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 |
|---|---|---|---|---|---|---|
| March 01, 2004 Filed Mar 22, 2004 18:46 UTC |
LAVIN RICHARD PVice President
|
Tax withholdingCommon | 197 | $76.73 | $15,115.81 |
DisclosureSEC source: 0000018230-04-000170 · edgar.xml · nonDerivative · entry 1 LAVIN RICHARD P · CIK 0001171774 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,771 F2 · kind: Amount reflects shares automatically sold to satisfy tax withholding requirements upon the vesting of previously restricted stock. F1 · balance_after: This amount includes 3,397 shares in 401K, 1028 shares in SEIP and 197 shares in dividend reinvestment. Read SEC document |
| March 01, 2004 Filed Mar 22, 2004 18:48 UTC |
BUSSELL RODNEY LVice President
|
Tax withholdingCommon | 197 | $76.73 | $15,115.81 |
DisclosureSEC source: 0000018230-04-000171 · edgar.xml · nonDerivative · entry 1 BUSSELL RODNEY L · CIK 0001171776 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,034 F3 · kind: Amount reflects shares automatically sold to satisfy tax withholding requirements upon the vesting of previously restricted stock. F1 · balance_after: This amount includes 1663 shares in EIP-1 and 852 shares in dividend reinvestment. Read SEC document |
| March 01, 2004 Filed Mar 22, 2004 18:49 UTC |
MACIER ROBERT RVice President
|
Tax withholdingCommon | 418 | $76.73 | $32,073.14 |
DisclosureSEC source: 0000018230-04-000172 · edgar.xml · nonDerivative · entry 1 MACIER ROBERT R · CIK 0001171779 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,889 F2 · kind: Amount reflects shares automatically sold to satisfy tax withholding requirements upon the vesting of previously restricted stock. F1 · balance_after: This amount includes 5525 shares in 401K and 746 shares in dividend reinvestment. Read SEC document |
| March 01, 2004 Filed Mar 22, 2004 18:50 UTC |
WUNNING STEVEN HGroup President
|
Tax withholdingCommon | 344 | $76.73 | $26,395.12 |
DisclosureSEC source: 0000018230-04-000173 · edgar.xml · nonDerivative · entry 1 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,084 F3 · kind: Amount reflects shares automatically sold to satisfy tax withholding requirements upon the vesting of previously restricted stock. F1 · balance_after: This amount includes 10,026 shares in 401K, 1952 shares in SEIP, and 114 shares in dividend reinvestment. Read SEC document |
| March 01, 2004 Filed Mar 22, 2004 18:52 UTC |
OBERHELMAN DOUGLAS RGroup President
|
Tax withholdingCommon | 344 | $76.73 | $26,395.12 |
DisclosureSEC source: 0000018230-04-000174 · edgar.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,130 F2 · kind: Amount reflects shares automatically sold to satisfy tax withholding requirements upon the vesting of previously restricted stock. F1 · balance_after: This amount includes 9891 shares in 401K, 3168 shares in SEIP and 443 shares in dividend reinvestment. Read SEC document |
| February 27, 2004 Filed Mar 1, 2004 16:10 UTC |
GALLARDO JUANDirector
|
GrantCommon | 77 | $76.70 | $5,905.90 |
DisclosureSEC source: 0000018230-04-000141 · edgar.xml · nonDerivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,913 F1 · kind: Stock received in lieu of director's fees F2 · balance_after: Included in this amount are 18 shares in dividend reinvestment. Read SEC document |
| February 27, 2004 Filed Mar 1, 2004 16:12 UTC |
POWELL CHARLES DDirector
|
GrantCommon | 27 | $76.70 | $2,070.90 |
DisclosureSEC source: 0000018230-04-000142 · edgar.xml · nonDerivative · entry 1 POWELL CHARLES D · CIK 0001172570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,811 F1 · kind: Stock received in lieu of director's fees. F2 · balance_after: Included in this amount are 57 shares in dividend reinvestment. Read SEC document |
| February 27, 2004 Filed Mar 1, 2004 16:13 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 120 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000143 · 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 · 120 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. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in February 2004 at a price between $76.70 and $77.49 per share. F2 · 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 February 2004 at a price between $76.70 and $77.49 per share. F2 · 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 February 2004 at a price between $76.70 and $77.49 per share. Read SEC document |
| February 27, 2004 Filed Mar 1, 2004 16:16 UTC |
GOODE DAVID RDirector
|
