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 |
|---|---|---|---|---|---|---|
| May 28, 2004 Filed Jun 1, 2004 14:55 UTC |
GOODE DAVID RDirector
|
GrantPhantom Stock Units · Derivative | 145 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000328 · edgar.xml · derivative · entry 2 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 145 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 May 2004 at a price between $72.955 and $75.37. 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 May 2004 at a price between $72.955 and $75.37. 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 May 2004 at a price between $72.955 and $75.37. Read SEC document |
| May 28, 2004 Filed Jun 1, 2004 14:57 UTC |
MAGOWAN PETER ADirector
|
GrantPhantom Stock Units · Derivative | 88 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000329 · 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 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 May 2004 at a price between $72.955 and $75.37 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 May 2004 at a price between $72.955 and $75.37 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 May 2004 at a price between $72.955 and $75.37 per share. Read SEC document |
| May 28, 2004 Filed Jun 1, 2004 14:58 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 78 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000330 · 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 · 78 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 May 2004 at a price between $72.955 and $75.37 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 May 2004 at a price between $72.955 and $75.37 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 May 2004 at a price between $72.955 and $75.37 per share. Read SEC document |
| May 28, 2004 Filed Jun 1, 2004 20:11 UTC |
WUNNING STEVEN HGroup President
|
GrantPhantom Stock Units · Derivative | 39 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000334 · 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 · 39 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 |
| May 28, 2004 Filed Jun 1, 2004 20:12 UTC |
PARKER JAMES JVice President
|
GrantPhantom Stock Units · Derivative | 29 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000335 · 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 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 |
| May 28, 2004 Filed Jun 1, 2004 20:13 UTC |
BAHAJ ALI MVice President
|
GrantPhantom Stock Units · Derivative | 28 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000336 · 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 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 |
| May 27, 2004 Filed Mar 22, 2006 20:50 UTC |
RUST EDWARD B JRDirector
|
SaleCommon | 52 | $37.62 | $1,956.24 |
DisclosureSEC source: 0000018230-06-000179 · edgar.xml · nonDerivative · entry 8 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,466 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 |
| May 27, 2004 Filed Mar 22, 2006 20:52 UTC |
RUST EDWARD B JRDirector
|
SaleCommon | 52 | $37.62 | $1,956.24 |
DisclosureSEC source: 0000018230-06-000180 · edgar.xml · nonDerivative · entry 8 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,466 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 |
| May 17, 2004 Filed Mar 22, 2006 20:50 UTC |
RUST EDWARD B JRDirector
|
PurchaseCommon | 58 | $36.76 | $2,132.08 |
DisclosureSEC source: 0000018230-06-000179 · edgar.xml · nonDerivative · entry 7 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,518 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 |
| May 17, 2004 Filed Mar 22, 2006 20:52 UTC |
RUST EDWARD B JRDirector
|
PurchaseCommon | 58 | $36.76 | $2,132.08 |
DisclosureSEC source: 0000018230-06-000180 · edgar.xml · nonDerivative · entry 7 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,518 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 |
| May 11, 2004 Filed May 12, 2004 14:25 UTC |
MURPHY DANIEL MVice President
|
GiftCommon | 378 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000308 · edgar.xml · nonDerivative · entry 1 MURPHY DANIEL M · CIK 0001171791 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,450 F1 · balance_after: This amount includes 6417 shares in 401K and 2427 shares in SEIP. Read SEC document |
| May 11, 2004 Filed May 12, 2004 14:24 UTC |
MURPHY DANIEL MVice President
|
GiftCommon | 378 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000309 · edgar.xml · nonDerivative · entry 1 MURPHY DANIEL M · CIK 0001171791 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,450 F1 · balance_after: This amount includes 6417 shares in 401K and 2427 shares in SEIP. Read SEC document |
| May 11, 2004 Filed May 12, 2004 14:21 UTC |
MURPHY DANIEL MVice President
|
GiftCommon | 378 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000310 · edgar.xml · nonDerivative · entry 1 MURPHY DANIEL M · CIK 0001171791 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,450 F1 · balance_after: This amount includes 6417 shares in 401K and 2427 shares in SEIP. Read SEC document |
