Last 12 months
Inside the activity.
2 purchase rows · 91 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 1 | 16 |
| Dec 2025 | 0 | 14 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 21 |
| Mar 2026 | 0 | 5 |
| Apr 2026 | 0 | 0 |
| May 2026 | 1 | 21 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 14 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| November 05, 2012 Filed Nov 7, 2012 22:02 UTC |
LAVIN RICHARD PGroup President
|
GrantEmployee Stock Option · Derivative | 93,985 | $0.00 Strike: $86.77 | $0.00 |
DisclosureSEC source: 0000018230-12-000530 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,985 Underlying: Common · 93,985 shares Expires 2017-11-05 F2 · derivative.exercise_date: The options shall vest as of the first day after the grant date that the per share closing price of the common stock of Caterpillar Inc. is at least $110.09 for twenty consecutive trading days. Read SEC document |
| November 02, 2012 Filed Nov 6, 2012 20:56 UTC |
BUDA JAMES BExecutive Vice President
|
Exercise / conversionEmployee Stock Option · Derivative | 64,000 | $0.00 Strike: $38.63 | $0.00 |
DisclosureSEC source: 0000018230-12-000524 · 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 · 0 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. F4 · 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 |
| November 02, 2012 Filed Nov 6, 2012 20:56 UTC |
BUDA JAMES BExecutive Vice President
|
SaleCommon | 64,000 | $86.98 | $5,566,720.00 |
DisclosureSEC source: 0000018230-12-000524 · 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 F1 · balance_after: This amount includes 212 shares in 401K and 65 shares in dividend reinvestment. Read SEC document |
| November 02, 2012 Filed Nov 6, 2012 20:56 UTC |
BUDA JAMES BExecutive Vice President
|
Exercise / conversionCommon | 64,000 | $38.63 | $2,472,320.00 |
DisclosureSEC source: 0000018230-12-000524 · edgar.xml · nonDerivative · entry 1 BUDA JAMES B · CIK 0001171771 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 115,646 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: This amount includes 212 shares in 401K and 65 shares in dividend reinvestment. Read SEC document |
| November 01, 2012 Filed Nov 2, 2012 20:51 UTC |
LAVIN RICHARD PGroup President
|
Exercise / conversionEmployee Stock Option · Derivative | 65,750 | $0.00 Strike: $22.17 | $0.00 |
DisclosureSEC source: 0000018230-12-000518 · edgar.xml · derivative · entry 6 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,972 Underlying: Common · 65,750 shares Expires 2019-03-02 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. F4 · security: Right to buy with tandem tax withholding rights. F5 · derivative.exercise_date: The stock appreciation rights were fully vested on March 2, 2012. Read SEC document |
| November 01, 2012 Filed Nov 2, 2012 20:51 UTC |
LAVIN RICHARD PGroup President
|
SaleCommon | 28,590 | $86.37 | $2,469,318.30 |
DisclosureSEC source: 0000018230-12-000518 · edgar.xml · nonDerivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,177 F1 · balance_after: This amount includes 284 shares in 401K and 386 shares in dividend reinvestment. Read SEC document |
| November 01, 2012 Filed Nov 2, 2012 20:51 UTC |
LAVIN RICHARD PGroup President
|
Disposition to issuerCommon | 20,241 | $86.15 | $1,743,762.15 |
DisclosureSEC source: 0000018230-12-000518 · edgar.xml · nonDerivative · entry 2 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 118,767 F1 · balance_after: This amount includes 284 shares in 401K and 386 shares in dividend reinvestment. Read SEC document |
| November 01, 2012 Filed Nov 2, 2012 20:51 UTC |
LAVIN RICHARD PGroup President
|
Exercise / conversionCommon | 65,750 | $22.17 | $1,457,677.50 |
DisclosureSEC source: 0000018230-12-000518 · edgar.xml · nonDerivative · entry 1 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 139,008 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 284 shares in 401K and 386 shares in dividend reinvestment. Read SEC document |
| November 01, 2012 Filed Feb 7, 2013 20:48 UTC |
GOODE DAVID RDirector
|
GiftCommon Stock | 8,295 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000070 · edgar.xml · nonDerivative · entry 2 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,335 Read SEC document |
| October 31, 2012 Filed Nov 1, 2012 18:02 UTC |
MAGOWAN PETER ADirector
|
GrantPhantom Stock Units · Derivative | 147 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000489 · edgar.xml · derivative · entry 2 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,165 Underlying: Common · 147 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 October 2012 on the basis of the issuer's common stock price, 147 units at a price of $85.19. 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 |
| October 31, 2012 Filed Nov 1, 2012 18:07 UTC |
POWELL CHARLES DDirector
|
GrantCommon | 36 | $85.19 | $3,066.84 |
DisclosureSEC source: 0000018230-12-000491 · edgar.xml · nonDerivative · entry 1 POWELL CHARLES D · CIK 0001172570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,834 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 |
| October 31, 2012 Filed Nov 1, 2012 18:10 UTC |
WHITE MILES DDirector
|
GrantPhantom Stock Units · Derivative | 73 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000493 · edgar.xml · derivative · entry 2 WHITE MILES D · CIK 0001239129 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 671 Underlying: Common · 73 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 October 2012 on the basis of the issuer's common stock price, 73 units at a price of $85.19. 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 |
| October 31, 2012 Filed Nov 1, 2012 18:13 UTC |
CALHOUN DAVID LDirector
|
GrantPhantom Stock Units · Derivative | 147 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000495 · edgar.xml · derivative · entry 2 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,310 Underlying: Common · 147 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 October 2012 on the basis of the issuer's common stock price, 147 units at a price of $85.19. 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 |
