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 |
|---|---|---|---|---|---|---|
| October 27, 2011 Filed Oct 31, 2011 20:52 UTC |
GOODE DAVID RDirector
|
Tax withholdingCommon | 2,448 | $96.17 | $235,424.16 |
DisclosureSEC source: 0000018230-11-000491 · edgar.xml · nonDerivative · entry 4 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,024 Read SEC document |
| October 27, 2011 Filed Oct 31, 2011 20:52 UTC |
GOODE DAVID RDirector
|
Exercise / conversionCommon | 8,000 | $29.43 | $235,460.00 |
DisclosureSEC source: 0000018230-11-000491 · edgar.xml · nonDerivative · entry 3 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,472 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 20:52 UTC |
GOODE DAVID RDirector
|
Tax withholdingCommon | 2,165 | $96.17 | $208,208.05 |
DisclosureSEC source: 0000018230-11-000491 · edgar.xml · nonDerivative · entry 2 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,472 Read SEC document |
| October 27, 2011 Filed Oct 31, 2011 20:52 UTC |
GOODE DAVID RDirector
|
Exercise / conversionCommon | 8,000 | $26.03 | $208,240.00 |
DisclosureSEC source: 0000018230-11-000491 · edgar.xml · nonDerivative · entry 1 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,637 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 Nov 15, 2011 21:17 UTC |
RAPP EDWARD JCFO & Group President
|
GiftCommon | 1,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000518 · edgar.xml · nonDerivative · entry 1 RAPP EDWARD J · CIK 0001171780 · CFO & Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,293 F1 · balance_after: This amount includes 2283 shares in 401K. F2 · balance_after: Includes 11,672 shares previously owned indirectly through Caterpillar's 401(k) plan. Read SEC document |
| September 30, 2011 Filed Oct 3, 2011 18:46 UTC |
DICKINSON DANIEL MDirector
|
GrantPhantom Stock Units · Derivative | 167 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000461 · edgar.xml · derivative · entry 2 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,457 Underlying: Common · 167 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 September 2011at a price of $74.56 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 September 2011at a price of $74.56 per share. Read SEC document |
| September 30, 2011 Filed Oct 3, 2011 18:54 UTC |
CALHOUN DAVID LDirector
|
GrantPhantom Stock Units · Derivative | 168 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000463 · edgar.xml · derivative · entry 3 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 550 Underlying: Common · 168 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 September 2011 at a price of $74.56 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 September 2011 at a price of $74.56 per share. Read SEC document |
| September 30, 2011 Filed Oct 3, 2011 18:59 UTC |
GOODE DAVID RDirector
|
GrantPhantom Stock Units · Derivative | 190 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000465 · edgar.xml · derivative · entry 3 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,491 Underlying: Common · 190 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 September 2011 at a price of $74.56 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 September 2011 at a price of $74.56 per share. Read SEC document |
| September 30, 2011 Filed Oct 3, 2011 19:04 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 168 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000467 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,545 Underlying: Common · 168 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 September 2011 at a price of $74.56 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 September 2011 at a price of $74.56 per share. Read SEC document |
| September 30, 2011 Filed Oct 3, 2011 19:11 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 168 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000469 · edgar.xml · derivative · entry 2 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,320 Underlying: Common · 168 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 September 2011 at a price of $74.56 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 September 2011 at a price of $74.56 per share. Read SEC document |
| September 30, 2011 Filed Oct 3, 2011 19:49 UTC |
Copeland Jananne A.Controller/Chief Acctg Officer
|
GrantPhantom Stock Units · Derivative | 30 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000471 · edgar.xml · derivative · entry 2 Copeland Jananne A. · CIK 0001415606 · Controller/Chief Acctg Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,233 Underlying: Common · 30 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 |
| September 30, 2011 Filed Oct 3, 2011 20:39 UTC |