GrantPhantom Stock Units · Derivative | 177 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000144 · edgar.xml · derivative · entry 2 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 177 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. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in February 2004 at a price between $76.70 and $77.49 per share. F3 · 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 February 2004 at a price between $76.70 and $77.49 per share. F3 · 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 February 2004 at a price between $76.70 and $77.49 per share. Read SEC document |
| February 27, 2004 Filed Mar 1, 2004 16:53 UTC |
MAGOWAN PETER ADirector
|
GrantPhantom Stock Units · Derivative | 124 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000146 · edgar.xml · derivative · entry 3 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 124 shares Expires 1988-08-08 F3 · 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. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in February 2004 at a price between $76.70 and $77.49 per share. F2 · 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 February 2004 at a price between $76.70 and $77.49 per share. F2 · 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 February 2004 at a price between $76.70 and $77.49 per share. Read SEC document |
| February 27, 2004 Filed Mar 2, 2004 14:28 UTC |
WUNNING STEVEN HGroup President
|
GrantPhantom Stock Units · Derivative | 37 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000149 · 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 |
| February 27, 2004 Filed Mar 2, 2004 14:51 UTC |
PARKER JAMES JVice President
|
GrantPhantom Stock Units · Derivative | 25 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000150 · 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 · 25 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 |
| February 23, 2004 Filed Feb 25, 2004 17:15 UTC |
SPRINGER WILLIAM FVice President
|
Exercise / conversionEmployee Stock Option · Derivative | 1,000 | $0.00 Strike: $32.91 | $0.00 |
DisclosureSEC source: 0000018230-04-000136 · edgar.xml · derivative · entry 6 SPRINGER WILLIAM F · CIK 0001172566 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 1,000 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 |
| February 23, 2004 Filed Feb 25, 2004 17:15 UTC |
SPRINGER WILLIAM FVice President
|
Exercise / conversionEmployee Stock Option · Derivative | 950 | $0.00 Strike: $30.16 | $0.00 |
DisclosureSEC source: 0000018230-04-000136 · edgar.xml · derivative · entry 5 SPRINGER WILLIAM F · CIK 0001172566 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 950 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 |
| February 23, 2004 Filed Feb 25, 2004 17:15 UTC |
SPRINGER WILLIAM FVice President
|
Tax withholdingCommon | 598 | $77.19 | $46,159.62 |
DisclosureSEC source: 0000018230-04-000136 · edgar.xml · nonDerivative · entry 4 SPRINGER WILLIAM F · CIK 0001172566 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,021 F1 · balance_after: This amount includes 9788 shares in 401K and 14 shares in SEIP. Read SEC document |
| February 23, 2004 Filed Feb 25, 2004 17:15 UTC |
SPRINGER WILLIAM FVice President
|
Exercise / conversionCommon | 1,000 | $32.91 | $32,906.20 |
DisclosureSEC source: 0000018230-04-000136 · edgar.xml · nonDerivative · entry 3 SPRINGER WILLIAM F · CIK 0001172566 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,619 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 |
| February 23, 2004 Filed Feb 25, 2004 17:15 UTC |
SPRINGER WILLIAM FVice President
|
Tax withholdingCommon | 371 | $77.19 | $28,637.49 |
DisclosureSEC source: 0000018230-04-000136 · edgar.xml · nonDerivative · entry 2 SPRINGER WILLIAM F · CIK 0001172566 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,619 Read SEC document |
| February 23, 2004 Filed Feb 25, 2004 17:15 UTC |
SPRINGER WILLIAM FVice President
|
Exercise / conversionCommon | 950 | $30.16 | $28,648.39 |
DisclosureSEC source: 0000018230-04-000136 · edgar.xml · nonDerivative · entry 1 SPRINGER WILLIAM F · CIK 0001172566 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,990 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 |
| February 20, 2004 Filed Feb 23, 2004 15:25 UTC |
MURPHY DANIEL MVice President
|
Exercise / conversionEmployee Stock Option · Derivative | 1,734 | $0.00 Strike: $38.41 | $0.00 |
