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 |
|---|---|---|---|---|---|---|
| January 07, 2013 Filed Jan 9, 2013 20:14 UTC |
Copeland Jananne A.Controller/Chief Acctg Officer
|
SaleCommon Stock | 3,700 | $95.00 | $351,500.00 |
DisclosureSEC source: 0000018230-13-000030 · edgar.xml · nonDerivative · entry 2 Copeland Jananne A. · CIK 0001415606 · Controller/Chief Acctg Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,630 F1 · kind: Pursuant to a previously enacted 10b5-1 plan. Read SEC document |
| January 07, 2013 Filed Jan 9, 2013 20:14 UTC |
Copeland Jananne A.Controller/Chief Acctg Officer
|
Exercise / conversionCommon Stock | 3,700 | $38.63 | $142,921.75 |
DisclosureSEC source: 0000018230-13-000030 · edgar.xml · nonDerivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Controller/Chief Acctg Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,330 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 03, 2013 Filed Jan 7, 2013 19:21 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
GrantPhantom Stock Units · Derivative | 138 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000022 · edgar.xml · derivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,387 Underlying: Common Stock · 138 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 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled 100% in cash upon the reporting person's retirement or separation from service. F2 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| January 03, 2013 Filed Jan 7, 2013 19:23 UTC |
BUDA JAMES BExecutive Vice President
|
GrantPhantom Stock Units · Derivative | 69 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000024 · edgar.xml · derivative · entry 2 BUDA JAMES B · CIK 0001171771 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,593 Underlying: Common Stock · 69 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 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled 100% in cash upon the reporting person's retirement or separation from service. F2 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| January 03, 2013 Filed Jan 7, 2013 19:26 UTC |
Copeland Jananne A.Controller/Chief Acctg Officer
|
GrantPhantom Stock Units · Derivative | 28 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000026 · edgar.xml · derivative · entry 2 Copeland Jananne A. · CIK 0001415606 · Controller/Chief Acctg Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,610 Underlying: Common Stock · 28 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 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled 100% in cash upon the reporting person's retirement or separation from service. F2 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| January 03, 2013 Filed Jan 7, 2013 20:08 UTC |
Halverson Bradley MVice President
|
GrantPhantom Stock Units · Derivative | 44 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000028 · edgar.xml · derivative · entry 1 Halverson Bradley M · CIK 0001307061 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,775 Underlying: Common · 44 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 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled 100% in cash upon the reporting person's retirement or separation from service. F2 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| December 31, 2012 Filed Jan 3, 2013 19:13 UTC |
DICKINSON DANIEL MDirector
|
GrantPhantom Stock Units · Derivative | 142 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000002 · edgar.xml · derivative · entry 2 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,920 Underlying: Common Stock · 142 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. F4 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| December 31, 2012 Filed Jan 3, 2013 19:17 UTC |
FIFE EUGENE VDirector
|
GrantCommon Stock | 156 | $88.24 | $13,765.44 |
DisclosureSEC source: 0000018230-13-000004 · edgar.xml · nonDerivative · entry 1 FIFE EUGENE V · CIK 0001029606 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,784 F1 · kind: Stock received in lieu of director's fees. Read SEC document |
| December 31, 2012 Filed Jan 3, 2013 19:22 UTC |
GOODE DAVID RDirector
|
GrantPhantom Stock Units · Derivative | 161 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000006 · edgar.xml · derivative · entry 3 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,463 Underlying: Common Stock · 161 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. F4 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| December 31, 2012 Filed Jan 3, 2013 19:26 UTC |
SCHWAB SUSAN CDirector
|
GrantPhantom Stock Units · Derivative | 142 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000008 · edgar.xml · derivative · entry 2 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,647 Underlying: Common Stock · 142 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. F4 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| December 31, 2012 Filed Jan 3, 2013 19:28 UTC |
MAGOWAN PETER ADirector
|
