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 |
|---|---|---|---|---|---|---|
| May 31, 2012 Filed Jun 4, 2012 19:05 UTC |
SCHWAB SUSAN CDirector
|
GrantPhantom Stock Units · Derivative | 145 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000301 · edgar.xml · derivative · entry 2 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 605 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 May 2012 on the basis of the issuer's common stock price, 143 units at a price of $87.26 and 2 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 19:11 UTC |
GOODE DAVID RDirector
|
GrantPhantom Stock Units · Derivative | 425 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000305 · edgar.xml · derivative · entry 3 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,350 Underlying: Common · 425 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, 163 units at a price of $87.26 and 262 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 19:14 UTC |
FIFE EUGENE VDirector
|
GrantCommon | 158 | $87.26 | $13,787.08 |
DisclosureSEC source: 0000018230-12-000307 · edgar.xml · nonDerivative · entry 1 FIFE EUGENE V · CIK 0001029606 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,661 F1 · kind: Stock received in lieu of director's fees. Read SEC document |
| May 31, 2012 Filed Jun 4, 2012 19:58 UTC |
WHITE MILES DDirector
|
GrantPhantom Stock Units · Derivative | 73 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000310 · edgar.xml · derivative · entry 2 WHITE MILES D · CIK 0001239129 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 303 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 May 2012 on the basis of the issuer's common stock price, 72 units at a price of $87.26 and 1 unit 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 20:55 UTC |
LAVIN RICHARD PGroup President
|
GrantPhantom Stock Units · Derivative | 112 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000312 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,710 Underlying: Common · 112 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 |
| May 31, 2012 Filed Jun 4, 2012 20:56 UTC |
Copeland Jananne A.Controller/Chief Acctg Officer
|
GrantPhantom Stock Units · Derivative | 27 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000314 · edgar.xml · derivative · entry 2 Copeland Jananne A. · CIK 0001415606 · Controller/Chief Acctg Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,394 Underlying: Common · 27 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 |
| May 31, 2012 Filed Jun 4, 2012 20:59 UTC |
BUDA JAMES BSr. VP & Chief Legal Officer
|
GrantPhantom Stock Units · Derivative | 45 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000316 · 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: 17,961 Underlying: Common · 45 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 |
| May 31, 2012 Filed Jun 4, 2012 21:00 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
GrantPhantom Stock Units · Derivative | 137 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000318 · 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: 52,706 Underlying: Common · 137 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 |
| May 07, 2012 Filed May 8, 2012 15:32 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
Exercise / conversionEmployee Stock Option · Derivative | 42,000 | $0.00 Strike: $25.36 | $0.00 |
DisclosureSEC source: 0000018230-12-000282 · edgar.xml · derivative · entry 4 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 42,000 shares Expires 2012-06-12 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. (1/3 after one year; 1/3 after two years; 1/3 after three years). Read SEC document |
| May 07, 2012 Filed May 8, 2012 15:32 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
Tax withholdingCommon | 23,796 | $97.62 | $2,322,846.54 |
DisclosureSEC source: 0000018230-12-000282 · edgar.xml · nonDerivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 143,594 F1 · balance_after: This amount includes 29452 shares in 401K and 9256 shares in dividend reinvestment. Read SEC document |
| May 07, 2012 Filed May 8, 2012 15:32 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
Exercise / conversionCommon | 42,000 | $25.36 | $1,065,015.00 |
DisclosureSEC source: 0000018230-12-000282 · 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: 167,390 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 29452 shares in 401K and 9256 shares in dividend reinvestment. Read SEC document |
| May 04, 2012 Filed Jun 4, 2012 19:07 UTC |
OSBORN WILLIAM ADirector
|
GiftCommon | 4,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000303 · edgar.xml · nonDerivative · entry 1 OSBORN WILLIAM A · CIK 0001171797 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,635 F1 · balance_after: This amount includes 225 shares in dividend reinvestment. Read SEC document |
| May 03, 2012 Filed May 3, 2012 21:09 UTC |
FIFE EUGENE VDirector
|
