Last 12 months
Inside the activity.
2 purchase rows · 91 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 1 | 16 |
| Dec 2025 | 0 | 14 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 21 |
| Mar 2026 | 0 | 5 |
| Apr 2026 | 0 | 0 |
| May 2026 | 1 | 21 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 14 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| January 17, 2012 Filed Jan 19, 2012 21:14 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
Tax withholdingCommon | 22,331 | $104.06 | $2,323,763.86 |
DisclosureSEC source: 0000018230-12-000028 · 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: 100,818 F1 · balance_after: This amount includes 28,722 shares in 401K and 7748 shares in dividend reinvestment. Read SEC document |
| January 17, 2012 Filed Jan 19, 2012 21:14 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
Exercise / conversionCommon | 40,000 | $25.36 | $1,014,300.00 |
DisclosureSEC source: 0000018230-12-000028 · 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: 123,149 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 28,722 shares in 401K and 7748 shares in dividend reinvestment. Read SEC document |
| December 30, 2011 Filed Jan 3, 2012 17:15 UTC |
BUDA JAMES BSr. VP & Chief Legal Officer
|
GrantPhantom Stock Units · Derivative | 53 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000002 · 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: 16,761 Underlying: Common · 53 shares Expires not disclosed F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F4 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F4 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| December 30, 2011 Filed Jan 3, 2012 17:17 UTC |
Copeland Jananne A.Controller/Chief Acctg Officer
|
GrantPhantom Stock Units · Derivative | 24 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000004 · edgar.xml · derivative · entry 2 Copeland Jananne A. · CIK 0001415606 · Controller/Chief Acctg Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,302 Underlying: Common · 24 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled 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 upon the reporting person's retirement or separation from service. Read SEC document |
| December 30, 2011 Filed Jan 3, 2012 17:19 UTC |
LAVIN RICHARD PGroup President
|
GrantPhantom Stock Units · Derivative | 104 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000006 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,038 Underlying: Common · 104 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled 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 upon the reporting person's retirement or separation from service. Read SEC document |
| December 30, 2011 Filed Jan 3, 2012 21:11 UTC |
FIFE EUGENE VDirector
|
GrantCommon | 151 | $90.91 | $13,726.66 |
DisclosureSEC source: 0000018230-12-000010 · edgar.xml · nonDerivative · entry 1 FIFE EUGENE V · CIK 0001029606 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,087 F1 · kind: Stock received in lieu of director's fees. Read SEC document |
| December 30, 2011 Filed Jan 3, 2012 21:14 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 138 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000012 · edgar.xml · derivative · entry 2 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,812 Underlying: Common · 138 shares Expires not disclosed F1 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. 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. The stock was acquired in December 2011 at a price of $90.905 per share. 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. The stock was acquired in December 2011 at a price of $90.905 per share. Read SEC document |
| December 30, 2011 Filed Jan 3, 2012 21:16 UTC |
MAGOWAN PETER ADirector
|
GrantPhantom Stock Units · Derivative | 137 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000014 · edgar.xml · derivative · entry 2 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,441 Underlying: Common · 137 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. 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. The stock was acquired in December 2011 at a price of $90.905 per share. 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. The stock was acquired in December 2011 at a price of $90.905 per share. Read SEC document |
| December 30, 2011 Filed Jan 3, 2012 21:21 UTC |
GOODE DAVID RDirector
|
GrantPhantom Stock Units · Derivative | 156 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000016 · edgar.xml · derivative · entry 3 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,199 Underlying: Common · 156 shares Expires not disclosed F1 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. 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. The stock was acquired in December 2011 at a price of $90.905 per share. 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. The stock was acquired in December 2011 at a price of $90.905 per share. Read SEC document |
| December 30, 2011 Filed Jan 3, 2012 21:23 UTC |
DICKINSON DANIEL MDirector
|
GrantPhantom Stock Units · Derivative | 137 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000018 · edgar.xml · derivative · entry 2 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,919 Underlying: Common · 137 shares Expires not disclosed F1 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. 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. The stock was acquired in December 2011 at a price of $90.905 per share. 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. The stock was acquired in December 2011 at a price of $90.905 per share. Read SEC document |
