Last 12 months
Inside the activity.
2 purchase rows · 91 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 1 | 16 |
| Dec 2025 | 0 | 14 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 21 |
| Mar 2026 | 0 | 5 |
| Apr 2026 | 0 | 0 |
| May 2026 | 1 | 21 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 14 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| November 28, 2003 Filed Dec 1, 2003 15:32 UTC |
GALLARDO JUANDirector
|
GrantCommon | 50 | $75.72 | $3,785.75 |
DisclosureSEC source: 0000018230-03-000507 · edgar.xml · nonDerivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,701 F1 · kind: Stock received in lieu of director's fees F2 · balance_after: Included in this amount are 10 shares in dividend reinvestment. Read SEC document |
| November 24, 2003 Filed Nov 25, 2003 21:36 UTC |
BARTON GLEN ADirector · Chairman of the Board/CEO
|
GiftCommon | 2,166 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-03-000499 · edgar.xml · nonDerivative · entry 1 BARTON GLEN A · CIK 0001145439 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 128,277 F1 · balance_after: This amount includes 6679 shares in 401K, 4083 shares in SEIP and 6546 shares in dividend reinvestment. Read SEC document |
| November 17, 2003 Filed Nov 18, 2003 19:18 UTC |
OWENS JAMES WGroup President
|
GiftCommon | 1,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-03-000497 · edgar.xml · nonDerivative · entry 1 OWENS JAMES W · CIK 0001171767 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,595 F1 · balance_after: This amount includes 13,979 shares in 401K and 2,198 shares in SEIP. Read SEC document |
| November 12, 2003 Filed Jan 15, 2004 14:37 UTC |
GOSSELIN STEPHEN AVice President
|
GiftCommon | 50 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000032 · edgar.xml · nonDerivative · entry 1 GOSSELIN STEPHEN A · CIK 0001172564 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,007 F1 · balance_after: This amount includes 2929 shares in 401K and 217 shares in SEIP. Read SEC document |
| November 11, 2003 Filed Nov 13, 2003 19:41 UTC |
SPRINGER WILLIAM FVice President
|
GiftCommon | 50 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-03-000492 · edgar.xml · nonDerivative · entry 4 SPRINGER WILLIAM F · CIK 0001172566 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,083 F1 · balance_after: This amount includes 9747 shares in 401K. Read SEC document |
| November 10, 2003 Filed Nov 13, 2003 19:41 UTC |
SPRINGER WILLIAM FVice President
|
GiftCommon | 25 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-03-000492 · edgar.xml · nonDerivative · entry 3 SPRINGER WILLIAM F · CIK 0001172566 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,133 Read SEC document |
| November 06, 2003 Filed Nov 13, 2003 19:41 UTC |
SPRINGER WILLIAM FVice President
|
GiftCommon | 20 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-03-000492 · edgar.xml · nonDerivative · entry 2 SPRINGER WILLIAM F · CIK 0001172566 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,158 Read SEC document |
| November 05, 2003 Filed Nov 13, 2003 19:41 UTC |
SPRINGER WILLIAM FVice President
|
GiftCommon | 150 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-03-000492 · edgar.xml · nonDerivative · entry 1 SPRINGER WILLIAM F · CIK 0001172566 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,178 Read SEC document |
| November 03, 2003 Filed Nov 4, 2003 14:39 UTC |
BENSON RICHARD AVice President
|
GiftCommon | 1,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-03-000490 · edgar.xml · nonDerivative · entry 1 BENSON RICHARD A · CIK 0001171769 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,489 F1 · balance_after: This amount includes 18,470 shares in 401K. Read SEC document |
| October 31, 2003 Filed Nov 3, 2003 16:11 UTC |
GALLARDO JUANDirector
|
GrantCommon | 80 | $73.78 | $5,902.40 |
DisclosureSEC source: 0000018230-03-000481 · edgar.xml · nonDerivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,651 F1 · kind: Stock received in lieu of director's fees F2 · balance_after: Included in this amount are 10 shares in dividend reinvestment. Read SEC document |
| October 31, 2003 Filed Nov 3, 2003 16:13 UTC |
POWELL CHARLES DDirector
|
GrantCommon | 28 | $73.78 | $2,065.84 |
DisclosureSEC source: 0000018230-03-000482 · edgar.xml · nonDerivative · entry 1 POWELL CHARLES D · CIK 0001172570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,695 F1 · kind: Stock received in lieu of director's fees. F2 · balance_after: Included in this amount are 32 shares in dividend reinvestment. Read SEC document |
