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 |
|---|---|---|---|---|---|---|
| October 31, 2013 Filed Nov 4, 2013 16:05 UTC |
SCHWAB SUSAN CDirector
|
GrantPhantom Stock Units · Derivative | 149 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000455 · edgar.xml · derivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,127 Underlying: Common Stock · 149 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| October 31, 2013 Filed Nov 4, 2013 16:26 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 164 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000457 · edgar.xml · derivative · entry 1 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,866 Underlying: Common Stock · 164 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| October 31, 2013 Filed Nov 4, 2013 16:30 UTC |
WHITE MILES DDirector
|
GrantPhantom Stock Units · Derivative | 75 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000459 · edgar.xml · derivative · entry 1 WHITE MILES D · CIK 0001239129 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,565 Underlying: Common Stock · 75 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| October 31, 2013 Filed Nov 4, 2013 16:32 UTC |
POWELL CHARLES DDirector
|
GrantCommon Stock | 37 | $83.82 | $3,101.34 |
DisclosureSEC source: 0000018230-13-000461 · edgar.xml · nonDerivative · entry 1 POWELL CHARLES D · CIK 0001172570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,621 F1 · kind: Stock received in lieu of director's fees. Read SEC document |
| October 31, 2013 Filed Nov 4, 2013 18:17 UTC |
Bozeman David PSenior Vice President
|
GrantPhantom Stock Units · Derivative | 15 | $83.36 | $1,250.40 |
DisclosureSEC source: 0000018230-13-000463 · edgar.xml · derivative · entry 2 Bozeman David P · CIK 0001575959 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 817 Underlying: Common Stock · 15 shares Expires not disclosed F2 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F3 · shares: This total includes 8 phantom stock units which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $83.36 and 7 phantom stock units that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F4 · derivative.exercise_date: The phantom stock units are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · derivative.expiration_date: The phantom stock units are to be settled 100% in cash upon the reporting person's retirement or separation from service. F5 · balance_after: Includes phantom stock units acquired under Tax-Conditioned Plan. Read SEC document |
| October 31, 2013 Filed Nov 4, 2013 18:22 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
GrantPhantom Stock Units · Derivative | 144 | $83.36 | $12,003.84 |
DisclosureSEC source: 0000018230-13-000465 · edgar.xml · derivative · entry 3 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,743 Underlying: Common Stock · 144 shares Expires not disclosed F2 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F3 · shares: This total includes 96 phantom stock units which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $83.36 and 48 phantom stock units that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F4 · derivative.exercise_date: The phantom stock units are tol be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · derivative.expiration_date: The phantom stock units are tol be settled 100% in cash upon the reporting person's retirement or separation from service. F5 · balance_after: Includes phantom stock units acquired under Tax-Conditioned Plan. Read SEC document |
| October 31, 2013 Filed Nov 4, 2013 18:26 UTC |
BUDA JAMES BExecutive Vice President
|
GrantPhantom Stock Units · Derivative | 83 | $83.36 | $6,918.88 |
DisclosureSEC source: 0000018230-13-000467 · edgar.xml · derivative · entry 2 BUDA JAMES B · CIK 0001171771 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,296 Underlying: Common Stock · 83 shares Expires not disclosed F2 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F3 · shares: This total includes 55 phantom stock units which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $83.36 and 28 phantom stock units that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F4 · derivative.exercise_date: The phantom stock units are be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · derivative.expiration_date: The phantom stock units are be settled 100% in cash upon the reporting person's retirement or separation from service. F5 · balance_after: Includes phantom stock units acquired under Tax-Conditioned Plan. Read SEC document |
| October 31, 2013 Filed Nov 4, 2013 18:30 UTC |
Copeland Jananne A.Chief Accounting Officer
|
GrantPhantom Stock Units · Derivative | 29 | $83.36 | $2,417.44 |
DisclosureSEC source: 0000018230-13-000469 · edgar.xml · derivative · entry 2 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,881 Underlying: Common Stock · 29 shares Expires not disclosed F2 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F3 · shares: This total includes 19 phantom stock units which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $83.36 and 10 phantom stock units that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F4 · derivative.exercise_date: The phantom stock are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · derivative.expiration_date: The phantom stock are to be settled 100% in cash upon the reporting person's retirement or separation from service. F5 · balance_after: Includes phantom stock units acquired under Tax-Conditioned Plan. Read SEC document |
| October 31, 2013 Filed Nov 4, 2013 19:58 UTC |
Halverson Bradley MGroup President & CFO
|
GrantPhantom Stock Units · Derivative | 60 | $83.36 | $5,001.60 |
DisclosureSEC source: 0000018230-13-000471 · edgar.xml · derivative · entry 3 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,831 Underlying: Common Stock · 60 shares Expires not disclosed F2 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F3 · shares: This total includes 40 phantom stock units which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $83.36 and 20 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F4 · derivative.exercise_date: The phantom stock units are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · derivative.expiration_date: The phantom stock units are to be settled 100% in cash upon the reporting person's retirement or separation from service. F5 · balance_after: Includes phantom stock units acquired under Tax-Conditioned Plan. Read SEC document |