PurchaseCommon | 1,000 | $102.87 | $102,870.00 |
DisclosureSEC source: 0000018230-12-000274 · edgar.xml · nonDerivative · entry 2 FIFE EUGENE V · CIK 0001029606 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Owned by Wife Disclosed balance after: 2,000 Read SEC document |
| May 01, 2012 Filed May 2, 2012 20:12 UTC |
WUNNING STEVEN HGroup President
|
GrantCommon | 2,500 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000257 · edgar.xml · nonDerivative · entry 1 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 81,713 F3 · shares: Represents restricted stock units (RSU) awarded pursuant to the Caterpillar Inc. 2006 Long -Term Incentive Plan. Each RSU represents the right to receive one share of Caterpillar Inc. common stock and vests in thirds beginning 2 years after the initial grant date (1/3 after three years; 1/3 after four years; 1/3 after five years). F1 · balance_after: This amount includes 25152 shares in 401K. Read SEC document |
| May 01, 2012 Filed May 2, 2012 20:17 UTC |
LAVIN RICHARD PGroup President
|
GrantCommon | 1,250 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000259 · edgar.xml · nonDerivative · entry 2 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 79,217 F4 · shares: Represents restricted stock units (RSU) awarded pursuant to the Caterpillar Inc. 2006 Long -Term Incentive Plan. Each RSU represents the right to receive one share of Caterpillar Inc. common stock and vest in thirds beginning 2 years after the initial grant date. (1/3 after three years; 1/3 after four years; 1/3 after five years). F1 · balance_after: This amount includes 243 shares in 401K and 386 shares in dividend reinvestment. Read SEC document |
| May 01, 2012 Filed May 2, 2012 20:17 UTC |
LAVIN RICHARD PGroup President
|
SaleCommon | 2,000 | $102.73 | $205,460.00 |
DisclosureSEC source: 0000018230-12-000259 · edgar.xml · nonDerivative · entry 1 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,967 F1 · balance_after: This amount includes 243 shares in 401K and 386 shares in dividend reinvestment. Read SEC document |
| May 01, 2012 Filed May 3, 2012 14:49 UTC |
RAPP EDWARD JCFO & Group President
|
GrantCommon | 2,500 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000264 · edgar.xml · nonDerivative · entry 1 RAPP EDWARD J · CIK 0001171780 · CFO & Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,714 F1 · shares: Represents restricted stock units (RSU) awarded pursuant to the Caterpillar Inc. 2006 Long -Term Incentive Plan. Each RSU represents the right to receive one share of Caterpillar Inc. common stock and vests in thirds beginning 2 years after the initial grant date (1/3 after three years; 1/3 after four years; 1/3 after five years). F2 · balance_after: This amount includes 2288 shares in 401(k). Read SEC document |
| May 01, 2012 Filed May 3, 2012 15:51 UTC |
LEVENICK STUART LGroup President
|
GrantCommon | 1,250 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000267 · edgar.xml · nonDerivative · entry 1 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 143,228 F1 · shares: Represents restricted stock units (RSU) awarded pursuant to the Caterpillar Inc. 2006 Long -Term Incentive Plan. Each RSU represents the right to receive one share of Caterpillar Inc. common stock and vests in thirds beginning 2 years after the initial grant date (1/3 after three years; 1/3 after four years; 1/3 after five years). Read SEC document |
| May 01, 2012 Filed May 3, 2012 16:19 UTC |
VITTECOQ GERARD RGroup President
|
GrantCommon | 2,500 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000269 · edgar.xml · nonDerivative · entry 1 VITTECOQ GERARD R · CIK 0001171778 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 125,626 F1 · shares: Represents restricted stock units (RSU) awarded pursuant to the Caterpillar Inc. 2006 Long -Term Incentive Plan. Each RSU represents the right to receive one share of Caterpillar Inc. common stock and vests in thirds beginning 2 years after the initial grant date (1/3 after three years; 1/3 after four years; 1/3 after five years). F2 · balance_after: Included in this amount are 42686 shares in EIP and 323 shares in dividend reinvestment. Read SEC document |
| May 01, 2012 Filed May 3, 2012 21:10 UTC |
BUDA JAMES BSr. VP & Chief Legal Officer
|
GrantCommon | 5,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000275 · edgar.xml · nonDerivative · entry 1 BUDA JAMES B · CIK 0001171771 · Sr. VP & Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,496 F1 · shares: Represents restricted stock units (RSU) awarded pursuant to the Caterpillar Inc. 2006 Long -Term Incentive Plan. Each RSU represents the right to receive one share of Caterpillar Inc. common stock and vests in thirds beginning 2 years after the initial grant date (1/3 after three years; 1/3 after four years; 1/3 after five years). F2 · balance_after: This amount includes 127 shares in 401K and 3363 shares in dividend reinvestment. Read SEC document |