| October 31, 2003 Filed Nov 3, 2003 16:14 UTC |
GOODE DAVID RDirector
|
GrantPhantom Stock Units · Derivative | 132 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-03-000483 · edgar.xml · derivative · entry 2 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 132 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 October 2003 at a price between $73.78 and $75.105 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 October 2003 at a price between $73.78 and $75.105 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 October 2003 at a price between $73.78 and $75.105 per share. Read SEC document |
| October 31, 2003 Filed Nov 3, 2003 16:16 UTC |
MAGOWAN PETER ADirector
|
GrantPhantom Stock Units · Derivative | 113 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-03-000484 · edgar.xml · derivative · entry 3 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 113 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 October 2003 at a price between $73.78 and $75.105 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 October 2003 at a price between $73.78 and $75.105 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 October 2003 at a price between $73.78 and $75.105 per share. Read SEC document |
| October 31, 2003 Filed Nov 4, 2003 14:36 UTC |
PARKER JAMES JVice President
|
GrantPhantom Stock Units · Derivative | 26 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-03-000488 · 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 · 26 shares Expires 1988-08-08 F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · 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. F2 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or other termination of service. Read SEC document |
| October 31, 2003 Filed Nov 4, 2003 14:38 UTC |
WUNNING STEVEN HVice President
|
GrantPhantom Stock Units · Derivative | 24 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-03-000489 · edgar.xml · derivative · entry 3 WUNNING STEVEN H · CIK 0001171788 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 24 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 |
| October 28, 2003 Filed Oct 28, 2003 16:24 UTC |
WESTERN DONALD GVice President
|
GiftCommon | 751 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-03-000476 · edgar.xml · nonDerivative · entry 1 WESTERN DONALD G · CIK 0001171772 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,301 F1 · balance_after: This amount includes 12,324 shares in 401K and 3295 shares in SEIP. Read SEC document |
| October 15, 2003 Filed Oct 16, 2003 17:59 UTC |
BENSON RICHARD AVice President
|
Exercise / conversionEmployee Stock Option · Derivative | 17,962 | $0.00 Strike: $32.91 | $0.00 |
DisclosureSEC source: 0000018230-03-000474 · 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 · 17,962 shares Expires 2006-06-11 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: (Right to Buy) with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| October 15, 2003 Filed Oct 16, 2003 17:59 UTC |
BENSON RICHARD AVice President
|
Tax withholdingCommon | 10,635 | $78.01 | $829,583.18 |
DisclosureSEC source: 0000018230-03-000474 · edgar.xml · nonDerivative · entry 2 BENSON RICHARD A · CIK 0001171769 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,489 F1 · balance_after: This amount includes 18,470 shares in 401K. Read SEC document |
| October 15, 2003 Filed Oct 16, 2003 17:59 UTC |
BENSON RICHARD AVice President
|
Exercise / conversionCommon | 17,962 | $32.91 | $591,061.16 |
DisclosureSEC source: 0000018230-03-000474 · edgar.xml · nonDerivative · entry 1 BENSON RICHARD A · CIK 0001171769 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,124 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| October 07, 2003 Filed Oct 8, 2003 14:14 UTC |
BEARD JAMES SVice President
|
GiftCommon | 600 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-03-000464 · edgar.xml · nonDerivative · entry 1 BEARD JAMES S · CIK 0001171764 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,094 F1 · balance_after: This amount includes 22,140 shares in 401K, 2515 shares in SEIP and 84 shares in dividend reinvestment. Read SEC document |
| September 30, 2003 Filed Oct 1, 2003 19:49 UTC |
POWELL CHARLES DDirector
|
GrantCommon | 20 | $68.70 | $1,373.90 |
DisclosureSEC source: 0000018230-03-000447 · edgar.xml · nonDerivative · entry 1 POWELL CHARLES D · CIK 0001172570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,667 F1 · kind: Stock received in lieu of director's fees. F2 · balance_after: Included in this amount are 32 shares in dividend reinvestment. Read SEC document |