| December 30, 2011 Filed Jan 3, 2012 21:27 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 138 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000020 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,013 Underlying: Common · 138 shares Expires not disclosed F1 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. 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. The stock was acquired in December 2011 at a price of $90.905 per share. 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. The stock was acquired in December 2011 at a price of $90.905 per share. Read SEC document |
| December 30, 2011 Filed Jan 3, 2012 21:28 UTC |
SCHWAB SUSAN CDirector
|
GrantCommon | 138 | $90.91 | $12,544.89 |
DisclosureSEC source: 0000018230-12-000022 · edgar.xml · nonDerivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,758 F1 · kind: Stock received in lieu of director's fees. Read SEC document |
| December 30, 2011 Filed Jan 3, 2012 21:32 UTC |
POWELL CHARLES DDirector
|
GrantCommon | 33 | $90.91 | $2,999.87 |
DisclosureSEC source: 0000018230-12-000024 · edgar.xml · nonDerivative · entry 1 POWELL CHARLES D · CIK 0001172570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,574 F1 · kind: Stock received in lieu of director's fees. F2 · balance_after: Included in this amount are 813 shares in dividend reinvestment. Read SEC document |
| December 30, 2011 Filed Jan 3, 2012 21:37 UTC |
CALHOUN DAVID LDirector
|
GrantPhantom Stock Units · Derivative | 137 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000026 · edgar.xml · derivative · entry 3 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 951 Underlying: Common · 137 shares Expires not disclosed F1 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. 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. The stock was acquired in December 2011 at a price of $90.905 per share. 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. The stock was acquired in December 2011 at a price of $90.905 per share. Read SEC document |
| December 23, 2011 Filed Dec 27, 2011 19:53 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
GiftCommon | 545 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000554 · 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: 83,149 F1 · balance_after: This amount includes 28,722 shares in 401K and 7748 shares in dividend reinvestment. Read SEC document |
| December 22, 2011 Filed Dec 23, 2011 16:41 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
GiftCommon | 11,729 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000552 · 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: 83,694 F1 · balance_after: This amount includes 28,722 shares in 401K and 7748 shares in dividend reinvestment. Read SEC document |
| November 30, 2011 Filed Dec 1, 2011 19:44 UTC |
Copeland Jananne A.Controller/Chief Acctg Officer
|
GrantPhantom Stock Units · Derivative | 22 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000522 · edgar.xml · derivative · entry 2 Copeland Jananne A. · CIK 0001415606 · Controller/Chief Acctg Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,278 Underlying: Common · 22 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled 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 upon the reporting person's retirement or separation from service. Read SEC document |
| November 30, 2011 Filed Dec 1, 2011 19:46 UTC |
LAVIN RICHARD PGroup President
|
GrantPhantom Stock Units · Derivative | 96 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000524 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,934 Underlying: Common · 96 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled 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 upon the reporting person's retirement or separation from service. Read SEC document |
| November 30, 2011 Filed Dec 2, 2011 20:05 UTC |
FIFE EUGENE VDirector
|
GrantPhantom Stock Units · Derivative | 142 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000526 · edgar.xml · derivative · entry 3 FIFE EUGENE V · CIK 0001029606 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 142 Underlying: Common · 142 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. 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. The stock was acquired November 2011, 142 at a price of $96.435 per share. 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. The stock was acquired November 2011, 142 at a price of $96.435 per share. Read SEC document |
| November 30, 2011 Filed Dec 2, 2011 20:08 UTC |
SCHWAB SUSAN CDirector
|
GrantCommon | 129 | $96.44 | $12,440.12 |
DisclosureSEC source: 0000018230-11-000528 · edgar.xml · nonDerivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,620 F1 · kind: Stock received in lieu of director's fees. Read SEC document |
| November 30, 2011 Filed Dec 2, 2011 20:11 UTC |
POWELL CHARLES DDirector
|
GrantCommon | 31 | $96.44 | $2,989.49 |
DisclosureSEC source: 0000018230-11-000530 · edgar.xml · nonDerivative · entry 1 POWELL CHARLES D · CIK 0001172570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,541 F1 · kind: Stock received in lieu of director's fees. F2 · balance_after: Included in this amount are 813 shares in dividend reinvestment. Read SEC document |