DisclosureSEC source: 0000018230-04-000132 · edgar.xml · derivative · entry 3 MURPHY DANIEL M · CIK 0001171791 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 1,734 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 |
| February 20, 2004 Filed Feb 23, 2004 15:25 UTC |
MURPHY DANIEL MVice President
|
Tax withholdingCommon | 860 | $77.37 | $66,538.20 |
DisclosureSEC source: 0000018230-04-000132 · edgar.xml · nonDerivative · entry 2 MURPHY DANIEL M · CIK 0001171791 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,926 F1 · balance_after: This amount includes 6224 shares in 401K and 2343 shares in SEIP. Read SEC document |
| February 20, 2004 Filed Feb 23, 2004 15:25 UTC |
MURPHY DANIEL MVice President
|
Exercise / conversionCommon | 1,734 | $38.41 | $66,596.52 |
DisclosureSEC source: 0000018230-04-000132 · edgar.xml · nonDerivative · entry 1 MURPHY DANIEL M · CIK 0001171791 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,786 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 |
| February 20, 2004 Filed Feb 23, 2004 22:30 UTC |
WESTERN DONALD GVice President
|
GiftCommon | 5,675 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000134 · 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: 5,675 F2 · ownership.nature: Reporting person disclaims beneficial ownership. Read SEC document |
| February 20, 2004 Filed Feb 23, 2004 22:30 UTC |
WESTERN DONALD GVice President
|
GiftCommon | 5,675 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000134 · edgar.xml · nonDerivative · entry 1 WESTERN DONALD G · CIK 0001171772 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,300 F1 · balance_after: This amount includes 12,350 shares in 401K and 3305 shares in SEIP. Read SEC document |
| February 11, 2004 Filed Feb 12, 2004 14:35 UTC |
BURRITT DAVID BController
|
Exercise / conversionEmployee Stock Option · Derivative | 4,366 | $0.00 Strike: $51.66 | $0.00 |
DisclosureSEC source: 0000018230-04-000128 · edgar.xml · derivative · entry 7 BURRITT DAVID B · CIK 0001204586 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 4,366 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 2 yrs. Read SEC document |
| February 11, 2004 Filed Feb 12, 2004 14:35 UTC |
BURRITT DAVID BController
|
Exercise / conversionEmployee Stock Option · Derivative | 2,762 | $0.00 Strike: $32.91 | $0.00 |
DisclosureSEC source: 0000018230-04-000128 · edgar.xml · derivative · entry 6 BURRITT DAVID B · CIK 0001204586 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 2,762 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 2 yrs. Read SEC document |
| February 11, 2004 Filed Feb 12, 2004 14:35 UTC |
BURRITT DAVID BController
|
SaleCommon | 1,028 | $77.90 | $80,081.20 |
DisclosureSEC source: 0000018230-04-000128 · edgar.xml · nonDerivative · entry 4 BURRITT DAVID B · CIK 0001204586 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,166 F1 · balance_after: This amount includes 1127 shares in 401K and 8 shares in dividend reinvestment. Read SEC document |
| February 11, 2004 Filed Feb 12, 2004 14:35 UTC |
BURRITT DAVID BController
|
SaleCommon | 6,100 | $77.87 | $475,007.00 |
DisclosureSEC source: 0000018230-04-000128 · edgar.xml · nonDerivative · entry 3 BURRITT DAVID B · CIK 0001204586 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,194 Read SEC document |
| February 11, 2004 Filed Feb 12, 2004 14:35 UTC |
BURRITT DAVID BController
|
Exercise / conversionCommon | 4,366 | $51.66 | $225,530.97 |
DisclosureSEC source: 0000018230-04-000128 · edgar.xml · nonDerivative · entry 2 BURRITT DAVID B · CIK 0001204586 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,294 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 |
| February 11, 2004 Filed Feb 12, 2004 14:35 UTC |
BURRITT DAVID BController
|
Exercise / conversionCommon | 2,762 | $32.91 | $90,886.92 |
DisclosureSEC source: 0000018230-04-000128 · edgar.xml · nonDerivative · entry 1 BURRITT DAVID B · CIK 0001204586 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,928 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 30, 2004 Filed Jan 30, 2004 18:46 UTC |
SCHENA CHRISTIANO VVice President
|
OtherCommon | 999 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000100 · edgar.xml · nonDerivative · entry 1 SCHENA CHRISTIANO V · CIK 0001204588 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,936 F2 · kind: Distribution of shares from termination of Stock Purchase Plan. F1 · balance_after: This amount includes 7411 shares in 401K; 63 shares in SEIP and 94 shares in dividend reinvestment. Read SEC document |
| January 30, 2004 Filed Feb 2, 2004 17:01 UTC |
