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 04, 2013 Filed Mar 7, 2013 00:46 UTC |
Halverson Bradley MGroup President & CFO
|
Tax withholdingCommon Stock | 216 | $91.05 | $19,665.72 |
DisclosureSEC source: 0000018230-13-000149 · edgar.xml · nonDerivative · entry 2 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,206 Read SEC document |
| March 04, 2013 Filed Mar 7, 2013 00:47 UTC |
RAPP EDWARD JGroup President
|
Tax withholdingCommon Stock | 1,530 | $91.05 | $139,298.85 |
DisclosureSEC source: 0000018230-13-000151 · edgar.xml · nonDerivative · entry 2 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,441 Read SEC document |
| March 04, 2013 Filed Mar 7, 2013 00:49 UTC |
Copeland Jananne A.Controller/Chief Acctg Officer
|
Tax withholdingCommon Stock | 170 | $91.05 | $15,477.65 |
DisclosureSEC source: 0000018230-13-000153 · edgar.xml · nonDerivative · entry 2 Copeland Jananne A. · CIK 0001415606 · Controller/Chief Acctg Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,024 Read SEC document |
| March 04, 2013 Filed Mar 7, 2013 00:51 UTC |
LEVENICK STUART LGroup President
|
Tax withholdingCommon Stock | 1,530 | $91.05 | $139,298.85 |
DisclosureSEC source: 0000018230-13-000155 · edgar.xml · nonDerivative · entry 2 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 143,555 Read SEC document |
| March 04, 2013 Filed Mar 7, 2013 00:52 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
Tax withholdingCommon Stock | 4,353 | $91.05 | $396,318.89 |
DisclosureSEC source: 0000018230-13-000157 · 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: 182,487 Read SEC document |
| March 04, 2013 Filed Mar 7, 2013 00:55 UTC |
WUNNING STEVEN HGroup President
|
Tax withholdingCommon Stock | 1,530 | $91.05 | $139,298.85 |
DisclosureSEC source: 0000018230-13-000161 · edgar.xml · nonDerivative · entry 2 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 84,113 Read SEC document |
| March 01, 2013 Filed Mar 7, 2013 00:43 UTC |
Umpleby III Donald JGroup President
|
Exercise / conversionRestricted Stock Units · Derivative | 490 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-13-000145 · edgar.xml · derivative · entry 3 Umpleby III Donald J · CIK 0001566320 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 490 shares Expires 2013-03-01 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 · derivative.exercise_price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 1, 2013, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar Inc. common stock. F1 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 1, 2013, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar Inc. common stock. Read SEC document |
| March 01, 2013 Filed Mar 7, 2013 00:43 UTC |
Umpleby III Donald JGroup President
|
Exercise / conversionCommon Stock | 490 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-13-000145 · edgar.xml · nonDerivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,808 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 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 1, 2013, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar Inc. common stock. Read SEC document |
| March 01, 2013 Filed Mar 7, 2013 00:44 UTC |
BUDA JAMES BExecutive Vice President
|
Exercise / conversionRestricted Stock Units · Derivative | 3,261 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-13-000147 · edgar.xml · derivative · entry 3 BUDA JAMES B · CIK 0001171771 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,261 shares Expires 2013-03-01 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 · derivative.exercise_price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 1, 2013, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar Inc. common stock. F1 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 1, 2013, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar Inc. common stock. Read SEC document |
| March 01, 2013 Filed Mar 7, 2013 00:44 UTC |
BUDA JAMES BExecutive Vice President
|
Exercise / conversionCommon Stock | 3,261 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-13-000147 · edgar.xml · nonDerivative · entry 1 BUDA JAMES B · CIK 0001171771 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,548 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 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 1, 2013, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar Inc. common stock. Read SEC document |
| March 01, 2013 Filed Mar 7, 2013 00:46 UTC |
Halverson Bradley MGroup President & CFO
|
Exercise / conversionRestricted Stock Units · Derivative | 458 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-13-000149 · edgar.xml · derivative · entry 3 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 458 shares Expires 2013-03-01 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 · derivative.exercise_price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 1, 2013, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar Inc. common stock. F1 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 1, 2013, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar Inc. common stock. Read SEC document |
| March 01, 2013 Filed Mar 7, 2013 00:46 UTC |
Halverson Bradley MGroup President & CFO
|
Exercise / conversionCommon Stock | 458 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-13-000149 · edgar.xml · nonDerivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,422 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 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 1, 2013, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar Inc. common stock. Read SEC document |
| March 01, 2013 Filed Mar 7, 2013 00:47 UTC |
RAPP EDWARD JGroup President
|
Exercise / conversionRestricted Stock Units · Derivative | 3,257 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-13-000151 · edgar.xml · derivative · entry 3 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,257 shares Expires 2013-03-01 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 · derivative.exercise_price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 1, 2013, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar Inc. common stock. F1 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 1, 2013, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar Inc. common stock. Read SEC document |