| November 30, 2011 Filed Dec 2, 2011 20:14 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 198 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000532 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,875 Underlying: Common · 198 shares Expires not disclosed F1 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. 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. The stock was acquired in November 2011, 129 at a price of $96.435 per share and 69 at $90.79 per share. 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. The stock was acquired in November 2011, 129 at a price of $96.435 per share and 69 at $90.79 per share. Read SEC document |
| November 30, 2011 Filed Dec 2, 2011 20:16 UTC |
CALHOUN DAVID LDirector
|
GrantPhantom Stock Units · Derivative | 133 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000534 · edgar.xml · derivative · entry 3 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 814 Underlying: Common · 133 shares Expires not disclosed F1 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. 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. The stock was acquired in November 2011, 130 at a price of $96.435 per share and 3 at $90.79 per share. 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. The stock was acquired in November 2011, 130 at a price of $96.435 per share and 3 at $90.79 per share. Read SEC document |
| November 30, 2011 Filed Dec 2, 2011 20:18 UTC |
GOODE DAVID RDirector
|
GrantPhantom Stock Units · Derivative | 403 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000536 · edgar.xml · derivative · entry 3 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,043 Underlying: Common · 403 shares Expires not disclosed F1 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. 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. The stock was acquired in November 2011, 147 at a price of $96.435 per share and 256 at a price of $90.79 per share. 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. The stock was acquired in November 2011, 147 at a price of $96.435 per share and 256 at a price of $90.79 per share. Read SEC document |
| November 30, 2011 Filed Dec 2, 2011 20:20 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 222 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000538 · edgar.xml · derivative · entry 2 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,674 Underlying: Common · 222 shares Expires not disclosed F1 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. 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. The stock was acquired in November 2011, 129 at a price of $96.435 per share and 93 at a price of $90.79 per share. 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. The stock was acquired in November 2011, 129 at a price of $96.435 per share and 93 at a price of $90.79 per share. Read SEC document |
| November 30, 2011 Filed Dec 2, 2011 20:22 UTC |
DICKINSON DANIEL MDirector
|
GrantPhantom Stock Units · Derivative | 193 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000540 · edgar.xml · derivative · entry 2 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,782 Underlying: Common · 193 shares Expires not disclosed F1 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. 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. The stock was acquired in November 2011, 130 at a price of $96.435 per share and 63 at $90.79 per share. 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. The stock was acquired in November 2011, 130 at a price of $96.435 per share and 63 at $90.79 per share. Read SEC document |
| November 30, 2011 Filed Dec 2, 2011 20:24 UTC |
MAGOWAN PETER ADirector
|
GrantPhantom Stock Units · Derivative | 256 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000542 · edgar.xml · derivative · entry 2 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,304 Underlying: Common · 256 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. 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. The stock was acquired in November 2011, 130 at a price of $96.435 per share and 126 at $90.79 per share. 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. The stock was acquired in November 2011, 130 at a price of $96.435 per share and 126 at $90.79 per share. Read SEC document |
| November 30, 2011 Filed Dec 2, 2011 20:54 UTC |
BUDA JAMES BSr. VP & Chief Legal Officer
|
GrantPhantom Stock Units · Derivative | 180 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000544 · 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: 16,708 Underlying: Common · 180 shares Expires not disclosed F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F4 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F4 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| November 30, 2011 Filed Jan 3, 2012 20:57 UTC Amendment |
FIFE EUGENE VDirector
|
GrantCommon | 142 | $96.44 | $13,693.77 |
DisclosureSEC source: 0000018230-12-000008 · edgar.xml · nonDerivative · entry 1 FIFE EUGENE V · CIK 0001029606 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,936 F1 · date: Original was filed as Deferred Compensation. F2 · kind: Stock received in lieu of director's fees. Read SEC document |
| October 31, 2011 Filed Nov 2, 2011 20:02 UTC |
