038 | $0.00 Strike: $32.91 | $0.00 |
DisclosureSEC source: 0000018230-04-000425 · edgar.xml · derivative · entry 4 SHAHEEN GERALD L · CIK 0001159203 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 3,038 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 |
| June 14, 2004 Filed Jun 15, 2004 15:15 UTC |
SHAHEEN GERALD LGroup President
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Exercise / conversionEmployee Stock Option · Derivative | 3,316 | $0.00 Strike: $30.16 | $0.00 |
DisclosureSEC source: 0000018230-04-000425 · edgar.xml · derivative · entry 3 SHAHEEN GERALD L · CIK 0001159203 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 3,316 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. 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 |
| June 14, 2004 Filed Jun 15, 2004 15:15 UTC |
SHAHEEN GERALD LGroup President
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Exercise / conversionCommon | 3,038 | $32.91 | $99,969.04 |
DisclosureSEC source: 0000018230-04-000425 · edgar.xml · nonDerivative · entry 2 SHAHEEN GERALD L · CIK 0001159203 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,730 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 6465shares in 401K and 4165 shares in SEIP. Read SEC document |
| June 14, 2004 Filed Jun 15, 2004 15:15 UTC |
SHAHEEN GERALD LGroup President
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Exercise / conversionCommon | 3,316 | $30.16 | $99,997.96 |
DisclosureSEC source: 0000018230-04-000425 · edgar.xml · nonDerivative · entry 1 SHAHEEN GERALD L · CIK 0001159203 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,692 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 |
| June 08, 2004 Filed Jun 9, 2004 20:52 UTC |
COLGAN KEVIN ETreasurer
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OtherOption (NQ) · Derivative | 11,550 | $0.00 Strike: $77.26 | $0.00 |
DisclosureSEC source: 0000018230-04-000360 · edgar.xml · derivative · entry 2 COLGAN KEVIN E · CIK 0001171789 · Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,550 Underlying: Common · 11,550 shares Expires 2014-06-08 F2 · security: This option was granted with attached tax withholding rights. F3 · kind: Grant to reporting person of option to buy 11,550 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. F3 · price: Grant to reporting person of option to buy 11,550 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. F3 · derivative.exercise_date: Grant to reporting person of option to buy 11,550 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| June 08, 2004 Filed Jun 9, 2004 20:54 UTC |
OWENS JAMES WDirector · Chairman of the Board/CEO
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OtherOption (NQ) · Derivative | 230,000 | $0.00 Strike: $77.26 | $0.00 |
DisclosureSEC source: 0000018230-04-000361 · edgar.xml · derivative · entry 3 OWENS JAMES W · CIK 0001171767 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 230,000 Underlying: Common · 230,000 shares Expires 2014-06-08 F2 · security: This option was granted with attached tax withholding rights. F3 · kind: Grant to reporting person of option to buy 230,000 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. F3 · price: Grant to reporting person of option to buy 230,000 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. F3 · derivative.exercise_date: Grant to reporting person of option to buy 230,000 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes 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.