GrantPhantom Stock Units · Derivative | 142 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000010 · edgar.xml · derivative · entry 2 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,783 Underlying: Common Stock · 142 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. F4 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| December 31, 2012 Filed Jan 3, 2013 19:31 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 156 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000012 · edgar.xml · derivative · entry 2 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,987 Underlying: Common Stock · 156 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. F4 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| December 31, 2012 Filed Jan 3, 2013 19:34 UTC |
WHITE MILES DDirector
|
GrantPhantom Stock Units · Derivative | 71 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000014 · edgar.xml · derivative · entry 2 WHITE MILES D · CIK 0001239129 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 823 Underlying: Common Stock · 71 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. F4 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| December 31, 2012 Filed Jan 3, 2013 19:39 UTC |
POWELL CHARLES DDirector
|
GrantCommon Stock | 34 | $88.24 | $3,000.16 |
DisclosureSEC source: 0000018230-13-000016 · edgar.xml · nonDerivative · entry 1 POWELL CHARLES D · CIK 0001172570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,203 F1 · kind: Stock received in lieu of director's fees. Read SEC document |
| December 31, 2012 Filed Jan 3, 2013 19:41 UTC |
CALHOUN DAVID LDirector
|
GrantPhantom Stock Units · Derivative | 142 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000018 · edgar.xml · derivative · entry 2 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,625 Underlying: Common Stock · 142 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. F4 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| December 31, 2012 Filed Jan 3, 2013 19:52 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 142 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000020 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,043 Underlying: Common Stock · 142 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. F4 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| December 20, 2012 Filed Dec 20, 2012 19:06 UTC |
FIFE EUGENE VDirector
|
Exercise / conversionEmployee Stock Option · Derivative | 8,000 | $0.00 Strike: $26.03 | $0.00 |
DisclosureSEC source: 0000018230-12-000586 · edgar.xml · derivative · entry 4 FIFE EUGENE V · CIK 0001029606 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 8,000 shares Expires 2013-04-09 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: Exercisable in thirds beginning 1 year after the initial grant date of April 9, 2003. (1/3 after one year; 1/3 after two years; 1/3 after 3 years). Read SEC document |
| December 20, 2012 Filed Dec 20, 2012 19:06 UTC |
FIFE EUGENE VDirector
|
Exercise / conversionCommon | 8,000 | $26.03 | $208,240.00 |
DisclosureSEC source: 0000018230-12-000586 · edgar.xml · nonDerivative · entry 1 FIFE EUGENE V · CIK 0001029606 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,628 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 |
| December 18, 2012 Filed Dec 18, 2012 21:21 UTC |
POWELL CHARLES DDirector
|
SaleCommon | 10,700 | $90.12 | $964,256.18 |
DisclosureSEC source: 0000018230-12-000579 · edgar.xml · nonDerivative · entry 1 POWELL CHARLES D · CIK 0001172570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,169 F1 · kind: Pursuant to a previously enacted 10b5-1 plan. F2 · balance_after: Included in this amount are 917 shares in dividend reinvestment. Read SEC document |
| December 18, 2012 Filed Dec 18, 2012 21:46 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
Exercise / conversionEmployee Stock Option · Derivative | 140,000 | $0.00 Strike: $27.14 | $0.00 |
DisclosureSEC source: 0000018230-12-000581 · edgar.xml · derivative · entry 4 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 140,000 shares Expires 2013-06-10 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: Exercisable in thirds beginning 1 year after the initial grant date of June 10, 2003. (1/3 after one year; 1/3 after two years; 1/3 after 3 years). Read SEC document |
| December 18, 2012 Filed Dec 18, 2012 21:46 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
Tax withholdingCommon | 82,943 | $89.30 | $7,406,809.90 |
DisclosureSEC source: 0000018230-12-000581 · edgar.xml · nonDerivative · entry 3 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 175,993 F1 · balance_after: This amount includes 29842 shares in 401K and 9256 shares in dividend reinvestment. Read SEC document |
| December 18, 2012 Filed Dec 18, 2012 21:46 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
Exercise / conversionCommon | 140,000 | $27.14 | $3,799,600.00 |
DisclosureSEC source: 0000018230-12-000581 · 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: 258,936 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: This amount includes 29842 shares in 401K and 9256 shares in dividend reinvestment. Read SEC document |