GOODE DAVID RDirector
|
GrantPhantom Stock Units · Derivative | 149 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000497 · edgar.xml · derivative · entry 3 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,640 Underlying: Common · 149 shares Expires not disclosed F1 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. 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. The stock was acquired in October 2011 at a price of $94.74 per share. 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. The stock was acquired in October 2011 at a price of $94.74 per share. Read SEC document |
| October 31, 2011 Filed Nov 2, 2011 20:04 UTC |
Copeland Jananne A.Controller/Chief Acctg Officer
|
GrantPhantom Stock Units · Derivative | 23 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000498 · edgar.xml · derivative · entry 2 Copeland Jananne A. · CIK 0001415606 · Controller/Chief Acctg Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,256 Underlying: Common · 23 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled 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 upon the reporting person's retirement or separation from service. Read SEC document |
| October 31, 2011 Filed Nov 2, 2011 20:11 UTC |
DICKINSON DANIEL MDirector
|
GrantPhantom Stock Units · Derivative | 132 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000500 · edgar.xml · derivative · entry 2 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,589 Underlying: Common · 132 shares Expires not disclosed F1 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. 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. The stock was acquired in October 2011at a price of $94.74 per share. 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. The stock was acquired in October 2011at a price of $94.74 per share. Read SEC document |
| October 31, 2011 Filed Nov 2, 2011 20:14 UTC |
MAGOWAN PETER ADirector
|
GrantPhantom Stock Units · Derivative | 132 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000502 · edgar.xml · derivative · entry 2 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,048 Underlying: Common · 132 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. 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. The stock was acquired in October 2011 at a price of $94.74 per share. 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. The stock was acquired in October 2011 at a price of $94.74 per share. Read SEC document |
| October 31, 2011 Filed Nov 2, 2011 20:17 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 131 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000504 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,677 Underlying: Common · 131 shares Expires not disclosed F1 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. 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. The stock was acquired in October 2011 at a price of $94.74 per share. 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. The stock was acquired in October 2011 at a price of $94.74 per share. Read SEC document |
| October 31, 2011 Filed Nov 2, 2011 20:18 UTC |
CALHOUN DAVID LDirector
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GrantPhantom Stock Units · Derivative | 131 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000506 · edgar.xml · derivative · entry 3 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 681 Underlying: Common · 131 shares Expires not disclosed F1 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. 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. The stock was acquired in October 2011 at a price of $94.74 per share. 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. The stock was acquired in October 2011 at a price of $94.74 per share. Read SEC document |
| October 31, 2011 Filed Nov 2, 2011 20:20 UTC |
POWELL CHARLES DDirector
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GrantCommon | 32 | $94.74 | $3,031.68 |
DisclosureSEC source: 0000018230-11-000508 · edgar.xml · nonDerivative · entry 1 POWELL CHARLES D · CIK 0001172570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,510 F1 · kind: Stock received in lieu of director's fees. F2 · balance_after: Included in this amount are 813 shares in dividend reinvestment. Read SEC document |
| October 31, 2011 Filed Nov 2, 2011 20:23 UTC |
SCHWAB SUSAN CDirector
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GrantCommon | 132 | $94.74 | $12,505.68 |
DisclosureSEC source: 0000018230-11-000510 · edgar.xml · nonDerivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,491 F1 · kind: Stock received in lieu of director's fees. Read SEC document |
| October 31, 2011 Filed Nov 2, 2011 20:24 UTC |
RUST EDWARD B JRDirector
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GrantPhantom Stock Units · Derivative | 132 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000512 · edgar.xml · derivative · entry 2 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,452 Underlying: Common · 132 shares Expires not disclosed F1 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. 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. The stock was acquired in October 2011 at a price of $94.74 per share. 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. The stock was acquired in October 2011 at a price of $94.74 per share. Read SEC document |
| October 31, 2011 Filed Nov 2, 2011 20:26 UTC |