| May 11, 2004 Filed May 12, 2004 14:30 UTC |
MURPHY DANIEL MVice President
|
GiftCommon | 378 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000311 · edgar.xml · nonDerivative · entry 1 MURPHY DANIEL M · CIK 0001171791 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,450 F1 · balance_after: This amount includes 6417 shares in 401K and 2427 shares in SEIP. Read SEC document |
| May 10, 2004 Filed May 11, 2004 15:26 UTC |
Smith Joshua IDirector
|
Exercise / conversionEmployee Stock Option · Derivative | 2,000 | $0.00 Strike: $45.51 | $0.00 |
DisclosureSEC source: 0000018230-04-000304 · edgar.xml · derivative · entry 9 SMITH JOSHUA T · CIK 0001173565 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 2,000 shares Expires 2011-04-11 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 |
| May 10, 2004 Filed May 11, 2004 15:26 UTC |
Smith Joshua IDirector
|
Exercise / conversionEmployee Stock Option · Derivative | 1,250 | $0.00 Strike: $39.19 | $0.00 |
DisclosureSEC source: 0000018230-04-000304 · edgar.xml · derivative · entry 8 SMITH JOSHUA T · CIK 0001173565 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 1,250 shares Expires 2007-04-09 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 |
| May 10, 2004 Filed May 11, 2004 15:26 UTC |
Smith Joshua IDirector
|
Tax withholdingCommon | 1,227 | $74.17 | $91,000.46 |
DisclosureSEC source: 0000018230-04-000304 · edgar.xml · nonDerivative · entry 6 SMITH JOSHUA T · CIK 0001173565 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,454 F1 · balance_after: Included in this amount are 48 shares in dividend reinvestment. Read SEC document |
| May 10, 2004 Filed May 11, 2004 15:26 UTC |
Smith Joshua IDirector
|
Exercise / conversionCommon | 2,000 | $45.51 | $91,020.00 |
DisclosureSEC source: 0000018230-04-000304 · edgar.xml · nonDerivative · entry 5 SMITH JOSHUA T · CIK 0001173565 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,681 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 |
| May 10, 2004 Filed May 11, 2004 15:26 UTC |
Smith Joshua IDirector
|
Tax withholdingCommon | 660 | $74.17 | $48,948.90 |
DisclosureSEC source: 0000018230-04-000304 · edgar.xml · nonDerivative · entry 4 SMITH JOSHUA T · CIK 0001173565 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,681 Read SEC document |
| May 10, 2004 Filed May 11, 2004 15:26 UTC |
Smith Joshua IDirector
|
Exercise / conversionCommon | 1,250 | $39.19 | $48,984.38 |
DisclosureSEC source: 0000018230-04-000304 · edgar.xml · nonDerivative · entry 3 SMITH JOSHUA T · CIK 0001173565 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,341 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 |
| May 07, 2004 Filed May 10, 2004 14:23 UTC |
BAHAJ ALI MVice President
|
Exercise / conversionEmployee Stock Option · Derivative | 2,850 | $0.00 Strike: $32.91 | $0.00 |
DisclosureSEC source: 0000018230-04-000298 · edgar.xml · derivative · entry 4 BAHAJ ALI M · CIK 0001172565 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 2,850 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 |
| May 07, 2004 Filed May 10, 2004 14:23 UTC |
BAHAJ ALI MVice President
|
Tax withholdingCommon | 1,689 | $77.82 | $131,437.98 |
DisclosureSEC source: 0000018230-04-000298 · edgar.xml · nonDerivative · entry 2 BAHAJ ALI M · CIK 0001172565 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,472 F1 · balance_after: This amount includes 8684 shares in EIP-1, 34 shares in SEIP and 42 shares in dividend reinvestment. Read SEC document |
| May 07, 2004 Filed May 10, 2004 14:23 UTC |
BAHAJ ALI MVice President
|
Exercise / conversionCommon | 2,850 | $32.91 | $93,782.67 |
DisclosureSEC source: 0000018230-04-000298 · edgar.xml · nonDerivative · entry 1 BAHAJ ALI M · CIK 0001172565 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,161 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 8684 shares in EIP-1, 34 shares in SEIP and 42 shares in dividend reinvestment. Read SEC document |
| May 07, 2004 Filed May 11, 2004 15:26 UTC |
Smith Joshua IDirector
|
Exercise / conversionEmployee Stock Option · Derivative | 4,000 | $0.00 Strike: $43.75 | $0.00 |
DisclosureSEC source: 0000018230-04-000304 · edgar.xml · derivative · entry 7 SMITH JOSHUA T · CIK 0001173565 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 4,000 shares Expires 2010-04-12 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 |
| May 07, 2004 Filed May 11, 2004 15:26 UTC |
Smith Joshua IDirector
|
Tax withholdingCommon | 2,248 | $77.82 | $174,939.36 |
DisclosureSEC source: 0000018230-04-000304 · edgar.xml · nonDerivative · entry 2 SMITH JOSHUA T · CIK 0001173565 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,091 Read SEC document |
| May 07, 2004 Filed May 11, 2004 15:26 UTC |
Smith Joshua IDirector
|
Exercise / conversionCommon | 4,000 | $43.75 | $175,000.00 |