| October 21, 2013 Filed Nov 4, 2013 18:22 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
GiftCommon Stock | 20,223 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000465 · edgar.xml · nonDerivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 161,864 F1 · balance_after: Includes adjustments for dividends accrued and shares acquired under Caterpillar Inc.'s 401(k) plan. Read SEC document |
| October 10, 2013 Filed Oct 15, 2013 13:05 UTC |
LEVENICK STUART LGroup President
|
Exercise / conversionEmployee Stock Option · Derivative | 130,000 | $0.00 Strike: $45.64 | $0.00 |
DisclosureSEC source: 0000018230-13-000434 · edgar.xml · derivative · entry 4 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 130,000 shares Expires 2015-02-17 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 · security: Right to buy with tandem tax withholding rights. F2 · derivative.exercise_price: This option was previously reported as covering 65,000 shares at an exercise price of $91.285 per share, but was adjusted to reflect the stock split that occurred on June 22, 2005 F2 · shares: This option was previously reported as covering 65,000 shares at an exercise price of $91.285 per share, but was adjusted to reflect the stock split that occurred on June 22, 2005 F2 · derivative.underlying_shares: This option was previously reported as covering 65,000 shares at an exercise price of $91.285 per share, but was adjusted to reflect the stock split that occurred on June 22, 2005 Read SEC document |
| October 10, 2013 Filed Oct 15, 2013 13:05 UTC |
LEVENICK STUART LGroup President
|
Tax withholdingCommon Stock | 98,282 | $84.51 | $8,305,811.82 |
DisclosureSEC source: 0000018230-13-000434 · edgar.xml · nonDerivative · entry 3 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 173,773 Read SEC document |
| October 10, 2013 Filed Oct 15, 2013 13:05 UTC |
LEVENICK STUART LGroup President
|
Exercise / conversionCommon Stock | 130,000 | $45.64 | $5,933,200.00 |
DisclosureSEC source: 0000018230-13-000434 · edgar.xml · nonDerivative · entry 2 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 272,055 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| September 30, 2013 Filed Oct 2, 2013 15:20 UTC |
DICKINSON DANIEL MDirector
|
GrantPhantom Stock Units · Derivative | 150 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000406 · edgar.xml · derivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,424 Underlying: Common Stock · 150 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| September 30, 2013 Filed Oct 2, 2013 15:17 UTC |
CALHOUN DAVID LDirector
|
GrantPhantom Stock Units · Derivative | 150 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000404 · edgar.xml · derivative · entry 1 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,969 Underlying: Common Stock · 150 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. 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 or separation from service. 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 or separation from service. Read SEC document |
| September 30, 2013 Filed Oct 2, 2013 15:22 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 150 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000408 · edgar.xml · derivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,562 Underlying: Common Stock · 150 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| September 30, 2013 Filed Oct 2, 2013 15:24 UTC |
GOODE DAVID RDirector
|
GrantPhantom Stock Units · Derivative | 170 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000410 · edgar.xml · derivative · entry 1 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,660 Underlying: Common Stock · 170 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| September 30, 2013 Filed Oct 2, 2013 15:27 UTC |
MAGOWAN PETER ADirector
|
GrantPhantom Stock Units · Derivative | 150 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000412 · edgar.xml · derivative · entry 1 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,456 Underlying: Common Stock · 150 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| September 30, 2013 Filed Oct 2, 2013 15:28 UTC |
SCHWAB SUSAN CDirector
|
GrantPhantom Stock Units · Derivative | 150 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000414 · edgar.xml · derivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,978 Underlying: Common Stock · 150 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| September 30, 2013 Filed Oct 2, 2013 15:30 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 165 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000416 · edgar.xml · derivative · entry 1 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,702 Underlying: Common Stock · 165 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| September 30, 2013 Filed Oct 2, 2013 15:33 UTC |
WHITE MILES DDirector
|
GrantPhantom Stock Units · Derivative | 75 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000418 · edgar.xml · derivative · entry 1 WHITE MILES D · CIK 0001239129 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,490 Underlying: Common Stock · 75 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| September 30, 2013 Filed Oct 2, 2013 15:36 UTC |
Copeland Jananne A.Chief Accounting Officer
|
GrantPhantom Stock Units · Derivative | 29 | $83.40 | $2,418.60 |
DisclosureSEC source: 0000018230-13-000420 · edgar.xml · derivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,831 Underlying: Common Stock · 29 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 19 phantom stock units which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $83.40 and 10 phantom stock units that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| September 30, 2013 Filed Oct 2, 2013 15:38 UTC |
BUDA JAMES BExecutive Vice President
|
GrantPhantom Stock Units · Derivative | 83 | $83.40 | $6,922.20 |