MAGOWAN PETER ADirector
|
GrantPhantom Stock Units · Derivative | 168 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000473 · edgar.xml · derivative · entry 2 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,916 Underlying: Common · 168 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 September 2011 at a price of $74.56 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 September 2011 at a price of $74.56 per share. Read SEC document |
| September 30, 2011 Filed Oct 3, 2011 20:44 UTC |
SCHWAB SUSAN CDirector
|
GrantCommon | 168 | $74.56 | $12,526.08 |
DisclosureSEC source: 0000018230-11-000475 · edgar.xml · nonDerivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,359 F1 · kind: Stock received in lieu of director's fees. Read SEC document |
| September 30, 2011 Filed Oct 4, 2011 13:34 UTC |
POWELL CHARLES DDirector
|
GrantCommon | 41 | $74.56 | $3,056.96 |
DisclosureSEC source: 0000018230-11-000477 · edgar.xml · nonDerivative · entry 1 POWELL CHARLES D · CIK 0001172570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,478 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 |
| September 30, 2011 Filed Oct 4, 2011 19:01 UTC |
LAVIN RICHARD PGroup President
|
GrantPhantom Stock Units · Derivative | 127 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000479 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,739 Underlying: Common · 127 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 |
| September 01, 2011 Filed Sep 9, 2011 19:33 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
GiftCommon | 120 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000445 · 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: 95,423 F1 · balance_after: This amount includes 28,722 shares in 401K and 7748 shares in dividend reinvestment. Read SEC document |
| August 31, 2011 Filed Sep 1, 2011 19:46 UTC |
LAVIN RICHARD PGroup President
|
GrantPhantom Stock Units · Derivative | 103 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000425 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,612 Underlying: Common · 103 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 |
| August 31, 2011 Filed Sep 1, 2011 19:49 UTC |
DICKINSON DANIEL MDirector
|
GrantPhantom Stock Units · Derivative | 204 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000427 · edgar.xml · derivative · entry 2 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,290 Underlying: Common · 204 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 August 2011, 68 shares at a price of $81.30 per share and 136 at a price of $91.86 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 August 2011, 68 shares at a price of $81.30 per share and 136 at a price of $91.86 per share. Read SEC document |
| August 31, 2011 Filed Sep 1, 2011 19:52 UTC |
Copeland Jananne A.Controller/Chief Acctg Officer
|
GrantPhantom Stock Units · Derivative | 24 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000429 · edgar.xml · derivative · entry 2 Copeland Jananne A. · CIK 0001415606 · Controller/Chief Acctg Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,203 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 |
| August 31, 2011 Filed Sep 1, 2011 19:55 UTC |
SCHWAB SUSAN CDirector
|
GrantCommon | 136 | $91.86 | $12,492.96 |
DisclosureSEC source: 0000018230-11-000431 · edgar.xml · nonDerivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,191 F1 · kind: Stock received in lieu of director's fees. Read SEC document |
| August 31, 2011 Filed Sep 1, 2011 20:02 UTC |
POWELL CHARLES DDirector
|
GrantCommon | 33 | $91.86 | $3,031.38 |
DisclosureSEC source: 0000018230-11-000433 · edgar.xml · nonDerivative · entry 1 POWELL CHARLES D · CIK 0001172570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,387 F1 · kind: Stock received in lieu of director's fees. F2 · balance_after: Included in this amount are 763 shares in dividend reinvestment. Read SEC document |
| August 31, 2011 Filed Sep 1, 2011 20:05 UTC |
GOODE DAVID RDirector
|
GrantPhantom Stock Units · Derivative | 436 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000435 · edgar.xml · derivative · entry 3 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,301 Underlying: Common · 436 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 August 2011, 282 at a price of $81.30 per share and 154 at a price of $91.86 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 August 2011, 282 at a price of $81.30 per share and 154 at a price of $91.86 per share. Read SEC document |