| September 30, 2003 Filed Oct 1, 2003 20:14 UTC |
GALLARDO JUANDirector
|
GrantCommon | 55 | $68.70 | $3,778.23 |
DisclosureSEC source: 0000018230-03-000450 · edgar.xml · nonDerivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,571 F1 · price: Stock received in lieu of director's fees Read SEC document |
| September 30, 2003 Filed Oct 1, 2003 20:32 UTC |
MAGOWAN PETER ADirector
|
GrantPhantom Stock Units · Derivative | 116 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-03-000452 · edgar.xml · derivative · entry 3 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 116 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 September 2003 at a price of $68.695 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 September 2003 at a price of $68.695 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 September 2003 at a price of $68.695 per share. Read SEC document |
| September 30, 2003 Filed Oct 1, 2003 20:48 UTC |
GOODE DAVID RDirector
|
GrantPhantom Stock Units · Derivative | 170 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-03-000454 · edgar.xml · derivative · entry 2 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 170 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 September 2003 at a price of $68.695 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 September 2003 at a price of $68.695 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 September 2003 at a price of $68.695 per share. Read SEC document |
| September 30, 2003 Filed Oct 6, 2003 13:41 UTC Amendment |
MAGOWAN PETER ADirector
|
GrantPhantom Stock Units · Derivative | 78 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-03-000459 · edgar.xml · derivative · entry 3 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 78 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 September 2003 at a price of $68.695 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 September 2003 at a price of $68.695 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 September 2003 at a price of $68.695 per share. Read SEC document |
| September 30, 2003 Filed Oct 6, 2003 13:44 UTC Amendment |
GOODE DAVID RDirector
|
GrantPhantom Stock Units · Derivative | 84 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-03-000460 · edgar.xml · derivative · entry 2 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 84 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 September 2003 at a price of $68.695 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 September 2003 at a price of $68.695 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 September 2003 at a price of $68.695 per share. Read SEC document |
| September 30, 2003 Filed Oct 6, 2003 13:46 UTC |
PARKER JAMES JVice President
|
GrantPhantom Stock Units · Derivative | 28 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-03-000461 · 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 F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · 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. F2 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or other termination of service. Read SEC document |
| September 30, 2003 Filed Oct 6, 2003 13:55 UTC |
WUNNING STEVEN HVice President
|
GrantPhantom Stock Units · Derivative | 25 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-03-000462 · edgar.xml · derivative · entry 3 WUNNING STEVEN H · CIK 0001171788 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 25 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 |
| September 18, 2003 Filed Sep 19, 2003 15:23 UTC |
OBERHELMAN DOUGLAS RGroup President
|
Exercise / conversionEmployee Stock Option · Derivative | 484 | $0.00 Strike: $32.91 | $0.00 |
DisclosureSEC source: 0000018230-03-000445 · edgar.xml · derivative · entry 3 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 484 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 |
| September 18, 2003 Filed Sep 19, 2003 15:23 UTC |
OBERHELMAN DOUGLAS RGroup President
|
Tax withholdingCommon | 224 | $70.87 | $15,873.76 |
DisclosureSEC source: 0000018230-03-000445 · edgar.xml · nonDerivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,442 F1 · balance_after: This amount includes 9894 shares in 401K, 2855 shares in SEIP and 380 shares in dividend reinvestment. Read SEC document |
| September 18, 2003 Filed Sep 19, 2003 15:23 UTC |
OBERHELMAN DOUGLAS RGroup President
|
Exercise / conversionCommon | 484 | $32.91 | $15,926.60 |