DisclosureSEC source: 0000018230-13-000422 · edgar.xml · derivative · entry 1 BUDA JAMES B · CIK 0001171771 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,959 Underlying: Common Stock · 83 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 55 phantom stock units which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $83.40 and 28 phantom stock units that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units are be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units are be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| September 30, 2013 Filed Oct 2, 2013 15:42 UTC |
Halverson Bradley MGroup President & CFO
|
GrantPhantom Stock Units · Derivative | 60 | $83.40 | $5,004.00 |
DisclosureSEC source: 0000018230-13-000424 · edgar.xml · derivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,649 Underlying: Common Stock · 60 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 40 phantom stock units which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $83.40 and 20 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| September 30, 2013 Filed Oct 2, 2013 15:44 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
GrantPhantom Stock Units · Derivative | 144 | $83.40 | $12,009.60 |
DisclosureSEC source: 0000018230-13-000426 · edgar.xml · derivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,992 Underlying: Common Stock · 144 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 96 phantom stock units which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $83.40 and 48 phantom stock units that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units are tol be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units are tol be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| September 30, 2013 Filed Oct 2, 2013 16:41 UTC |
POWELL CHARLES DDirector
|
GrantCommon Stock | 37 | $83.33 | $3,083.21 |
DisclosureSEC source: 0000018230-13-000430 · edgar.xml · nonDerivative · entry 1 POWELL CHARLES D · CIK 0001172570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,584 F1 · kind: Stock received in lieu of director's fees. Read SEC document |
| September 30, 2013 Filed Oct 2, 2013 15:45 UTC |
Bozeman David PSenior Vice President
|
GrantPhantom Stock Units · Derivative | 15 | $83.40 | $1,251.00 |
DisclosureSEC source: 0000018230-13-000428 · edgar.xml · derivative · entry 1 Bozeman David P · CIK 0001575959 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 783 Underlying: Common Stock · 15 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 8 phantom stock units which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $83.40 and 7 phantom stock units that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| September 20, 2013 Filed Oct 15, 2013 13:05 UTC |
LEVENICK STUART LGroup President
|
GiftCommon Stock | 1,500 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000434 · edgar.xml · nonDerivative · entry 1 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 142,055 Read SEC document |
| September 17, 2013 Filed Nov 4, 2013 19:58 UTC |
Halverson Bradley MGroup President & CFO
|
GiftCommon Stock | 150 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000471 · edgar.xml · nonDerivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,220 F1 · balance_after: Includes adjustments for dividends accrued and shares acquired under Caterpillar Inc.'s 401(k) plan. Read SEC document |
| September 11, 2013 Filed Nov 4, 2013 18:22 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
GiftCommon Stock | 1,848 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000465 · edgar.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 180,459 Read SEC document |
| August 30, 2013 Filed Sep 3, 2013 19:47 UTC |
BUDA JAMES BExecutive Vice President
|
GrantPhantom Stock Units · Derivative | 84 | $82.54 | $6,933.36 |
DisclosureSEC source: 0000018230-13-000368 · edgar.xml · derivative · entry 1 BUDA JAMES B · CIK 0001171771 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,876 Underlying: Common Stock · 84 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 56 phantom stock units which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $82.54 and 28 phantom stock units that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units are be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units are be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| August 30, 2013 Filed Sep 3, 2013 19:49 UTC |
Bozeman David PSenior Vice President
|
GrantPhantom Stock Units · Derivative | 16 | $82.54 | $1,320.64 |
DisclosureSEC source: 0000018230-13-000370 · edgar.xml · derivative · entry 1 Bozeman David P · CIK 0001575959 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 768 Underlying: Common Stock · 16 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 8 phantom stock units which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $82.54 and 8 phantom stock units that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| August 30, 2013 Filed Sep 3, 2013 19:51 UTC |
Copeland Jananne A.Chief Accounting Officer
|
GrantPhantom Stock Units · Derivative | 30 | $82.54 | $2,476.20 |
DisclosureSEC source: 0000018230-13-000374 · edgar.xml · derivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,802 Underlying: Common Stock · 30 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 20 phantom stock units which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $82.54 and 10 phantom stock units that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| August 30, 2013 Filed Sep 3, 2013 19:50 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
GrantPhantom Stock Units · Derivative | 145 | $82.54 | $11,968.30 |
DisclosureSEC source: 0000018230-13-000372 · edgar.xml · derivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,848 Underlying: Common Stock · 145 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 97 phantom stock units which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $82.54 and 48 phantom stock units that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units are tol be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units are tol be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| August 30, 2013 Filed Sep 3, 2013 19:53 UTC |
Halverson Bradley MGroup President & CFO
|
GrantPhantom Stock Units · Derivative | 60 | $82.54 | $4,952.40 |