| May 01, 2012 Filed May 3, 2012 21:12 UTC |
WUNNING STEVEN HGroup President
|
GrantCommon | 2,500 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000276 · edgar.xml · nonDerivative · entry 1 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 81,770 F1 · shares: Represents restricted stock units (RSU) awarded pursuant to the Caterpillar Inc. 2006 Long -Term Incentive Plan. Each RSU represents the right to receive one share of Caterpillar Inc. common stock and vests in thirds beginning 2 years after the initial grant date (1/3 after three years; 1/3 after four years; 1/3 after five years). F2 · balance_after: This amount includes 25209 shares in 401K. Read SEC document |
| April 30, 2012 Filed May 2, 2012 14:05 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
GrantPhantom Stock Units · Derivative | 117 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000235 · 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: 52,569 Underlying: Common · 117 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 |
| April 30, 2012 Filed May 2, 2012 14:13 UTC |
SCHWAB SUSAN CDirector
|
GrantPhantom Stock Units · Derivative | 121 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000237 · edgar.xml · derivative · entry 2 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 460 Underlying: Common · 121 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 April 2012 on the basis of the issuer's common stock price, 121 units at a price of $103.33. 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 |
| April 30, 2012 Filed May 2, 2012 14:16 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 121 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000239 · edgar.xml · derivative · entry 2 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,348 Underlying: Common · 121 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 April 2012 on the basis of the issuer's common stock price, 121 units at a price of $103.33. 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 |
| April 30, 2012 Filed May 2, 2012 14:20 UTC |
DICKINSON DANIEL MDirector
|
GrantPhantom Stock Units · Derivative | 121 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000241 · edgar.xml · derivative · entry 2 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,432 Underlying: Common · 121 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 April 2012 on the basis of the issuer's common stock price, 121 units at a price of $103.33. 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 |
| April 30, 2012 Filed May 2, 2012 14:23 UTC |
GOODE DAVID RDirector
|
GrantPhantom Stock Units · Derivative | 137 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000243 · edgar.xml · derivative · entry 3 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,925 Underlying: Common · 137 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 April 2012 on the basis of the issuer's common stock price, 137 units at a price of $103.33. 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 |
| April 30, 2012 Filed May 2, 2012 14:36 UTC |
Copeland Jananne A.Controller/Chief Acctg Officer
|
GrantPhantom Stock Units · Derivative | 23 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000245 · edgar.xml · derivative · entry 2 Copeland Jananne A. · CIK 0001415606 · Controller/Chief Acctg Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,367 Underlying: Common · 23 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 |
| April 30, 2012 Filed May 2, 2012 15:33 UTC |
MAGOWAN PETER ADirector
|
GrantPhantom Stock Units · Derivative | 121 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000247 · edgar.xml · derivative · entry 2 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,004 Underlying: Common · 121 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 April 2012 on the basis of the issuer's common stock price, 121 units at a price of $103.33. 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 |
| April 30, 2012 Filed May 2, 2012 15:37 UTC |
FIFE EUGENE VDirector
|
GrantCommon | 133 | $103.33 | $13,742.89 |
DisclosureSEC source: 0000018230-12-000249 · edgar.xml · nonDerivative · entry 1 FIFE EUGENE V · CIK 0001029606 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,503 F1 · kind: Stock received in lieu of director's fees. Read SEC document |
| April 30, 2012 Filed May 2, 2012 15:41 UTC |
WHITE MILES DDirector
|
GrantPhantom Stock Units · Derivative | 61 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000251 · edgar.xml · derivative · entry 2 WHITE MILES D · CIK 0001239129 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 230 Underlying: Common · 61 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 April 2012 on the basis of the issuer's common stock price, 61 units at a price of $103.33. 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 |