| March 01, 2013 Filed Mar 7, 2013 00:47 UTC |
RAPP EDWARD JGroup President
|
Exercise / conversionCommon Stock | 3,257 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-13-000151 · edgar.xml · nonDerivative · entry 1 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,971 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 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 1, 2013, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar Inc. common stock. F2 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| March 01, 2013 Filed Mar 7, 2013 00:49 UTC |
Copeland Jananne A.Controller/Chief Acctg Officer
|
Exercise / conversionRestricted Stock Units · Derivative | 523 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-13-000153 · edgar.xml · derivative · entry 3 Copeland Jananne A. · CIK 0001415606 · Controller/Chief Acctg Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 523 shares Expires 2013-03-01 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 · derivative.exercise_price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 1, 2013, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar Inc. common stock. F1 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 1, 2013, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar Inc. common stock. Read SEC document |
| March 01, 2013 Filed Mar 7, 2013 00:49 UTC |
Copeland Jananne A.Controller/Chief Acctg Officer
|
Exercise / conversionCommon Stock | 523 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-13-000153 · edgar.xml · nonDerivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Controller/Chief Acctg Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,194 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 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 1, 2013, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar Inc. common stock. F2 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| March 01, 2013 Filed Mar 7, 2013 00:51 UTC |
LEVENICK STUART LGroup President
|
Exercise / conversionRestricted Stock Units · Derivative | 3,257 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-13-000155 · edgar.xml · derivative · entry 3 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,257 shares Expires 2013-03-01 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 · derivative.exercise_price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 1, 2013, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar Inc. common stock. F1 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 1, 2013, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar Inc. common stock. Read SEC document |
| March 01, 2013 Filed Mar 7, 2013 00:51 UTC |
LEVENICK STUART LGroup President
|
Exercise / conversionCommon Stock | 3,257 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-13-000155 · edgar.xml · nonDerivative · entry 1 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 145,085 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 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 1, 2013, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar Inc. common stock. Read SEC document |
| March 01, 2013 Filed Mar 7, 2013 00:52 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
Exercise / conversionRestricted Stock Units · Derivative | 9,271 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-13-000157 · 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: 0 Underlying: Common Stock · 9,271 shares Expires 2013-03-01 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 · derivative.exercise_price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 1, 2013, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar Inc. common stock. F1 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 1, 2013, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar Inc. common stock. Read SEC document |
| March 01, 2013 Filed Mar 7, 2013 00:52 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
Exercise / conversionCommon Stock | 9,271 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-13-000157 · 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: 186,840 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 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 1, 2013, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar Inc. common stock. F2 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| March 01, 2013 Filed Mar 7, 2013 00:53 UTC |
VITTECOQ GERARD RGroup President
|
Exercise / conversionRestricted Stock Units · Derivative | 3,257 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-13-000159 · edgar.xml · derivative · entry 2 VITTECOQ GERARD R · CIK 0001171778 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,257 shares Expires 2013-03-01 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 · derivative.exercise_price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 1, 2013, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar Inc. common stock. F1 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 1, 2013, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar Inc. common stock. Read SEC document |
| March 01, 2013 Filed Mar 7, 2013 00:53 UTC |
VITTECOQ GERARD RGroup President
|
Exercise / conversionCommon Stock | 3,257 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-13-000159 · edgar.xml · nonDerivative · entry 1 VITTECOQ GERARD R · CIK 0001171778 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 128,883 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 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 1, 2013, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar Inc. common stock. Read SEC document |
| March 01, 2013 Filed Mar 7, 2013 00:55 UTC |
WUNNING STEVEN HGroup President
|