POWELL CHARLES DDirector
|
GrantCommon | 18 | $77.73 | $1,399.14 |
DisclosureSEC source: 0000018230-04-000112 · edgar.xml · nonDerivative · entry 1 POWELL CHARLES D · CIK 0001172570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,784 F1 · kind: Stock received in lieu of director's fees. F2 · balance_after: Included in this amount are 57 shares in dividend reinvestment. Read SEC document |
| January 30, 2004 Filed Feb 2, 2004 17:02 UTC |
MAGOWAN PETER ADirector
|
GrantPhantom Stock Units · Derivative | 69 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000113 · edgar.xml · derivative · entry 3 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 69 shares Expires 1988-08-08 F3 · 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. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in January 2004 at a price of $77.73 per share. F2 · 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 January 2004 at a price of $77.73 per share. F2 · 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 January 2004 at a price of $77.73 per share. Read SEC document |
| January 30, 2004 Filed Feb 2, 2004 17:04 UTC |
GALLARDO JUANDirector
|
GrantCommon | 48 | $77.73 | $3,731.04 |
DisclosureSEC source: 0000018230-04-000114 · edgar.xml · nonDerivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,836 F1 · kind: Stock received in lieu of director's fees F2 · balance_after: Included in this amount are 18 shares in dividend reinvestment. Read SEC document |
| January 30, 2004 Filed Feb 2, 2004 17:05 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 81 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000115 · 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 · 81 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. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in January 2004 at a price of $77.73 per share. F2 · 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 January 2004 at a price of $77.73 per share. F2 · 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 January 2004 at a price of $77.73 per share. Read SEC document |
| January 30, 2004 Filed Feb 2, 2004 19:17 UTC |
BUSSELL RODNEY LVice President
|
Exercise / conversionEmployee Stock Option · Derivative | 8,299 | $0.00 Strike: $38.41 | $0.00 |
DisclosureSEC source: 0000018230-04-000120 · edgar.xml · derivative · entry 7 BUSSELL RODNEY L · CIK 0001171776 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 8,299 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 3 yrs. Read SEC document |
| January 30, 2004 Filed Feb 2, 2004 19:17 UTC |
BUSSELL RODNEY LVice President
|
Exercise / conversionEmployee Stock Option · Derivative | 2,601 | $0.00 Strike: $38.41 | $0.00 |
DisclosureSEC source: 0000018230-04-000120 · edgar.xml · derivative · entry 6 BUSSELL RODNEY L · CIK 0001171776 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 2,601 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 3 yrs. Read SEC document |
| January 30, 2004 Filed Feb 2, 2004 19:17 UTC |
BUSSELL RODNEY LVice President
|
Tax withholdingCommon | 5,357 | $77.73 | $416,399.61 |
DisclosureSEC source: 0000018230-04-000120 · edgar.xml · nonDerivative · entry 4 BUSSELL RODNEY L · CIK 0001171776 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,231 F1 · balance_after: This amount includes 1663 shares in EIP-1 and 852 shares in dividend reinvestment. Read SEC document |
| January 30, 2004 Filed Feb 2, 2004 19:17 UTC |
BUSSELL RODNEY LVice President
|
Exercise / conversionCommon | 8,299 | $38.41 | $318,733.88 |
DisclosureSEC source: 0000018230-04-000120 · edgar.xml · nonDerivative · entry 3 BUSSELL RODNEY L · CIK 0001171776 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,588 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 30, 2004 Filed Feb 2, 2004 19:17 UTC |
BUSSELL RODNEY LVice President
|
Tax withholdingCommon | 1,285 | $77.73 | $99,883.05 |
DisclosureSEC source: 0000018230-04-000120 · edgar.xml · nonDerivative · entry 2 BUSSELL RODNEY L · CIK 0001171776 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,289 Read SEC document |
| January 30, 2004 Filed Feb 2, 2004 19:17 UTC |
BUSSELL RODNEY LVice President
|
Exercise / conversionCommon | 2,601 | $38.41 | $99,894.79 |
DisclosureSEC source: 0000018230-04-000120 · edgar.xml · nonDerivative · entry 1 BUSSELL RODNEY L · CIK 0001171776 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,574 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 30, 2004 Filed Feb 2, 2004 23:00 UTC |
GOODE DAVID RDirector