| April 30, 2012 Filed May 2, 2012 16:04 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 121 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000253 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,529 Underlying: Common · 121 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 April 2012 on the basis of the issuer's common stock price, 121 units at a price of $103.33. 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 |
| April 30, 2012 Filed May 2, 2012 16:11 UTC |
POWELL CHARLES DDirector
|
GrantCommon | 29 | $103.33 | $2,996.57 |
DisclosureSEC source: 0000018230-12-000255 · edgar.xml · nonDerivative · entry 1 POWELL CHARLES D · CIK 0001172570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,592 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 |
| April 30, 2012 Filed May 2, 2012 20:17 UTC |
LAVIN RICHARD PGroup President
|
GrantPhantom Stock Units · Derivative | 43 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000259 · edgar.xml · derivative · entry 4 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,598 Underlying: Common · 43 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 |
| April 30, 2012 Filed May 2, 2012 21:30 UTC |
CALHOUN DAVID LDirector
|
GrantPhantom Stock Units · Derivative | 121 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000261 · edgar.xml · derivative · entry 2 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,416 Underlying: Common · 121 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 April 2012 on the basis of the issuer's common stock price, 121 units at a price of $103.33 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 |
| April 10, 2012 Filed Apr 10, 2012 20:51 UTC |
POWELL CHARLES DDirector
|
Exercise / conversionEmployee Stock Option · Derivative | 8,000 | $0.00 Strike: $29.43 | $0.00 |
DisclosureSEC source: 0000018230-12-000208 · edgar.xml · derivative · entry 3 POWELL CHARLES D · CIK 0001172570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 8,000 shares Expires 2012-04-10 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: Right to buy with tandem tax withholding rights. F3 · 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 |
| April 10, 2012 Filed Apr 10, 2012 20:51 UTC |
POWELL CHARLES DDirector
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Tax withholdingCommon | 2,961 | $103.54 | $306,581.94 |
DisclosureSEC source: 0000018230-12-000208 · edgar.xml · nonDerivative · entry 2 POWELL CHARLES D · CIK 0001172570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,544 F1 · balance_after: Included in this amount are 870 shares in dividend reinvestment. Read SEC document |
| April 10, 2012 Filed Apr 10, 2012 20:51 UTC |
POWELL CHARLES DDirector
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Exercise / conversionCommon | 8,000 | $29.43 | $235,440.00 |
DisclosureSEC source: 0000018230-12-000208 · edgar.xml · nonDerivative · entry 1 POWELL CHARLES D · CIK 0001172570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,505 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: Included in this amount are 870 shares in dividend reinvestment. Read SEC document |
| April 09, 2012 Filed Apr 10, 2012 20:49 UTC |
GALLARDO JUANDirector
|
Exercise / conversionEmployee Stock Option · Derivative | 8,000 | $0.00 Strike: $29.43 | $0.00 |
DisclosureSEC source: 0000018230-12-000206 · edgar.xml · derivative · entry 3 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 8,000 shares Expires 2012-04-10 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. F3 · security: Right to buy with tandem tax withholding rights. 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 |
| April 09, 2012 Filed Apr 10, 2012 20:49 UTC |
GALLARDO JUANDirector
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Exercise / conversionCommon | 8,000 | $29.43 | $235,440.00 |
DisclosureSEC source: 0000018230-12-000206 · edgar.xml · nonDerivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 239,475 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| April 02, 2012 Filed Apr 3, 2012 21:17 UTC |
LAVIN RICHARD PGroup President
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SaleCommon | 2,000 | $105.80 | $211,600.00 |
DisclosureSEC source: 0000018230-12-000194 · edgar.xml · nonDerivative · entry 1 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,244 F1 · balance_after: This amount includes 243 shares in 401K and 386 shares in dividend reinvestment. Read SEC document |
| April 02, 2012 Filed Apr 4, 2012 20:18 UTC |
RAPP EDWARD JCFO & Group President
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Tax withholdingCommon | 208 | $106.49 | $22,149.92 |
DisclosureSEC source: 0000018230-12-000199 · edgar.xml · nonDerivative · entry 1 RAPP EDWARD J · CIK 0001171780 · CFO & Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,214 F1 · kind: Amount reflects shares surrendered to satisfy tax withholding requirements upon the vesting of restricted stock. F2 · balance_after: This amount includes 2288 shares in 401(k), which, due to an administrative error, was not included in the prior total. Read SEC document |