Exercise / conversionRestricted Stock Units · Derivative | 3,257 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-13-000161 · 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 Stock · 3,257 shares Expires 2013-03-01 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 · derivative.exercise_price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 1, 2013, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar Inc. common stock. F1 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 1, 2013, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar Inc. common stock. Read SEC document |
| March 01, 2013 Filed Mar 7, 2013 00:55 UTC |
WUNNING STEVEN HGroup President
|
Exercise / conversionCommon Stock | 3,257 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-13-000161 · edgar.xml · nonDerivative · entry 1 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 85,643 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 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 1, 2013, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar Inc. common stock. F2 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| February 28, 2013 Filed Mar 4, 2013 20:01 UTC |
POWELL CHARLES DDirector
|
GrantCommon Stock | 34 | $92.70 | $3,151.63 |
DisclosureSEC source: 0000018230-13-000080 · edgar.xml · nonDerivative · entry 1 POWELL CHARLES D · CIK 0001172570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,355 F1 · kind: Stock received in lieu of director's fees. F2 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| February 28, 2013 Filed Mar 4, 2013 20:03 UTC |
MAGOWAN PETER ADirector
|
GrantPhantom Stock Units · Derivative | 135 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000082 · edgar.xml · derivative · entry 1 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,045 Underlying: Common Stock · 135 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. 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. Read SEC document |
| February 28, 2013 Filed Mar 4, 2013 20:05 UTC |
CALHOUN DAVID LDirector
|
GrantPhantom Stock Units · Derivative | 135 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000084 · edgar.xml · derivative · entry 1 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,887 Underlying: Common Stock · 135 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. 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. Read SEC document |
| February 28, 2013 Filed Mar 4, 2013 20:07 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 135 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000086 · edgar.xml · derivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,305 Underlying: Common Stock · 135 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. 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. Read SEC document |
| February 28, 2013 Filed Mar 4, 2013 20:09 UTC |
WHITE MILES DDirector
|
GrantPhantom Stock Units · Derivative | 67 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000088 · edgar.xml · derivative · entry 1 WHITE MILES D · CIK 0001239129 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 954 Underlying: Common Stock · 67 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. 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. Read SEC document |
| February 28, 2013 Filed Mar 4, 2013 20:11 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 148 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000090 · edgar.xml · derivative · entry 1 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,275 Underlying: Common Stock · 148 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. 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. Read SEC document |
| February 28, 2013 Filed Mar 4, 2013 20:12 UTC |
SCHWAB SUSAN CDirector
|
GrantPhantom Stock Units · Derivative | 135 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000092 · edgar.xml · derivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,909 Underlying: Common Stock · 135 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. 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. Read SEC document |
| February 28, 2013 Filed Mar 4, 2013 20:14 UTC |
DICKINSON DANIEL MDirector
|
GrantPhantom Stock Units · Derivative | 135 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000094 · edgar.xml · derivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,182 Underlying: Common Stock · 135 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. 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. Read SEC document |
| February 28, 2013 Filed Mar 4, 2013 20:15 UTC |
GOODE DAVID RDirector
|
GrantPhantom Stock Units · Derivative | 153 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000096 · edgar.xml · derivative · entry 1 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,760 Underlying: Common Stock · 153 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. 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. Read SEC document |
| February 05, 2013 Filed Feb 7, 2013 20:45 UTC |
Halverson Bradley MGroup President/CFO
|
Exercise / conversionEmployee Stock Option · Derivative | 10,000 | $0.00 Strike: $45.64 | $0.00 |
DisclosureSEC source: 0000018230-13-000068 · edgar.xml · derivative · entry 3 Halverson Bradley M · CIK 0001307061 · Group President/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,000 Underlying: Common Stock · 10,000 shares Expires 2005-02-18 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 05, 2013 Filed Feb 7, 2013 20:45 UTC |
Halverson Bradley MGroup President/CFO
|
SaleCommon Stock | 10,000 | $98.90 | $988,964.00 |
DisclosureSEC source: 0000018230-13-000068 · edgar.xml · nonDerivative · entry 2 Halverson Bradley M · CIK 0001307061 · Group President/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,964 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $98.89 to $98.92, inclusive. Read SEC document |
| February 05, 2013 Filed Feb 7, 2013 20:45 UTC |
Halverson Bradley MGroup President/CFO
|
Exercise / conversionCommon Stock | 10,000 | $45.64 | $456,425.00 |
DisclosureSEC source: 0000018230-13-000068 · edgar.xml · nonDerivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,964 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 31, 2013 Filed Feb 4, 2013 20:08 UTC |
WHITE MILES DDirector
|