DisclosureSEC source: 0000018230-04-000304 · edgar.xml · nonDerivative · entry 1 SMITH JOSHUA T · CIK 0001173565 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,339 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 |
| May 05, 2004 Filed May 7, 2004 15:24 UTC |
BURRITT DAVID BController
|
Exercise / conversionEmployee Stock Option · Derivative | 3,055 | $0.00 Strike: $50.72 | $0.00 |
DisclosureSEC source: 0000018230-04-000296 · edgar.xml · derivative · entry 8 BURRITT DAVID B · CIK 0001204586 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 3,055 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. 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 2 yrs. Read SEC document |
| May 05, 2004 Filed May 7, 2004 15:24 UTC |
BURRITT DAVID BController
|
Exercise / conversionEmployee Stock Option · Derivative | 6,562 | $0.00 Strike: $38.41 | $0.00 |
DisclosureSEC source: 0000018230-04-000296 · edgar.xml · derivative · entry 7 BURRITT DAVID B · CIK 0001204586 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 6,562 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. 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 2 yrs. Read SEC document |
| May 05, 2004 Filed May 7, 2004 15:24 UTC |
BURRITT DAVID BController
|
Exercise / conversionEmployee Stock Option · Derivative | 2,225 | $0.00 Strike: $55.69 | $0.00 |
DisclosureSEC source: 0000018230-04-000296 · edgar.xml · derivative · entry 6 BURRITT DAVID B · CIK 0001204586 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 2,225 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. 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 2 yrs. Read SEC document |
| May 05, 2004 Filed May 7, 2004 15:24 UTC |
BURRITT DAVID BController
|
SaleCommon | 11,842 | $79.00 | $935,518.00 |
DisclosureSEC source: 0000018230-04-000296 · edgar.xml · nonDerivative · entry 4 BURRITT DAVID B · CIK 0001204586 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,171 F1 · balance_after: This amount includes 1132 shares in 401K and 8 shares in dividend reinvestment. Read SEC document |
| May 05, 2004 Filed May 7, 2004 15:24 UTC |
BURRITT DAVID BController
|
Exercise / conversionCommon | 3,055 | $50.72 | $154,934.33 |
DisclosureSEC source: 0000018230-04-000296 · edgar.xml · nonDerivative · entry 3 BURRITT DAVID B · CIK 0001204586 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,008 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 |
| May 05, 2004 Filed May 7, 2004 15:24 UTC |
BURRITT DAVID BController
|
Exercise / conversionCommon | 6,562 | $38.41 | $252,022.14 |
DisclosureSEC source: 0000018230-04-000296 · edgar.xml · nonDerivative · entry 2 BURRITT DAVID B · CIK 0001204586 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,953 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 |
| May 05, 2004 Filed May 7, 2004 15:24 UTC |
BURRITT DAVID BController
|
Exercise / conversionCommon | 2,225 | $55.69 | $123,904.69 |
DisclosureSEC source: 0000018230-04-000296 · edgar.xml · nonDerivative · entry 1 BURRITT DAVID B · CIK 0001204586 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,391 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 |
| May 04, 2004 Filed May 7, 2004 15:21 UTC |
MACIER ROBERT RVice President
|
GiftCommon | 2,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000294 · edgar.xml · nonDerivative · entry 1 MACIER ROBERT R · CIK 0001171779 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,916 F1 · balance_after: This amount includes 5552 shares in 401K and 746 shares in dividend reinvestment. Read SEC document |
| May 03, 2004 Filed Mar 22, 2006 20:50 UTC |
RUST EDWARD B JRDirector
|
PurchaseCommon | 38 | $39.63 | $1,505.94 |
DisclosureSEC source: 0000018230-06-000179 · edgar.xml · nonDerivative · entry 6 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,460 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 |
| May 03, 2004 Filed Mar 22, 2006 20:52 UTC |
RUST EDWARD B JRDirector
|
PurchaseCommon | 38 | $39.63 | $1,505.94 |
DisclosureSEC source: 0000018230-06-000180 · edgar.xml · nonDerivative · entry 6 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,460 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 |
| April 30, 2004 Filed May 3, 2004 13:35 UTC |
GOODE DAVID RDirector
|
GrantPhantom Stock Units · Derivative | 111 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000281 · edgar.xml · derivative · entry 2 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 111 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 April 2004 at a price between $78.04 and $82.775. 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 April 2004 at a price between $78.04 and $82.775. 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 April 2004 at a price between $78.04 and $82.775. Read SEC document |
| April 30, 2004 Filed May 3, 2004 13:36 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 111 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000282 · 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 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 April 2004 at a price between $78.04 and $82.775. 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 April 2004 at a price between $78.04 and $82.775. 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 April 2004 at a price between $78.04 and $82.775. Read SEC document |