| August 31, 2011 Filed Sep 1, 2011 20:07 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 210 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000437 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,377 Underlying: Common · 210 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 August 2011, 74 at a price of $81.30 per share and 136 at a price of $91.86 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 August 2011, 74 at a price of $81.30 per share and 136 at a price of $91.86 per share. Read SEC document |
| August 31, 2011 Filed Sep 1, 2011 20:10 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 237 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000439 · edgar.xml · derivative · entry 2 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,152 Underlying: Common · 237 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 August 2011, 100 at a price of $81.30 per share and 137 at a price of $91.86 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 August 2011, 100 at a price of $81.30 per share and 137 at a price of $91.86 per share. Read SEC document |
| August 31, 2011 Filed Sep 1, 2011 20:18 UTC |
MAGOWAN PETER ADirector
|
GrantPhantom Stock Units · Derivative | 273 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000441 · edgar.xml · derivative · entry 2 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,748 Underlying: Common · 273 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 August 2011, 137 at a price of $81.30 per share and 136 at a price of $91.86 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 August 2011, 137 at a price of $81.30 per share and 136 at a price of $91.86 per share. Read SEC document |
| August 31, 2011 Filed Sep 1, 2011 20:25 UTC |
CALHOUN DAVID LDirector
|
GrantPhantom Stock Units · Derivative | 137 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000443 · edgar.xml · derivative · entry 3 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 382 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 August 2011, 1 at a price of $81.30 per share and 136 at a price of $91.86 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 August 2011, 1 at a price of $81.30 per share and 136 at a price of $91.86 per share. Read SEC document |
| August 09, 2011 Filed Aug 9, 2011 20:17 UTC |
VITTECOQ GERARD RGroup President
|
GiftEmployee Stock Option · Derivative | 54,000 | $0.00 Strike: $27.14 | $0.00 |
DisclosureSEC source: 0000018230-11-000417 · edgar.xml · derivative · entry 3 VITTECOQ GERARD R · CIK 0001171778 · Group President 10b5-1 filing: Not disclosed Ownership: Indirect · By daughter Disclosed balance after: 54,000 Underlying: Common · 54,000 shares Expires 2013-06-10 F2 · security: Right to buy with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after one year; 1/3 after two years; 1/3 after three years. F4 · ownership.direct: The reporting person transferred the reported option to his daughter. Read SEC document |
| August 09, 2011 Filed Aug 9, 2011 20:17 UTC |
VITTECOQ GERARD RGroup President
|
GiftEmployee Stock Option · Derivative | 54,000 | $0.00 Strike: $27.14 | $0.00 |
DisclosureSEC source: 0000018230-11-000417 · edgar.xml · derivative · entry 2 VITTECOQ GERARD R · CIK 0001171778 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 54,000 shares Expires 2013-06-10 F2 · security: Right to buy with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after one year; 1/3 after two years; 1/3 after three years. F4 · ownership.direct: The reporting person transferred the reported option to his daughter. Read SEC document |
| August 05, 2011 Filed Aug 8, 2011 19:02 UTC |
GREENE JESSE J JRDirector
|
PurchaseCommon | 1,000 | $90.84 | $90,841.50 |
DisclosureSEC source: 0000018230-11-000413 · edgar.xml · nonDerivative · entry 1 GREENE JESSE J JR · CIK 0001111353 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,980 Read SEC document |
| August 05, 2011 Filed Aug 8, 2011 19:04 UTC |
VITTECOQ GERARD RGroup President
|
GiftEmployee Stock Option · Derivative | 54,000 | $0.00 Strike: $25.36 | $0.00 |
DisclosureSEC source: 0000018230-11-000415 · edgar.xml · derivative · entry 3 VITTECOQ GERARD R · CIK 0001171778 · Group President 10b5-1 filing: Not disclosed Ownership: Indirect · By daughter Disclosed balance after: 54,000 Underlying: Common · 54,000 shares Expires 2012-06-11 F2 · security: Right to buy with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after one year; 1/3 after two years; 1/3 after three years. F4 · ownership.direct: The reporting person transferred the reported option to his daughter. Read SEC document |
| August 05, 2011 Filed Aug 8, 2011 19:04 UTC |
VITTECOQ GERARD RGroup President
|
GiftEmployee Stock Option · Derivative | 54,000 | $0.00 Strike: $25.36 | $0.00 |