DisclosureSEC source: 0000018230-03-000445 · edgar.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,666 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| September 15, 2003 Filed Jan 14, 2004 14:33 UTC Amendment |
MCPHEETERS F LYNNV.P./Chief Financial Officer
|
GiftCommon | 1,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000030 · edgar.xml · nonDerivative · entry 2 MCPHEETERS F LYNN · CIK 0001171766 · V.P./Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · Owned by Wife Disclosed balance after: 8,066 F2 · balance_after: This amount includes 835 shares in dividend reinvestment. F3 · ownership.nature: Reporting person disclaims beneficial ownership. Read SEC document |
| September 15, 2003 Filed Jan 14, 2004 14:33 UTC Amendment |
MCPHEETERS F LYNNV.P./Chief Financial Officer
|
GiftCommon | 1,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000030 · 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: 40,273 F1 · balance_after: This amount includes 7601 shares in 401K, 616 shares in SEIP and 1380 shares in dividend reinvestment. Read SEC document |
| September 08, 2003 Filed Sep 9, 2003 13:44 UTC |
BARTON GLEN ADirector · Chairman of the Board/CEO
|
GiftCommon | 100 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-03-000443 · edgar.xml · nonDerivative · entry 1 BARTON GLEN A · CIK 0001145439 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 130,443 F1 · balance_after: This amount includes 6679 shares in EIP-1, 4083 shares in SEIP and 6546 shares in dividend reinvestment. Read SEC document |
| August 29, 2003 Filed Sep 2, 2003 14:45 UTC |
POWELL CHARLES DDirector
|
GrantCommon | 26 | $71.52 | $1,859.39 |
DisclosureSEC source: 0000018230-03-000430 · edgar.xml · nonDerivative · entry 1 POWELL CHARLES D · CIK 0001172570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,647 F1 · kind: Stock received in lieu of director's fees. F2 · balance_after: Included in this amount are 32 shares in dividend reinvestment. Read SEC document |
| August 29, 2003 Filed Sep 2, 2003 14:50 UTC |
GOODE DAVID RDirector
|
GrantPhantom Stock Units · Derivative | 170 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-03-000432 · edgar.xml · derivative · entry 2 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 170 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 August 2003 at a price between $69.23 and $72.115 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 August 2003 at a price between $69.23 and $72.115 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 August 2003 at a price between $69.23 and $72.115 per share. Read SEC document |
| August 29, 2003 Filed Sep 2, 2003 14:48 UTC |
GALLARDO JUANDirector
|
OtherCommon | 23 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-03-000431 · edgar.xml · nonDerivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,516 F3 · kind: Shares issued from dividend reinvestment. F2 · balance_after: Included in this amount are 10 shares in dividend reinvestment. Read SEC document |
| August 29, 2003 Filed Sep 2, 2003 14:48 UTC |
GALLARDO JUANDirector
|
GrantCommon | 63 | $71.52 | $4,505.45 |
DisclosureSEC source: 0000018230-03-000431 · edgar.xml · nonDerivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,496 F1 · kind: Stock received in lieu of director's fees. Read SEC document |
| August 29, 2003 Filed Sep 2, 2003 14:56 UTC |
MAGOWAN PETER ADirector
|
GrantPhantom Stock Units · Derivative | 116 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-03-000433 · edgar.xml · derivative · entry 3 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 116 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 August 2003 at a price between $69.23 and $72.115 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 August 2003 at a price between $69.23 and $72.115 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 August 2003 at a price between $69.23 and $72.115 per share. Read SEC document |
| August 29, 2003 Filed Sep 2, 2003 18:17 UTC |
BAUNTON MICHAEL JVice President
|
Exercise / conversionEmployee Stock Option · Derivative | 24,000 | $0.00 Strike: $38.41 | $0.00 |
DisclosureSEC source: 0000018230-03-000435 · edgar.xml · derivative · entry 3 BAUNTON MICHAEL J · CIK 0001171805 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 24,000 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 |
| August 29, 2003 Filed Sep 2, 2003 18:17 UTC |
BAUNTON MICHAEL JVice President
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Tax withholdingCommon | 17,443 | $71.52 | $1,247,436.15 |