| October 31, 2012 Filed Nov 1, 2012 18:17 UTC |
DICKINSON DANIEL MDirector
|
GrantPhantom Stock Units · Derivative | 147 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000497 · edgar.xml · derivative · entry 2 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,456 Underlying: Common · 147 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 October 2012 on the basis of the issuer's common stock price, 147 units at a price of $85.19. 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 |
| October 31, 2012 Filed Nov 1, 2012 18:19 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 147 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000499 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,565 Underlying: Common · 147 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 October 2012 on the basis of the issuer's common stock price, 147 units at a price of $85.19. 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 |
| October 31, 2012 Filed Nov 1, 2012 18:22 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 147 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000501 · edgar.xml · derivative · entry 2 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,436 Underlying: Common · 147 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 October 2012 on the basis of the issuer's common stock price, 147 units at a price of $85.19. 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 |
| October 31, 2012 Filed Nov 1, 2012 18:24 UTC |
FIFE EUGENE VDirector
|
GrantCommon | 162 | $85.19 | $13,800.78 |
DisclosureSEC source: 0000018230-12-000503 · edgar.xml · nonDerivative · entry 1 FIFE EUGENE V · CIK 0001029606 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,468 F1 · kind: Stock received in lieu of director's fees. Read SEC document |
| October 31, 2012 Filed Nov 2, 2012 20:23 UTC |
SCHWAB SUSAN CDirector
|
GrantPhantom Stock Units · Derivative | 147 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000510 · edgar.xml · derivative · entry 3 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,343 Underlying: Common · 147 shares Expires not disclosed F1 · 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 October 2012 on the basis of the issuer's common stock price, 147 units at a price of $85.19. 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 |
| October 31, 2012 Filed Nov 2, 2012 20:29 UTC |
Copeland Jananne A.Controller/Chief Acctg Officer
|
GrantPhantom Stock Units · Derivative | 64 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000512 · edgar.xml · derivative · entry 2 Copeland Jananne A. · CIK 0001415606 · Controller/Chief Acctg Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,554 Underlying: Common · 64 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 |
| October 31, 2012 Filed Nov 2, 2012 20:32 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
GrantPhantom Stock Units · Derivative | 426 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000514 · 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: 54,108 Underlying: Common · 426 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 |
| October 31, 2012 Filed Nov 2, 2012 20:37 UTC |
GOODE DAVID RDirector
|
GrantPhantom Stock Units · Derivative | 166 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000516 · edgar.xml · derivative · entry 3 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,485 Underlying: Common · 166 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 October 2012 on the basis of the issuer's common stock price, 166 units at a price of $85.19. 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 |
| October 31, 2012 Filed Nov 2, 2012 20:51 UTC |
LAVIN RICHARD PGroup President
|
GrantPhantom Stock Units · Derivative | 249 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000518 · edgar.xml · derivative · entry 5 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,620 Underlying: Common · 249 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 |
| October 31, 2012 Filed Nov 2, 2012 20:56 UTC |
BUDA JAMES BExecutive Vice President
|
GrantPhantom Stock Units · Derivative | 71 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000520 · edgar.xml · derivative · entry 2 BUDA JAMES B · CIK 0001171771 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,454 Underlying: Common · 71 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 |
| October 31, 2012 Filed Feb 7, 2013 20:48 UTC |
GOODE DAVID RDirector
|
GiftCommon Stock | 8,303 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000070 · edgar.xml · nonDerivative · entry 1 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,630 F1 · balance_after: The post-transaction ownership totals included on the Form 4s filed by the reporting person on December 4, 2012 and January 3, 2013 did not take into account the effect of the gift transactions reported on this Form 5. Read SEC document |
| October 17, 2012 Filed Dec 18, 2012 20:36 UTC |
LEVENICK STUART LGroup President
|
GiftCommon | 1,400 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000574 · edgar.xml · nonDerivative · entry 1 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 141,828 Read SEC document |
| October 02, 2012 Filed Nov 2, 2012 20:32 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
GiftCommon | 21,071 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000514 · 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: 122,913 F1 · balance_after: This amount includes 29842 shares in 401K and 9256 shares in dividend reinvestment. Read SEC document |
| September 28, 2012 Filed Oct 2, 2012 14:40 UTC |
FIFE EUGENE VDirector
|
GrantCommon | 160 | $86.02 | $13,763.20 |
DisclosureSEC source: 0000018230-12-000455 · edgar.xml · nonDerivative · entry 1 FIFE EUGENE V · CIK 0001029606 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,306 F1 · kind: Stock received in lieu of director's fees. Read SEC document |