| December 17, 2012 Filed Dec 18, 2012 20:41 UTC |
LAVIN RICHARD PGroup President
|
SaleCommon | 3,784 | $89.25 | $337,722.00 |
DisclosureSEC source: 0000018230-12-000576 · edgar.xml · nonDerivative · entry 1 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,609 F1 · kind: Pursuant to a previously enacted 10b5-1 plan. F2 · balance_after: This amount includes 284 shares in 401K and 386 shares in dividend reinvestment. Read SEC document |
| December 12, 2012 Filed Dec 20, 2012 19:09 UTC |
RAPP EDWARD JCFO & Group President
|
GiftCommon | 294 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000588 · edgar.xml · nonDerivative · entry 4 RAPP EDWARD J · CIK 0001171780 · CFO & Group President 10b5-1 filing: Not disclosed Ownership: Indirect · Owned by daughter Disclosed balance after: 294 F2 · kind: This transaction involved a gift of securities by the reporting person to his daughter, who shares reporting person's household. Read SEC document |
| December 12, 2012 Filed Dec 20, 2012 19:09 UTC |
RAPP EDWARD JCFO & Group President
|
GiftCommon | 294 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000588 · edgar.xml · nonDerivative · entry 3 RAPP EDWARD J · CIK 0001171780 · CFO & Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,688 F2 · kind: This transaction involved a gift of securities by the reporting person to his daughter, who shares reporting person's household. F1 · balance_after: This amount includes 2318 shares in 401(k). Read SEC document |
| December 12, 2012 Filed Dec 20, 2012 19:09 UTC |
RAPP EDWARD JCFO & Group President
|
GiftCommon | 125 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000588 · edgar.xml · nonDerivative · entry 2 RAPP EDWARD J · CIK 0001171780 · CFO & Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,982 F1 · balance_after: This amount includes 2318 shares in 401(k). Read SEC document |
| December 11, 2012 Filed Dec 18, 2012 20:31 UTC |
Copeland Jananne A.Controller/Chief Acctg Officer
|
GiftCommon | 297 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000572 · edgar.xml · nonDerivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Controller/Chief Acctg Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,630 F1 · balance_after: This amount includes 3701 shares in 401K. Read SEC document |
| December 07, 2012 Filed Dec 18, 2012 21:46 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
GiftCommon | 120 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000581 · 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: 118,936 F1 · balance_after: This amount includes 29842 shares in 401K and 9256 shares in dividend reinvestment. Read SEC document |
| November 30, 2012 Filed Dec 4, 2012 21:17 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
GrantPhantom Stock Units · Derivative | 141 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000542 · edgar.xml · derivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,249 Underlying: Common · 141 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 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will 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. deferred employee investment plan and will be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| November 30, 2012 Filed Dec 4, 2012 21:19 UTC |
Copeland Jananne A.Controller/Chief Acctg Officer
|
GrantPhantom Stock Units · Derivative | 28 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000544 · edgar.xml · derivative · entry 2 Copeland Jananne A. · CIK 0001415606 · Controller/Chief Acctg Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,582 Underlying: Common · 28 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 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will 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. deferred employee investment plan and will be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| November 30, 2012 Filed Dec 4, 2012 21:22 UTC |
BUDA JAMES BExecutive Vice President
|
GrantPhantom Stock Units · Derivative | 70 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000546 · edgar.xml · derivative · entry 2 BUDA JAMES B · CIK 0001171771 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,524 Underlying: Common · 70 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 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will 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. deferred employee investment plan and will be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| November 30, 2012 Filed Dec 4, 2012 21:36 UTC |
LAVIN RICHARD PGroup President
|
GrantPhantom Stock Units · Derivative | 119 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000548 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,739 Underlying: Common · 119 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 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will 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. deferred employee investment plan and will be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| November 30, 2012 Filed Dec 4, 2012 21:39 UTC |