GrantPhantom Stock Units · Derivative | 64 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000046 · edgar.xml · derivative · entry 2 WHITE MILES D · CIK 0001239129 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 887 Underlying: Common Stock · 64 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. 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. Read SEC document |
| January 31, 2013 Filed Feb 4, 2013 20:10 UTC |
SCHWAB SUSAN CDirector
|
GrantPhantom Stock Units · Derivative | 127 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000048 · edgar.xml · derivative · entry 2 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,774 Underlying: Common Stock · 127 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. 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. Read SEC document |
| January 31, 2013 Filed Feb 4, 2013 20:19 UTC |
CALHOUN DAVID LDirector
|
GrantPhantom Stock Units · Derivative | 127 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000050 · edgar.xml · derivative · entry 2 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,752 Underlying: Common Stock · 127 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. 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. Read SEC document |
| January 31, 2013 Filed Feb 4, 2013 20:21 UTC |
DICKINSON DANIEL MDirector
|
GrantPhantom Stock Units · Derivative | 127 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000052 · edgar.xml · derivative · entry 2 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,047 Underlying: Common Stock · 127 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. 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. Read SEC document |
| January 31, 2013 Filed Feb 4, 2013 20:23 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 140 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000054 · edgar.xml · derivative · entry 2 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,127 Underlying: Common Stock · 140 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. 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. Read SEC document |
| January 31, 2013 Filed Feb 4, 2013 20:43 UTC |
POWELL CHARLES DDirector
|
GrantCommon Stock | 31 | $98.31 | $3,047.46 |
DisclosureSEC source: 0000018230-13-000056 · edgar.xml · nonDerivative · entry 1 POWELL CHARLES D · CIK 0001172570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,234 F1 · kind: Stock received in lieu of director's fees. Read SEC document |
| January 31, 2013 Filed Feb 4, 2013 20:45 UTC |
MAGOWAN PETER ADirector
|
GrantPhantom Stock Units · Derivative | 127 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000058 · edgar.xml · derivative · entry 2 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,910 Underlying: Common Stock · 127 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. 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. Read SEC document |
| January 31, 2013 Filed Feb 4, 2013 20:47 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 127 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000060 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,170 Underlying: Common Stock · 127 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. 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. Read SEC document |
| January 31, 2013 Filed Feb 4, 2013 20:52 UTC |
GOODE DAVID RDirector
|
GrantPhantom Stock Units · Derivative | 144 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000062 · edgar.xml · derivative · entry 1 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,607 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: 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. 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. Read SEC document |
| January 31, 2013 Filed Feb 4, 2013 21:49 UTC |
BUDA JAMES BExecutive Vice President
|
Exercise / conversionEmployee Stock Option · Derivative | 70,000 | $0.00 Strike: $45.64 | $0.00 |
DisclosureSEC source: 0000018230-13-000064 · edgar.xml · derivative · entry 4 BUDA JAMES B · CIK 0001171771 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 70,000 shares Expires 2015-02-18 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 31, 2013 Filed Feb 4, 2013 21:49 UTC |
BUDA JAMES BExecutive Vice President
|
SaleCommon Stock | 7,361 | $99.25 | $730,609.43 |
DisclosureSEC source: 0000018230-13-000064 · edgar.xml · nonDerivative · entry 3 BUDA JAMES B · CIK 0001171771 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,287 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $99.25 to $99.26, inclusive. F1 · balance_after: Includes shares acquired under Tax-Conditioned Plan. Read SEC document |
| January 31, 2013 Filed Feb 4, 2013 21:49 UTC |
BUDA JAMES BExecutive Vice President
|
SaleCommon Stock | 70,000 | $98.21 | $6,874,700.00 |
DisclosureSEC source: 0000018230-13-000064 · edgar.xml · nonDerivative · entry 2 BUDA JAMES B · CIK 0001171771 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,646 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $98.11 to $98.33, inclusive. F1 · balance_after: Includes shares acquired under Tax-Conditioned Plan. Read SEC document |
| January 31, 2013 Filed Feb 4, 2013 21:49 UTC |
BUDA JAMES BExecutive Vice President
|
Exercise / conversionCommon Stock | 70,000 | $45.64 | $3,194,975.00 |
DisclosureSEC source: 0000018230-13-000064 · edgar.xml · nonDerivative · entry 1 BUDA JAMES B · CIK 0001171771 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 121,646 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: Includes shares acquired under Tax-Conditioned Plan. Read SEC document |
| January 07, 2013 Filed Jan 9, 2013 20:14 UTC |
Copeland Jananne A.Controller/Chief Acctg Officer
|
Exercise / conversionEmployee Stock Option · Derivative | 3,700 | $0.00 Strike: $38.63 | $0.00 |
DisclosureSEC source: 0000018230-13-000030 · edgar.xml · derivative · entry 3 Copeland Jananne A. · CIK 0001415606 · Controller/Chief Acctg Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,720 Underlying: Common Stock · 3,700 shares Expires 2014-06-08 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 · derivative.exercise_date: Exercisable in thirds beginning 1 year after the initial grant date of June 8, 2004. (1/3 after one year; 1/3 after two years; 1/3 after 3 years). 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.