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 |
|---|---|---|---|---|---|---|
| August 31, 2012 Filed Sep 5, 2012 19:01 UTC |
LAVIN RICHARD PGroup President
|
GrantPhantom Stock Units · Derivative | 119 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000439 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,253 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. F4 · balance_after: Includes 185 units acquired under Tax-Conditioned Plans. Read SEC document |
| August 31, 2012 Filed Sep 5, 2012 19:08 UTC |
Copeland Jananne A.Controller/Chief Acctg Officer
|
GrantPhantom Stock Units · Derivative | 28 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000441 · edgar.xml · derivative · entry 2 Copeland Jananne A. · CIK 0001415606 · Controller/Chief Acctg Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,462 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 |
| August 31, 2012 Filed Sep 5, 2012 19:13 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 233 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000443 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,273 Underlying: Common · 233 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, 86 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 19:18 UTC |
DICKINSON DANIEL MDirector
|
GrantPhantom Stock Units · Derivative | 227 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000445 · edgar.xml · derivative · entry 2 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,164 Underlying: Common · 227 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, 80 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 19:22 UTC |
FIFE EUGENE VDirector
|
GrantCommon | 161 | $85.10 | $13,701.10 |
DisclosureSEC source: 0000018230-12-000447 · edgar.xml · nonDerivative · entry 1 FIFE EUGENE V · CIK 0001029606 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,146 F1 · kind: Stock received in lieu of director's fees. Read SEC document |
| August 17, 2012 Filed Aug 21, 2012 20:38 UTC |
Copeland Jananne A.Controller/Chief Acctg Officer
|
Exercise / conversionEmployee Stock Option · Derivative | 3,700 | $0.00 Strike: $38.63 | $0.00 |
DisclosureSEC source: 0000018230-12-000417 · edgar.xml · derivative · entry 3 Copeland Jananne A. · CIK 0001415606 · Controller/Chief Acctg Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,420 Underlying: Common · 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. F4 · security: Right to buy with tandem tax withholding rights. F5 · derivative.exercise_date: Exercisable in thirds beginning 1 year after the initial grant date of 6/8/2004. (1/3 after one year; 1/3 after two years; 1/3 after three years). Read SEC document |
| August 17, 2012 Filed Aug 21, 2012 20:38 UTC |
Copeland Jananne A.Controller/Chief Acctg Officer
|
SaleCommon | 3,700 | $90.00 | $333,000.00 |
DisclosureSEC source: 0000018230-12-000417 · edgar.xml · nonDerivative · entry 2 Copeland Jananne A. · CIK 0001415606 · Controller/Chief Acctg Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,907 F1 · balance_after: This amount includes 3681 shares in 401K. Read SEC document |
| August 17, 2012 Filed Aug 21, 2012 20:38 UTC |
Copeland Jananne A.Controller/Chief Acctg Officer
|
Exercise / conversionCommon | 3,700 | $38.63 | $142,921.75 |
DisclosureSEC source: 0000018230-12-000417 · edgar.xml · nonDerivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Controller/Chief Acctg Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,607 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 3681 shares in 401K. Read SEC document |
| August 01, 2012 Filed Aug 2, 2012 13:52 UTC |
LAVIN RICHARD PGroup President
|
SaleCommon | 2,000 | $84.92 | $169,840.00 |
DisclosureSEC source: 0000018230-12-000400 · edgar.xml · nonDerivative · entry 1 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,257 F1 · balance_after: This amount includes 283 shares in 401K and 386 shares in dividend reinvestment. Read SEC document |
| July 31, 2012 Filed Aug 1, 2012 19:39 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 147 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000379 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,040 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 July 2012 on the basis of the issuer's common stock price, 147 units at a price of $85.25. 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 |
| July 31, 2012 Filed Aug 1, 2012 19:41 UTC |
WHITE MILES DDirector
|
GrantPhantom Stock Units · Derivative | 73 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000380 · edgar.xml · derivative · entry 2 WHITE MILES D · CIK 0001239129 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 450 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 July 2012 on the basis of the issuer's common stock price, 73 units at a price of $85.25. 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 |
| July 31, 2012 Filed Aug 1, 2012 19:44 UTC |
GOODE DAVID RDirector
|
GrantPhantom Stock Units · Derivative | 166 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000382 · edgar.xml · derivative · entry 3 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,684 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 July 2012 on the basis of the issuer's common stock price, 166 units at a price of $85.25. 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 |
| July 31, 2012 Filed Aug 1, 2012 19:49 UTC |
FIFE EUGENE VDirector
|
GrantCommon | 162 | $85.25 | $13,810.50 |
DisclosureSEC source: 0000018230-12-000385 · edgar.xml · nonDerivative · entry 1 FIFE EUGENE V · CIK 0001029606 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,985 F1 · kind: Stock received in lieu of director's fees. Read SEC document |