| September 28, 2012 Filed Oct 2, 2012 14:44 UTC |
GOODE DAVID RDirector
|
GrantPhantom Stock Units · Derivative | 165 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000457 · edgar.xml · derivative · entry 3 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,319 Underlying: Common · 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. F3 · price: The units were valued in September 2012 on the basis of the issuer's common stock price, 165 units at a price of $86.02. 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 |
| September 28, 2012 Filed Oct 2, 2012 14:48 UTC |
WHITE MILES DDirector
|
GrantPhantom Stock Units · Derivative | 73 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000459 · edgar.xml · derivative · entry 2 WHITE MILES D · CIK 0001239129 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 598 Underlying: Common · 73 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 September 2012 on the basis of the issuer's common stock price, 73 units at a price of $86.02. 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 |
| September 28, 2012 Filed Oct 2, 2012 14:54 UTC |
DICKINSON DANIEL MDirector
|
GrantPhantom Stock Units · Derivative | 145 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000461 · edgar.xml · derivative · entry 2 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,309 Underlying: Common · 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. F3 · price: The units were valued in September 2012 on the basis of the issuer's common stock price, 145 units at a price of $86.02. 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 |
| September 28, 2012 Filed Oct 2, 2012 15:00 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 145 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000463 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,418 Underlying: Common · 145 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 September 2012 on the basis of the issuer's common stock price, 145 units at a price of $86.02. 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 |
| September 28, 2012 Filed Oct 2, 2012 15:07 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 145 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000466 · edgar.xml · derivative · entry 2 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,289 Underlying: Common · 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. F3 · price: The units were valued in September 2012 on the basis of the issuer's common stock price, 145 units at a price of $86.02. 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 |
| September 28, 2012 Filed Oct 2, 2012 15:07 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 145 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000467 · edgar.xml · derivative · entry 2 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,289 Underlying: Common · 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. F3 · price: The units were valued in September 2012 on the basis of the issuer's common stock price, 145 units at a price of $86.02. 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 |
| September 28, 2012 Filed Oct 2, 2012 15:12 UTC |
MAGOWAN PETER ADirector
|
GrantPhantom Stock Units · Derivative | 145 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000469 · edgar.xml · derivative · entry 2 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,018 Underlying: Common · 145 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 September 2012 on the basis of the issuer's common stock price, 145 units at a price of $86.02. 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 |
| September 28, 2012 Filed Oct 2, 2012 15:18 UTC |
CALHOUN DAVID LDirector
|
GrantPhantom Stock Units · Derivative | 145 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000471 · edgar.xml · derivative · entry 2 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,163 Underlying: Common · 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. F3 · price: The units were valued in September 2012 on the basis of the issuer's common stock price, 145 units at a price of $86.02. 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 |
| September 28, 2012 Filed Oct 2, 2012 15:21 UTC |
Copeland Jananne A.Controller/Chief Acctg Officer
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GrantPhantom Stock Units · Derivative | 28 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000473 · edgar.xml · derivative · entry 2 Copeland Jananne A. · CIK 0001415606 · Controller/Chief Acctg Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,490 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 |
| September 28, 2012 Filed Oct 2, 2012 15:25 UTC |
LAVIN RICHARD PGroup President
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GrantPhantom Stock Units · Derivative | 118 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000475 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,371 Underlying: Common · 118 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 |
| September 28, 2012 Filed Oct 2, 2012 15:30 UTC |
BUDA JAMES BExecutive Vice President
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GrantPhantom Stock Units · Derivative | 70 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000477 · edgar.xml · derivative · entry 2 BUDA JAMES B · CIK 0001171771 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,383 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 |
| September 28, 2012 Filed Oct 2, 2012 15:35 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
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GrantPhantom Stock Units · Derivative | 139 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000479 · 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: 53,682 Underlying: Common · 139 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 |
| September 28, 2012 Filed Oct 2, 2012 15:37 UTC |