POWELL CHARLES DDirector
|
GrantCommon | 35 | $85.66 | $2,998.10 |
DisclosureSEC source: 0000018230-12-000550 · edgar.xml · nonDerivative · entry 1 POWELL CHARLES D · CIK 0001172570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,869 F1 · kind: Stock received in lieu of director's fees. F2 · balance_after: Included in this amount are 917 shares in dividend reinvestment. Read SEC document |
| November 30, 2012 Filed Dec 4, 2012 21:46 UTC |
FIFE EUGENE VDirector
|
GrantCommon | 160 | $85.66 | $13,705.60 |
DisclosureSEC source: 0000018230-12-000552 · edgar.xml · nonDerivative · entry 1 FIFE EUGENE V · CIK 0001029606 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,628 F1 · kind: Stock received in lieu of director's fees. Read SEC document |
| November 30, 2012 Filed Dec 4, 2012 21:57 UTC |
CALHOUN DAVID LDirector
|
GrantPhantom Stock Units · Derivative | 159 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000554 · edgar.xml · derivative · entry 2 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,469 Underlying: Common · 159 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F3 · price: The units were valued in November 2012 on the basis of the issuer's common stock price, 146 units at a price of $85.66 and 13 units at $83.18. F2 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. F2 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. Read SEC document |
| November 30, 2012 Filed Dec 4, 2012 21:59 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 243 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000556 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,808 Underlying: Common · 243 shares Expires not disclosed F2 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F4 · price: The units were valued in November 2012 on the basis of the issuer's common stock price, 97 units at a price of $83.18 and 146 units at $85.66. 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 |
| November 30, 2012 Filed Dec 4, 2012 22:03 UTC |
RUST EDWARD B JRDirector
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GrantPhantom Stock Units · Derivative | 273 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000558 · edgar.xml · derivative · entry 2 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,709 Underlying: Common · 273 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F3 · price: The units were valued in November 2012 on the basis of the issuer's common stock price, 146 units at a price of $85.66 and 127 units at $83.18. F2 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. F2 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. Read SEC document |
| November 30, 2012 Filed Dec 4, 2012 22:06 UTC |
DICKINSON DANIEL MDirector
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GrantPhantom Stock Units · Derivative | 235 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000560 · edgar.xml · derivative · entry 2 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,691 Underlying: Common · 235 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F3 · price: The units were valued in November 2012 on the basis of the issuer's common stock price, 146 units at a price of $85.66 and 89 units at $83.18. F2 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. F2 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. Read SEC document |
| November 30, 2012 Filed Dec 4, 2012 22:08 UTC |
MAGOWAN PETER ADirector
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GrantPhantom Stock Units · Derivative | 315 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000562 · edgar.xml · derivative · entry 2 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,479 Underlying: Common · 315 shares Expires not disclosed F2 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F4 · price: The units were valued in November 2012 on the basis of the issuer's common stock price, 146 units at a price of $85.66 and 168 units at $83.18.. 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 |
| November 30, 2012 Filed Dec 4, 2012 22:10 UTC |
WHITE MILES DDirector
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GrantPhantom Stock Units · Derivative | 77 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000564 · edgar.xml · derivative · entry 2 WHITE MILES D · CIK 0001239129 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 748 Underlying: Common · 77 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F3 · price: The units were valued in November 2012 on the basis of the issuer's common stock price, 73 units at a price of $85.66 and 4 units at $83.18. F2 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. F2 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. Read SEC document |
| November 30, 2012 Filed Dec 4, 2012 22:13 UTC |
GOODE DAVID RDirector