| July 31, 2012 Filed Aug 1, 2012 20:14 UTC |
POWELL CHARLES DDirector
|
GrantCommon | 35 | $85.25 | $2,983.75 |
DisclosureSEC source: 0000018230-12-000387 · edgar.xml · nonDerivative · entry 1 POWELL CHARLES D · CIK 0001172570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,722 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 |
| July 31, 2012 Filed Aug 1, 2012 20:16 UTC |
MAGOWAN PETER ADirector
|
GrantPhantom Stock Units · Derivative | 147 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000389 · edgar.xml · derivative · entry 2 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,573 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 July 2012 on the basis of the issuer's common stock price, 147 units at a price of $85.25. 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 |
| July 31, 2012 Filed Aug 1, 2012 20:18 UTC |
SCHWAB SUSAN CDirector
|
GrantPhantom Stock Units · Derivative | 147 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000391 · edgar.xml · derivative · entry 2 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 900 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 July 2012 on the basis of the issuer's common stock price, 147 units at a price of $85.25. 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 |
| July 31, 2012 Filed Aug 1, 2012 20:20 UTC |
DICKINSON DANIEL MDirector
|
GrantPhantom Stock Units · Derivative | 147 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000393 · edgar.xml · derivative · entry 2 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,937 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 July 2012 on the basis of the issuer's common stock price, 147 units at a price of $85.25. 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 |
| July 31, 2012 Filed Aug 1, 2012 20:21 UTC |
CALHOUN DAVID LDirector
|
GrantPhantom Stock Units · Derivative | 147 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000395 · edgar.xml · derivative · entry 2 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,861 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 July 2012 on the basis of the issuer's common stock price, 147 units at a price of $85.25. 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 |
| July 31, 2012 Filed Aug 2, 2012 13:01 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 147 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000398 · edgar.xml · derivative · entry 2 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,883 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 July 2012 on the basis of the issuer's common stock price, 147 units at a price of $85.25. 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 |
| July 31, 2012 Filed Aug 2, 2012 13:52 UTC |
LAVIN RICHARD PGroup President
|
GrantPhantom Stock Units · Derivative | 120 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000400 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,134 Underlying: Common · 120 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 185 units acquired under Tax-Conditioned Plans. Read SEC document |
| July 31, 2012 Filed Aug 2, 2012 13:56 UTC |
BUDA JAMES BSr. VP & Chief Legal Officer
|
GrantPhantom Stock Units · Derivative | 71 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000402 · edgar.xml · derivative · entry 2 BUDA JAMES B · CIK 0001171771 · Sr. VP & Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,243 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. F4 · balance_after: Includes 140 units acquired under Tax-Conditioned Plans. Read SEC document |
| July 31, 2012 Filed Aug 2, 2012 14:02 UTC |
Copeland Jananne A.Controller/Chief Acctg Officer
|
GrantPhantom Stock Units · Derivative | 28 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000404 · edgar.xml · derivative · entry 2 Copeland Jananne A. · CIK 0001415606 · Controller/Chief Acctg Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,462 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. F4 · balance_after: Includes 12 units acquired under Tax-Conditioned Plans. Read SEC document |
| July 31, 2012 Filed Aug 2, 2012 14:07 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
GrantPhantom Stock Units · Derivative | 143 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000406 · 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: 53,402 Underlying: Common · 143 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 |
| July 30, 2012 Filed Aug 1, 2012 20:33 UTC |
RAPP EDWARD JCFO & Group President
|
Exercise / conversionEmployee Stock Option · Derivative | 13,500 | $0.00 Strike: $27.14 | $0.00 |
DisclosureSEC source: 0000018230-12-000397 · edgar.xml · derivative · entry 4 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. F4 · derivative.exercise_date: Exercisable in thirds beginning 1 year after the initial grant date. (1/3 after one year; 1/3 after two years; 1/3 after three years). Read SEC document |
| July 30, 2012 Filed Aug 1, 2012 20:33 UTC |
RAPP EDWARD JCFO & Group President
|
GrantPhantom Stock Units · Derivative | 5,585 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000397 · edgar.xml · derivative · entry 3 RAPP EDWARD J · CIK 0001171780 · CFO & Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,789 Underlying: Common · 5,585 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 |
| July 30, 2012 Filed Aug 1, 2012 20:33 UTC |
RAPP EDWARD JCFO & Group President
|
SaleCommon | 13,500 | $85.78 | $1,157,976.00 |