|
GrantPhantom Stock Units · Derivative | 81 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000122 · edgar.xml · derivative · entry 2 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 81 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. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in January 2004 at a price between $83.88 and $77.73 per share. F3 · 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 January 2004 at a price between $83.88 and $77.73 per share. F3 · 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 January 2004 at a price between $83.88 and $77.73 per share. Read SEC document |
| January 30, 2004 Filed Feb 3, 2004 22:42 UTC |
PARKER JAMES JVice President
|
GrantPhantom Stock Units · Derivative | 25 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000125 · 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 · 25 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 |
| January 30, 2004 Filed Feb 3, 2004 23:15 UTC |
WUNNING STEVEN HGroup President
|
GrantPhantom Stock Units · Derivative | 36 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000126 · 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 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 |
| January 20, 2004 Filed Jan 20, 2004 16:48 UTC |
SCHENA CHRISTIANO VVice President
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Tax withholdingCommon | 181 | $83.11 | $15,042.91 |
DisclosureSEC source: 0000018230-04-000039 · edgar.xml · nonDerivative · entry 1 SCHENA CHRISTIANO V · CIK 0001204588 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,937 F1 · balance_after: This amount includes 7411 shares in 401K; 63 shares in SEIP and 94 shares in dividend reinvestment. Read SEC document |
| January 20, 2004 Filed Jan 20, 2004 16:52 UTC |
BEARD JAMES SVice President
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Tax withholdingCommon | 346 | $83.11 | $28,756.06 |
DisclosureSEC source: 0000018230-04-000041 · edgar.xml · nonDerivative · entry 1 BEARD JAMES S · CIK 0001171764 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,804 F1 · balance_after: This amount includes 22,186 shares in 401K, 2525 shares in SEIP and 84 shares in dividend reinvestment. Read SEC document |
| January 20, 2004 Filed Jan 20, 2004 16:49 UTC |
SPRINGER WILLIAM FVice President
|
Tax withholdingCommon | 98 | $83.11 | $8,144.78 |
DisclosureSEC source: 0000018230-04-000040 · edgar.xml · nonDerivative · entry 1 SPRINGER WILLIAM F · CIK 0001172566 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,040 F1 · balance_after: This amount includes 9788 shares in 401K and 14 shares in SEIP. Read SEC document |
| January 20, 2004 Filed Jan 20, 2004 16:53 UTC |
BENSON RICHARD AVice President
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Tax withholdingCommon | 359 | $83.11 | $29,836.49 |
DisclosureSEC source: 0000018230-04-000042 · edgar.xml · nonDerivative · entry 1 BENSON RICHARD A · CIK 0001171769 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,168 F1 · balance_after: This amount includes 18,508 shares in 401K. Read SEC document |
| January 20, 2004 Filed Jan 20, 2004 16:56 UTC |
STROUP GARY AVice President
|
Tax withholdingCommon | 425 | $83.11 | $35,321.75 |
DisclosureSEC source: 0000018230-04-000044 · edgar.xml · nonDerivative · entry 1 STROUP GARY A · CIK 0001171795 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,573 F1 · balance_after: This amount includes 9342 shares in 401K and 484 shares in SEIP. Read SEC document |
| January 20, 2004 Filed Jan 20, 2004 16:55 UTC |
BAHAJ ALI MVice President
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Tax withholdingCommon | 63 | $83.11 | $5,235.93 |
DisclosureSEC source: 0000018230-04-000043 · edgar.xml · nonDerivative · entry 1 BAHAJ ALI M · CIK 0001172565 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,170 F1 · balance_after: This amount includes 8543 shares in EIP-1, 34 shares in SEIP and 42 shares in dividend reinvestment. Read SEC document |
| January 20, 2004 Filed Jan 20, 2004 17:27 UTC |
MACIER ROBERT RVice President
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Tax withholdingCommon | 397 | $83.11 | $32,994.67 |
DisclosureSEC source: 0000018230-04-000051 · edgar.xml · nonDerivative · entry 1 MACIER ROBERT R · CIK 0001171779 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,307 F1 · balance_after: This amount includes 5525 shares in 401K and 746 shares in dividend reinvestment. 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.