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GrantPhantom Stock Units · Derivative | 499 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000566 · edgar.xml · derivative · entry 3 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,984 Underlying: Common · 499 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F3 · price: The units were valued in November 2012 on the basis of the issuer's common stock price, 166 units at a price of $85.66 and 333 units at $83.18.. F2 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. F2 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. Read SEC document |
| November 30, 2012 Filed Dec 4, 2012 22:14 UTC |
SCHWAB SUSAN CDirector
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GrantPhantom Stock Units · Derivative | 154 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000568 · edgar.xml · derivative · entry 2 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,497 Underlying: Common · 154 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F3 · price: The units were valued in November 2012 on the basis of the issuer's common stock price, 146 units at a price of $85.66 and 8 units at $83.18. F2 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. F2 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. Read SEC document |
| November 30, 2012 Filed Dec 20, 2012 19:09 UTC |
RAPP EDWARD JCFO & Group President
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GiftCommon | 1,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000588 · edgar.xml · nonDerivative · entry 1 RAPP EDWARD J · CIK 0001171780 · CFO & Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,107 F1 · balance_after: This amount includes 2318 shares in 401(k). Read SEC document |
| November 27, 2012 Filed Dec 4, 2012 21:17 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
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GiftCommon | 3,857 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000542 · 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: 119,056 F1 · balance_after: This amount includes 29842 shares in 401K and 9256 shares in dividend reinvestment. Read SEC document |
| November 26, 2012 Filed Nov 28, 2012 14:06 UTC |
RAPP EDWARD JCFO & Group President
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Exercise / conversionEmployee Stock Option · Derivative | 13,500 | $0.00 Strike: $27.14 | $0.00 |
DisclosureSEC source: 0000018230-12-000540 · edgar.xml · derivative · entry 3 RAPP EDWARD J · CIK 0001171780 · CFO & Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 13,500 shares Expires 2013-06-10 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: Exercisable in thirds beginning 1 year after the initial grant date of June 10, 2003. (1/3 after one year; 1/3 after two years; 1/3 after three years). Read SEC document |
| November 26, 2012 Filed Nov 28, 2012 14:06 UTC |
RAPP EDWARD JCFO & Group President
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Tax withholdingCommon | 8,137 | $84.40 | $686,722.12 |
DisclosureSEC source: 0000018230-12-000540 · edgar.xml · nonDerivative · entry 2 RAPP EDWARD J · CIK 0001171780 · CFO & Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,107 F1 · balance_after: This amount includes 2318 shares in 401(k). Read SEC document |
| November 26, 2012 Filed Nov 28, 2012 14:06 UTC |
RAPP EDWARD JCFO & Group President
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Exercise / conversionCommon | 13,500 | $27.14 | $366,423.75 |
DisclosureSEC source: 0000018230-12-000540 · edgar.xml · nonDerivative · entry 1 RAPP EDWARD J · CIK 0001171780 · CFO & Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,244 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: This amount includes 2318 shares in 401(k). Read SEC document |
| November 15, 2012 Filed Nov 19, 2012 21:43 UTC |
LAVIN RICHARD PGroup President
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SaleCommon | 3,784 | $81.24 | $307,412.16 |
DisclosureSEC source: 0000018230-12-000532 · edgar.xml · nonDerivative · entry 1 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,393 F1 · kind: Pursuant to a previously executed 10b5-1 plan. F2 · balance_after: This amount includes 284 shares in 401K and 386 shares in dividend reinvestment. Read SEC document |
| November 05, 2012 Filed Nov 7, 2012 18:59 UTC |
OSBORN WILLIAM ADirector
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Exercise / conversionEmployee Stock Option · Derivative | 8,000 | $0.00 Strike: $44.90 | $0.00 |
DisclosureSEC source: 0000018230-12-000528 · edgar.xml · derivative · entry 2 OSBORN WILLIAM A · CIK 0001171797 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 8,000 shares Expires 2015-04-13 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_date: Exercisable in thirds beginning 1 year after the initial grant date of April 13, 2005. (1/3 after one year; 1/3 after two years; 1/3 after three years). Read SEC document |
| November 05, 2012 Filed Nov 7, 2012 18:59 UTC |
OSBORN WILLIAM ADirector
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Exercise / conversionCommon | 8,000 | $44.90 | $359,200.00 |
DisclosureSEC source: 0000018230-12-000528 · edgar.xml · nonDerivative · entry 1 OSBORN WILLIAM A · CIK 0001171797 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,892 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.