DisclosureSEC source: 0000018230-12-000397 · edgar.xml · nonDerivative · entry 2 RAPP EDWARD J · CIK 0001171780 · CFO & Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,732 F1 · balance_after: This amount includes 2306 shares in 401(k). Read SEC document |
| July 30, 2012 Filed Aug 1, 2012 20:33 UTC |
RAPP EDWARD JCFO & Group President
|
Exercise / conversionCommon | 13,500 | $27.14 | $366,423.75 |
DisclosureSEC source: 0000018230-12-000397 · edgar.xml · nonDerivative · entry 1 RAPP EDWARD J · CIK 0001171780 · CFO & Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,232 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 2306 shares in 401(k). Read SEC document |
| July 02, 2012 Filed Jul 3, 2012 17:46 UTC |
LAVIN RICHARD PGroup President
|
SaleCommon | 2,000 | $85.28 | $170,560.00 |
DisclosureSEC source: 0000018230-12-000370 · edgar.xml · nonDerivative · entry 1 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,217 F1 · balance_after: This amount includes 243 shares in 401K and 386 shares in dividend reinvestment. Read SEC document |
| June 29, 2012 Filed Jul 3, 2012 17:12 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 148 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000356 · edgar.xml · derivative · entry 2 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,736 Underlying: Common · 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. F3 · price: The units were valued in June 2012 on the basis of the issuer's common stock price, 148 units at a price of $84.38. 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 |
| June 29, 2012 Filed Jul 3, 2012 17:13 UTC |
SCHWAB SUSAN CDirector
|
GrantPhantom Stock Units · Derivative | 148 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000357 · edgar.xml · derivative · entry 2 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 753 Underlying: Common · 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. F3 · price: The units were valued in June 2012 on the basis of the issuer's common stock price, 148 units at a price of $84.38. 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 |
| June 29, 2012 Filed Jul 3, 2012 17:14 UTC |
WHITE MILES DDirector
|
GrantPhantom Stock Units · Derivative | 74 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000358 · edgar.xml · derivative · entry 2 WHITE MILES D · CIK 0001239129 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 377 Underlying: Common · 74 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 June 2012 on the basis of the issuer's common stock price, 74 units at a price of $84.38. 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 |
| June 29, 2012 Filed Jul 3, 2012 17:16 UTC |
FIFE EUGENE VDirector
|
GrantCommon | 162 | $84.38 | $13,669.56 |
DisclosureSEC source: 0000018230-12-000359 · edgar.xml · nonDerivative · entry 1 FIFE EUGENE V · CIK 0001029606 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,823 F1 · kind: Stock received in lieu of director's fees. Read SEC document |
| June 29, 2012 Filed Jul 3, 2012 17:18 UTC |
GOODE DAVID RDirector
|
GrantPhantom Stock Units · Derivative | 168 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000360 · edgar.xml · derivative · entry 3 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,518 Underlying: Common · 168 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 June 2012 on the basis of the issuer's common stock price, 168 units at a price of $84.38. 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 |
| June 29, 2012 Filed Jul 3, 2012 17:19 UTC |
DICKINSON DANIEL MDirector
|
GrantPhantom Stock Units · Derivative | 148 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000361 · edgar.xml · derivative · entry 2 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,790 Underlying: Common · 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. F3 · price: The units were valued in June 2012 on the basis of the issuer's common stock price, 148 units at a price of $84.38. 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 |
| June 29, 2012 Filed Jul 3, 2012 17:21 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 148 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000362 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,893 Underlying: Common · 148 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 June 2012 on the basis of the issuer's common stock price, 148 units at a price of $84.38. 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 |
| June 29, 2012 Filed Jul 3, 2012 17:22 UTC |
MAGOWAN PETER ADirector
|
GrantPhantom Stock Units · Derivative | 148 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000363 · edgar.xml · derivative · entry 2 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,426 Underlying: Common · 148 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 June 2012 on the basis of the issuer's common stock price, 148 units at a price of $84.38. 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 |
| June 29, 2012 Filed Jul 3, 2012 17:23 UTC |
MAGOWAN PETER ADirector
|
GrantPhantom Stock Units · Derivative | 148 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000364 · edgar.xml · derivative · entry 2 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,426 Underlying: Common · 148 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 June 2012 on the basis of the issuer's common stock price, 148 units at a price of $84.38. 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 |
| June 29, 2012 Filed Jul 3, 2012 17:24 UTC |
CALHOUN DAVID LDirector
|