DisclosureSEC source: 0000018230-13-000376 · edgar.xml · derivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,589 Underlying: Common Stock · 60 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 40 phantom stock units which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $82.54 and 20 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| August 30, 2013 Filed Sep 3, 2013 20:34 UTC |
SCHWAB SUSAN CDirector
|
GrantPhantom Stock Units · Derivative | 152 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000378 · edgar.xml · derivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,828 Underlying: Common Stock · 152 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| August 30, 2013 Filed Sep 3, 2013 20:35 UTC |
WHITE MILES DDirector
|
GrantPhantom Stock Units · Derivative | 76 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000380 · edgar.xml · derivative · entry 1 WHITE MILES D · CIK 0001239129 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,415 Underlying: Common Stock · 76 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| August 30, 2013 Filed Sep 3, 2013 20:36 UTC |
POWELL CHARLES DDirector
|
GrantCommon Stock | 37 | $82.48 | $3,051.76 |
DisclosureSEC source: 0000018230-13-000382 · edgar.xml · nonDerivative · entry 1 POWELL CHARLES D · CIK 0001172570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,547 F1 · kind: Stock received in lieu of director's fees. Read SEC document |
| August 30, 2013 Filed Sep 3, 2013 20:37 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 167 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000384 · edgar.xml · derivative · entry 1 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,537 Underlying: Common Stock · 167 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| August 30, 2013 Filed Sep 3, 2013 20:38 UTC |
MAGOWAN PETER ADirector
|
GrantPhantom Stock Units · Derivative | 152 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000386 · edgar.xml · derivative · entry 1 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,306 Underlying: Common Stock · 152 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| August 30, 2013 Filed Sep 3, 2013 20:39 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 152 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000388 · edgar.xml · derivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,412 Underlying: Common Stock · 152 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| August 30, 2013 Filed Sep 3, 2013 20:41 UTC |
CALHOUN DAVID LDirector
|
GrantPhantom Stock Units · Derivative | 152 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000390 · edgar.xml · derivative · entry 1 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,819 Underlying: Common Stock · 152 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. 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 or separation from service. 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 or separation from service. F4 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| August 30, 2013 Filed Sep 3, 2013 20:42 UTC |
DICKINSON DANIEL MDirector
|
GrantPhantom Stock Units · Derivative | 152 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000392 · edgar.xml · derivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,274 Underlying: Common Stock · 152 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| August 30, 2013 Filed Sep 3, 2013 20:43 UTC |
GOODE DAVID RDirector
|
GrantPhantom Stock Units · Derivative | 172 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000394 · edgar.xml · derivative · entry 1 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,490 Underlying: Common Stock · 172 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| July 31, 2013 Filed Aug 2, 2013 14:11 UTC |
Bozeman David PSenior Vice President
|
GrantPhantom Stock Units · Derivative | 16 | $82.06 | $1,312.96 |
DisclosureSEC source: 0000018230-13-000335 · edgar.xml · derivative · entry 1 Bozeman David P · CIK 0001575959 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 752 Underlying: Common Stock · 16 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 8 phantom stock units which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $82.06 and 8 phantom stock units that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| July 31, 2013 Filed Aug 2, 2013 14:18 UTC |
Halverson Bradley MGroup President & CFO
|
GrantPhantom Stock Units · Derivative | 60 | $82.06 | $4,923.60 |
DisclosureSEC source: 0000018230-13-000337 · edgar.xml · derivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,529 Underlying: Common Stock · 60 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 40 phantom stock units which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $82.06 and 20 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| July 31, 2013 Filed Aug 2, 2013 14:25 UTC |
Copeland Jananne A.Chief Accounting Officer
|
GrantPhantom Stock Units · Derivative | 30 | $82.06 | $2,461.80 |
DisclosureSEC source: 0000018230-13-000339 · edgar.xml · derivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,772 Underlying: Common Stock · 30 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 20 phantom stock units which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $82.06 and 10 phantom stock units that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| July 31, 2013 Filed Aug 2, 2013 14:40 UTC |
SCHWAB SUSAN CDirector
|
GrantPhantom Stock Units · Derivative | 150 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000341 · edgar.xml · derivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,658 Underlying: Common Stock · 150 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| July 31, 2013 Filed Aug 2, 2013 14:42 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 165 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000343 · edgar.xml · derivative · entry 1 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,212 Underlying: Common Stock · 165 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| July 31, 2013 Filed Aug 2, 2013 14:44 UTC |
MAGOWAN PETER ADirector
|
GrantPhantom Stock Units · Derivative | 150 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000345 · edgar.xml · derivative · entry 1 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,948 Underlying: Common Stock · 150 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. 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.