LAVIN RICHARD PGroup President
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GrantPhantom Stock Units · Derivative | 99 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000513 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,838 Underlying: Common · 99 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled 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 upon the reporting person's retirement or separation from service. Read SEC document |
| October 31, 2011 Filed Nov 2, 2011 21:10 UTC |
BUDA JAMES BSr. VP & Chief Legal Officer
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GrantPhantom Stock Units · Derivative | 217 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000515 · 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: 16,528 Underlying: Common · 217 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| October 28, 2011 Filed Oct 31, 2011 19:50 UTC |
OSBORN WILLIAM ADirector
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GiftCommon | 3,400 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000489 · edgar.xml · nonDerivative · entry 1 OSBORN WILLIAM A · CIK 0001171797 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,951 F1 · balance_after: This amount includes 225 shares in dividend reinvestment. Read SEC document |
| October 28, 2011 Filed Oct 31, 2011 21:02 UTC |
FIFE EUGENE VDirector
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Exercise / conversionEmployee Stock Option · Derivative | 7,000 | $0.00 Strike: $66.77 | $0.00 |
DisclosureSEC source: 0000018230-11-000493 · edgar.xml · derivative · entry 7 FIFE EUGENE V · CIK 0001029606 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 7,000 shares Expires 2016-06-14 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: The stock appreciation rights vest on June 14, 2009. Read SEC document |
| October 28, 2011 Filed Oct 31, 2011 21:02 UTC |
FIFE EUGENE VDirector
|
Exercise / conversionEmployee Stock Option · Derivative | 5,833 | $0.00 Strike: $63.04 | $0.00 |
DisclosureSEC source: 0000018230-11-000493 · edgar.xml · derivative · entry 6 FIFE EUGENE V · CIK 0001029606 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 5,833 shares Expires 2017-03-02 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: Right to buy with tandem tax withholding rights. F4 · derivative.exercise_date: The stock appreciation rights vest on March 2, 2010. Read SEC document |
| October 28, 2011 Filed Oct 31, 2011 21:02 UTC |
FIFE EUGENE VDirector
|
Disposition to issuerCommon | 4,827 | $96.81 | $467,277.74 |
DisclosureSEC source: 0000018230-11-000493 · edgar.xml · nonDerivative · entry 4 FIFE EUGENE V · CIK 0001029606 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,794 Read SEC document |
| October 28, 2011 Filed Oct 31, 2011 21:02 UTC |
FIFE EUGENE VDirector
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Exercise / conversionCommon | 7,000 | $66.77 | $467,355.00 |
DisclosureSEC source: 0000018230-11-000493 · edgar.xml · nonDerivative · entry 3 FIFE EUGENE V · CIK 0001029606 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,621 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 |
| October 28, 2011 Filed Oct 31, 2011 21:02 UTC |
FIFE EUGENE VDirector
|
Disposition to issuerCommon | 3,798 | $96.81 | $367,665.39 |
DisclosureSEC source: 0000018230-11-000493 · edgar.xml · nonDerivative · entry 2 FIFE EUGENE V · CIK 0001029606 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,621 Read SEC document |
| October 28, 2011 Filed Oct 31, 2011 21:02 UTC |
FIFE EUGENE VDirector
|
Exercise / conversionCommon | 5,833 | $63.04 | $367,712.32 |
DisclosureSEC source: 0000018230-11-000493 · edgar.xml · nonDerivative · entry 1 FIFE EUGENE V · CIK 0001029606 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,419 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 |
| October 27, 2011 Filed Oct 31, 2011 20:33 UTC |
LEVENICK STUART LGroup President
|
GiftCommon | 1,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000490 · edgar.xml · nonDerivative · entry 1 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 142,605 F1 · balance_after: This amount includes 4468 shares in 401K. Read SEC document |
| October 27, 2011 Filed Oct 31, 2011 20:52 UTC |
GOODE DAVID RDirector
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Exercise / conversionEmployee Stock Option · Derivative | 8,000 | $0.00 Strike: $29.43 | $0.00 |
DisclosureSEC source: 0000018230-11-000491 · edgar.xml · derivative · entry 7 GOODE DAVID R · CIK 0001171794 · 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. F1 · security: Right to buy with tandem tax withholding rights. F2 · derivative.exercise_date: Exercisable in thirds - 1/3 after one year; 1/3 after two years; 1/3 after three years. Read SEC document |
| October 27, 2011 Filed Oct 31, 2011 20:52 UTC |
GOODE DAVID RDirector
|
Exercise / conversionEmployee Stock Option · Derivative | 8,000 | $0.00 Strike: $26.03 | $0.00 |
DisclosureSEC source: 0000018230-11-000491 · edgar.xml · derivative · entry 6 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 8,000 shares Expires 2013-04-09 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: Right to buy with tandem tax withholding rights. F2 · derivative.exercise_date: Exercisable in thirds - 1/3 after one year; 1/3 after two years; 1/3 after three years. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.