| April 30, 2004 Filed May 3, 2004 13:38 UTC |
GALLARDO JUANDirector
|
GrantCommon | 67 | $78.04 | $5,228.68 |
DisclosureSEC source: 0000018230-04-000283 · edgar.xml · nonDerivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,028 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 |
| April 30, 2004 Filed May 3, 2004 13:39 UTC |
POWELL CHARLES DDirector
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GrantCommon | 24 | $78.04 | $1,872.96 |
DisclosureSEC source: 0000018230-04-000284 · edgar.xml · nonDerivative · entry 1 POWELL CHARLES D · CIK 0001172570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,852 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 |
| April 30, 2004 Filed May 3, 2004 13:47 UTC |
MAGOWAN PETER ADirector
|
GrantPhantom Stock Units · Derivative | 93 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000286 · edgar.xml · derivative · entry 3 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 93 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 April 2004 at a price between $78.04 and $82.775 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 April 2004 at a price between $78.04 and $82.775 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 April 2004 at a price between $78.04 and $82.775 per share. Read SEC document |
| April 30, 2004 Filed May 4, 2004 20:41 UTC |
BAHAJ ALI MVice President
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GrantPhantom Stock Units · Derivative | 27 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000290 · 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 · 27 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 |
| April 30, 2004 Filed May 4, 2004 20:42 UTC |
PARKER JAMES JVice President
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GrantPhantom Stock Units · Derivative | 28 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000291 · 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 · 28 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 |
| April 30, 2004 Filed May 4, 2004 20:44 UTC |
WUNNING STEVEN HGroup President
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GrantPhantom Stock Units · Derivative | 37 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000292 · 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 |
| April 28, 2004 Filed Apr 29, 2004 15:18 UTC |
SCHENA CHRISTIANO VVice President
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Exercise / conversionEmployee Stock Option · Derivative | 2,984 | $0.00 Strike: $30.16 | $0.00 |
DisclosureSEC source: 0000018230-04-000275 · edgar.xml · derivative · entry 7 SCHENA CHRISTIANO V · CIK 0001204588 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 2,984 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 |
| April 28, 2004 Filed Apr 29, 2004 15:18 UTC |
SCHENA CHRISTIANO VVice President
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SaleCommon | 2,800 | $80.51 | $225,428.00 |
DisclosureSEC source: 0000018230-04-000275 · edgar.xml · nonDerivative · entry 5 SCHENA CHRISTIANO V · CIK 0001204588 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,025 F1 · balance_after: This amount includes 7411 shares in 401K; 63 shares in SEIP and 94 shares in dividend reinvestment. Read SEC document |
| April 28, 2004 Filed Apr 29, 2004 15:18 UTC |
SCHENA CHRISTIANO VVice President
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SaleCommon | 184 | $80.52 | $14,815.68 |
DisclosureSEC source: 0000018230-04-000275 · edgar.xml · nonDerivative · entry 4 SCHENA CHRISTIANO V · CIK 0001204588 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,825 Read SEC document |
| April 28, 2004 Filed Apr 29, 2004 15:18 UTC |
SCHENA CHRISTIANO VVice President
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Exercise / conversionCommon | 2,984 | $30.16 | $89,986.10 |
DisclosureSEC source: 0000018230-04-000275 · edgar.xml · nonDerivative · entry 3 SCHENA CHRISTIANO V · CIK 0001204588 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,009 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 |
| April 27, 2004 Filed Apr 29, 2004 15:18 UTC |
SCHENA CHRISTIANO VVice President
|
Exercise / conversionEmployee Stock Option · Derivative | 3,316 | $0.00 Strike: $30.16 | $0.00 |
DisclosureSEC source: 0000018230-04-000275 · edgar.xml · derivative · entry 6 SCHENA CHRISTIANO V · CIK 0001204588 · Vice 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 |
| April 27, 2004 Filed Apr 29, 2004 15:18 UTC |
SCHENA CHRISTIANO VVice President
|
Tax withholdingCommon | 1,227 | $81.46 | $99,945.29 |
DisclosureSEC source: 0000018230-04-000275 · edgar.xml · nonDerivative · entry 2 SCHENA CHRISTIANO V · CIK 0001204588 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,025 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.