GrantPhantom Stock Units · Derivative | 148 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000365 · edgar.xml · derivative · entry 2 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,714 Underlying: Common · 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. F3 · price: The units were valued in June 2012 on the basis of the issuer's common stock price, 148 units at a price of $84.38. 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 |
| June 29, 2012 Filed Jul 3, 2012 17:27 UTC |
POWELL CHARLES DDirector
|
GrantCommon | 35 | $84.38 | $2,953.30 |
DisclosureSEC source: 0000018230-12-000366 · edgar.xml · nonDerivative · entry 1 POWELL CHARLES D · CIK 0001172570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,662 F1 · kind: Stock received in lieu of director's fees. F2 · balance_after: Included in this amount are 889 shares in dividend reinvestment. Read SEC document |
| June 29, 2012 Filed Jul 3, 2012 17:29 UTC |
BUDA JAMES BSr. VP & Chief Legal Officer
|
GrantPhantom Stock Units · Derivative | 71 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000367 · edgar.xml · derivative · entry 2 BUDA JAMES B · CIK 0001171771 · Sr. VP & Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,032 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 |
| June 29, 2012 Filed Jul 3, 2012 17:29 UTC |
Copeland Jananne A.Controller/Chief Acctg Officer
|
GrantPhantom Stock Units · Derivative | 28 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000368 · edgar.xml · derivative · entry 2 Copeland Jananne A. · CIK 0001415606 · Controller/Chief Acctg Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,422 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 |
| June 29, 2012 Filed Jul 3, 2012 17:30 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
GrantPhantom Stock Units · Derivative | 141 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000369 · 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: 52,847 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 |
| June 29, 2012 Filed Jul 3, 2012 17:46 UTC |
LAVIN RICHARD PGroup President
|
GrantPhantom Stock Units · Derivative | 119 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000370 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,829 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 |
| June 01, 2012 Filed Jun 4, 2012 20:55 UTC |
LAVIN RICHARD PGroup President
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SaleCommon | 2,000 | $85.26 | $170,520.00 |
DisclosureSEC source: 0000018230-12-000312 · edgar.xml · nonDerivative · entry 1 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,217 F1 · balance_after: This amount includes 243 shares in 401K and 386 shares in dividend reinvestment. Read SEC document |
| May 31, 2012 Filed Jun 4, 2012 18:50 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 216 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000289 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,745 Underlying: Common · 216 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 May 2012 on the basis of the issuer's common stock price, 143 units at a price of $87.26 and 73 units at a price of $90.81. 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 |
| May 31, 2012 Filed Jun 4, 2012 18:52 UTC |
POWELL CHARLES DDirector
|
GrantCommon | 35 | $87.26 | $3,054.10 |
DisclosureSEC source: 0000018230-12-000291 · edgar.xml · nonDerivative · entry 1 POWELL CHARLES D · CIK 0001172570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,627 F1 · kind: Stock received in lieu of director's fees. F2 · balance_after: Included in this amount are 889 shares in dividend reinvestment. Read SEC document |
| May 31, 2012 Filed Jun 4, 2012 18:54 UTC |
DICKINSON DANIEL MDirector
|
GrantPhantom Stock Units · Derivative | 210 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000293 · edgar.xml · derivative · entry 2 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,642 Underlying: Common · 210 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 May 2012 on the basis of the issuer's common stock price, 143 units at a price of $87.26 and 67 units at a price of $90.81. 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 |
| May 31, 2012 Filed Jun 4, 2012 18:58 UTC |
MAGOWAN PETER ADirector
|
GrantPhantom Stock Units · Derivative | 274 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000295 · edgar.xml · derivative · entry 2 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,278 Underlying: Common · 274 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 May 2012 on the basis of the issuer's common stock price, 143 units at a price of $87.26 and 131 units at a price of $90.81. 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 |
| May 31, 2012 Filed Jun 4, 2012 19:00 UTC |
CALHOUN DAVID LDirector
|
GrantPhantom Stock Units · Derivative | 150 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000297 · edgar.xml · derivative · entry 2 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,566 Underlying: Common · 150 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F3 · price: The units were valued in May 2012 on the basis of the issuer's common stock price, 143 units at a price of $87.26 and 7 units at a price of $90.81. 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 |
| May 31, 2012 Filed Jun 4, 2012 19:03 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 240 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000299 · edgar.xml · derivative · entry 2 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,588 Underlying: Common · 240 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 May 2012 on the basis of the issuer's common stock price, 143 units at a price of $87.26 and 97 units at a price of $90.81. 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.