DisclosureSEC source: 0000018230-03-000435 · edgar.xml · nonDerivative · entry 2 BAUNTON MICHAEL J · CIK 0001171805 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,359 F1 · balance_after: This amount includes 3977 shares in EIP and 1568 shares in dividend reinvestment. Read SEC document |
| August 29, 2003 Filed Sep 2, 2003 18:17 UTC |
BAUNTON MICHAEL JVice President
|
Exercise / conversionCommon | 24,000 | $38.41 | $921,751.20 |
DisclosureSEC source: 0000018230-03-000435 · edgar.xml · nonDerivative · entry 1 BAUNTON MICHAEL J · CIK 0001171805 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,802 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 |
| August 29, 2003 Filed Sep 3, 2003 19:13 UTC |
WUNNING STEVEN HVice President
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GrantPhantom Stock Units · Derivative | 24 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-03-000438 · edgar.xml · derivative · entry 3 WUNNING STEVEN H · CIK 0001171788 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 24 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 |
| August 29, 2003 Filed Sep 3, 2003 19:16 UTC |
PARKER JAMES JVice President
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GrantPhantom Stock Units · Derivative | 27 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-03-000439 · 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 F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · 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. F2 · 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 28, 2003 Filed Aug 28, 2003 17:56 UTC |
OWENS JAMES WGroup President
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OtherCommon | 17,569 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-03-000425 · edgar.xml · nonDerivative · entry 2 OWENS JAMES W · CIK 0001171767 · Group President 10b5-1 filing: Not disclosed Ownership: Indirect · Held in Revocable Trust Disclosed balance after: 58,503 F2 · kind: Conversion of ownership from direct to joint revocable trust. Read SEC document |
| August 28, 2003 Filed Aug 28, 2003 17:56 UTC |
OWENS JAMES WGroup President
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OtherCommon | 17,569 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-03-000425 · edgar.xml · nonDerivative · entry 1 OWENS JAMES W · CIK 0001171767 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,595 F2 · kind: Conversion of ownership from direct to joint revocable trust. F1 · balance_after: This amount includes 13,979 shares in 401K and 2,198 shares in SEIP. Read SEC document |
| August 21, 2003 Filed Aug 25, 2003 19:46 UTC |
MCPHEETERS F LYNNV.P./Chief Financial Officer
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GiftCommon | 1,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-03-000423 · edgar.xml · nonDerivative · entry 2 MCPHEETERS F LYNN · CIK 0001171766 · V.P./Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · Owned by Wife Disclosed balance after: 6,951 F2 · balance_after: This amount includes 720 shares in dividend reinvestment. Read SEC document |
| August 21, 2003 Filed Aug 25, 2003 19:46 UTC |
MCPHEETERS F LYNNV.P./Chief Financial Officer
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GiftCommon | 1,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-03-000423 · 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: 40,454 F1 · balance_after: This amount includes 7585 shares in 401K, 614 shares in SEIP and 1244 shares in dividend reinvestment. Read SEC document |
| August 19, 2003 Filed Aug 20, 2003 14:49 UTC |
BEARD JAMES SVice President
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Exercise / conversionEmployee Stock Option · Derivative | 6,664 | $0.00 Strike: $26.77 | $0.00 |
DisclosureSEC source: 0000018230-03-000418 · edgar.xml · derivative · entry 2 BEARD JAMES S · CIK 0001171764 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 6,664 shares Expires 2004-06-07 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 |
| August 19, 2003 Filed Aug 20, 2003 14:49 UTC |
BEARD JAMES SVice President
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Exercise / conversionCommon | 6,664 | $26.77 | $178,365.96 |
DisclosureSEC source: 0000018230-03-000418 · edgar.xml · nonDerivative · entry 1 BEARD JAMES S · CIK 0001171764 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,694 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 22,140 shares in 401K, 2515 shares in SEIP and 84 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.