POWELL CHARLES DDirector
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GrantCommon | 35 | $86.02 | $3,010.53 |
DisclosureSEC source: 0000018230-12-000481 · edgar.xml · nonDerivative · entry 1 POWELL CHARLES D · CIK 0001172570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,798 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 |
| September 28, 2012 Filed Nov 2, 2012 20:23 UTC |
SCHWAB SUSAN CDirector
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GrantPhantom Stock Units · Derivative | 145 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000510 · edgar.xml · derivative · entry 2 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,196 Underlying: Common · 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. F3 · price: The units were valued in September 2012 on the basis of the issuer's common stock price, 145 units at a price of $86.02. 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 |
| August 31, 2012 Filed Sep 5, 2012 18:08 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
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GrantPhantom Stock Units · Derivative | 141 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000421 · 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: 53,543 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. F4 · balance_after: Includes 412 units acquired under Tax-Conditioned Plans. Read SEC document |
| August 31, 2012 Filed Sep 5, 2012 18:15 UTC |
BUDA JAMES BExecutive Vice President
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GrantPhantom Stock Units · Derivative | 70 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000423 · edgar.xml · derivative · entry 2 BUDA JAMES B · CIK 0001171771 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,313 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. F4 · balance_after: Includes 140 units acquired under Tax-Conditioned Plans. Read SEC document |
| August 31, 2012 Filed Sep 5, 2012 18:22 UTC |
RUST EDWARD B JRDirector
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GrantPhantom Stock Units · Derivative | 261 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000425 · edgar.xml · derivative · entry 2 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,144 Underlying: Common · 261 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 August 2012 on the basis of the issuer's common stock price, 114 units at a price of $89.86 and 147 units at a price of $85.10. 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 |
| August 31, 2012 Filed Sep 5, 2012 18:26 UTC |
CALHOUN DAVID LDirector
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GrantPhantom Stock Units · Derivative | 157 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000427 · edgar.xml · derivative · entry 2 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,018 Underlying: Common · 157 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 August 2012 on the basis of the issuer's common stock price, 10 units at a price of $89.86 and 147 units at $85.10 . 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 |
| August 31, 2012 Filed Sep 5, 2012 18:38 UTC |
MAGOWAN PETER ADirector
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GrantPhantom Stock Units · Derivative | 300 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000429 · edgar.xml · derivative · entry 2 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,873 Underlying: Common · 300 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 August 2012 on the basis of the issuer's common stock price, 153 units at a price of $89.86 and 147 units at a price of $85.10. 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 |
| August 31, 2012 Filed Sep 5, 2012 18:42 UTC |
GOODE DAVID RDirector
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GrantPhantom Stock Units · Derivative | 470 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000431 · edgar.xml · derivative · entry 3 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,154 Underlying: Common · 470 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 August 2012 on the basis of the issuer's common stock price, 304 units at a price of $89.86 and 166 units at a price of $85.10. 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 |
| August 31, 2012 Filed Sep 5, 2012 18:47 UTC |
WHITE MILES DDirector
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GrantPhantom Stock Units · Derivative | 75 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000433 · edgar.xml · derivative · entry 2 WHITE MILES D · CIK 0001239129 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 525 Underlying: Common · 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. F3 · price: The units were valued in August 2012 on the basis of the issuer's common stock price, 2 units at a price of $89.86 and 73 units at $85.10. 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 |
| August 31, 2012 Filed Sep 5, 2012 18:52 UTC |
POWELL CHARLES DDirector
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GrantCommon | 38 | $85.10 | $3,233.80 |
DisclosureSEC source: 0000018230-12-000435 · edgar.xml · nonDerivative · entry 1 POWELL CHARLES D · CIK 0001172570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,760 F1 · kind: Stock received in lieu of director's fees. F2 · balance_after: Included in this amount are 914 shares in dividend reinvestment. Read SEC document |
| August 31, 2012 Filed Sep 5, 2012 18:56 UTC |
SCHWAB SUSAN CDirector
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GrantPhantom Stock Units · Derivative | 151 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000437 · edgar.xml · derivative · entry 2 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,051 Underlying: Common · 151 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 August 2012 on the basis of the issuer's common stock price, 4 units at a price of $89.86 and 147 units at a price of $85.10. 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.