| April 02, 2012 Filed Apr 4, 2012 20:18 UTC |
LAVIN RICHARD PGroup President
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Tax withholdingCommon | 277 | $106.49 | $29,497.73 |
DisclosureSEC source: 0000018230-12-000200 · edgar.xml · nonDerivative · entry 1 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 79,967 F1 · kind: Amount reflects shares surrendered to satisfy tax withholding requirements upon the vesting of restricted stock. F2 · balance_after: This amount includes 243 shares in 401K and 386 shares in dividend reinvestment. Read SEC document |
| March 30, 2012 Filed Apr 3, 2012 16:27 UTC |
WHITE MILES DDirector
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GrantPhantom Stock Units · Derivative | 59 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000172 · edgar.xml · derivative · entry 2 WHITE MILES D · CIK 0001239129 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 169 Underlying: Common · 59 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 March 2012 on the basis of the issuer's common stock price, 59 units at a price of $106.27. 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 |
| March 30, 2012 Filed Apr 3, 2012 16:29 UTC |
SCHWAB SUSAN CDirector
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GrantPhantom Stock Units · Derivative | 118 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000174 · edgar.xml · derivative · entry 2 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 339 Underlying: Common · 118 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 March 2012 on the basis of the issuer's common stock price, 118 units at a price of $106.27. 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 |
| March 30, 2012 Filed Apr 3, 2012 16:32 UTC |
GALLARDO JUANDirector
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GrantPhantom Stock Units · Derivative | 118 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000176 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,408 Underlying: Common · 118 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 March 2012 on the basis of the issuer's common stock price, 118 units at a price of $106.27. 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 |
| March 30, 2012 Filed Apr 3, 2012 16:34 UTC |
DICKINSON DANIEL MDirector
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GrantPhantom Stock Units · Derivative | 118 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000178 · edgar.xml · derivative · entry 2 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,311 Underlying: Common · 118 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 March 2012 on the basis of the issuer's common stock price, 118 units at a price of $106.27. 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 |
| March 30, 2012 Filed Apr 3, 2012 16:36 UTC |
CALHOUN DAVID LDirector
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GrantPhantom Stock Units · Derivative | 118 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000180 · edgar.xml · derivative · entry 3 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,295 Underlying: Common · 118 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 March 2012 on the basis of the issuer's common stock price, 118 units at a price of $106.27. 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 |
| March 30, 2012 Filed Apr 3, 2012 16:40 UTC |
GOODE DAVID RDirector
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GrantPhantom Stock Units · Derivative | 134 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000182 · edgar.xml · derivative · entry 3 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,788 Underlying: Common · 134 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 March 2012 on the basis of the issuer's common stock price, 134 units at a price of $106.27. 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 |
| March 30, 2012 Filed Apr 3, 2012 16:48 UTC |
MAGOWAN PETER ADirector
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GrantPhantom Stock Units · Derivative | 118 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000184 · edgar.xml · derivative · entry 2 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,883 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. F4 · price: The units were valued in March 2012 on the basis of the issuer's common stock price, 118 units at a price of $106.27. 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 |
| March 30, 2012 Filed Apr 3, 2012 17:44 UTC |
RUST EDWARD B JRDirector
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GrantPhantom Stock Units · Derivative | 118 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000186 · edgar.xml · derivative · entry 2 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,227 Underlying: Common · 118 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 March 2012 on the basis of the issuer's common stock price, 118 units at a price of $106.27. 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.