DisclosureSEC source: 0000018230-11-000415 · edgar.xml · derivative · entry 2 VITTECOQ GERARD R · CIK 0001171778 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 54,000 shares Expires 2012-06-11 F2 · security: Right to buy with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after one year; 1/3 after two years; 1/3 after three years. F4 · ownership.direct: The reporting person transferred the reported option to his daughter. Read SEC document |
| July 29, 2011 Filed Aug 1, 2011 19:20 UTC |
SCHWAB SUSAN CDirector
|
GrantCommon | 127 | $98.62 | $12,524.74 |
DisclosureSEC source: 0000018230-11-000388 · edgar.xml · nonDerivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,055 F1 · kind: Stock received in lieu of director's fees. Read SEC document |
| July 29, 2011 Filed Aug 1, 2011 19:16 UTC |
POWELL CHARLES DDirector
|
GrantCommon | 30 | $98.62 | $2,958.60 |
DisclosureSEC source: 0000018230-11-000386 · edgar.xml · nonDerivative · entry 1 POWELL CHARLES D · CIK 0001172570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,354 F2 · kind: Stock received in lieu of director's fees. F1 · balance_after: Included in this amount are 763 shares in dividend reinvestment. Read SEC document |
| July 29, 2011 Filed Aug 1, 2011 20:45 UTC |
MAGOWAN PETER ADirector
|
GrantPhantom Stock Units · Derivative | 127 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000393 · edgar.xml · derivative · entry 2 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,475 Underlying: Common · 127 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 July 2011 at a price of $98.62 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 July 2011 at a price of $98.62 per share. Read SEC document |
| July 29, 2011 Filed Aug 1, 2011 19:32 UTC |
LAVIN RICHARD PGroup President
|
GrantPhantom Stock Units · Derivative | 192 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000391 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,509 Underlying: Common · 192 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 |
| July 29, 2011 Filed Aug 1, 2011 20:49 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 126 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000395 · edgar.xml · derivative · entry 2 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,915 Underlying: Common · 126 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 July 2011 at a price of $98.62. 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 July 2011 at a price of $98.62. Read SEC document |
| July 29, 2011 Filed Aug 1, 2011 20:56 UTC |
DICKINSON DANIEL MDirector
|
GrantPhantom Stock Units · Derivative | 127 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000400 · edgar.xml · derivative · entry 2 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,086 Underlying: Common · 127 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 July 2011 at a price of $98.62 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 July 2011 at a price of $98.62 per share. Read SEC document |
| July 29, 2011 Filed Aug 1, 2011 21:02 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 126 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000402 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,167 Underlying: Common · 126 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 July 2011 at a price of $98.62 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 July 2011 at a price of $98.62 per share. Read SEC document |
| July 29, 2011 Filed Aug 1, 2011 21:04 UTC |
GOODE DAVID RDirector
|
GrantPhantom Stock Units · Derivative | 143 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000404 · edgar.xml · derivative · entry 3 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,865 Underlying: Common · 143 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 July 2011 at a price of $98.62 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 July 2011 at a price of $98.62 per share. Read SEC document |
| July 29, 2011 Filed Aug 2, 2011 13:41 UTC |
CALHOUN DAVID LDirector
|
GrantPhantom Stock Units · Derivative | 127 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000407 · edgar.xml · derivative · entry 3 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 245 Underlying: Common · 127 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 July 2011 at a price of $98.62 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 July 2011 at a price of $98.62 per share. Read SEC document |
| July 29, 2011 Filed Aug 2, 2011 14:13 UTC |
Copeland Jananne A.Controller/Chief Acctg Officer
|
GrantPhantom Stock Units · Derivative | 29 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000409 · edgar.xml · derivative · entry 2 Copeland Jananne A. · CIK 0001415606 · Controller/Chief Acctg Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,179 Underlying: Common · 29 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 |
| July 29, 2011 Filed Aug 2, 2011 20:53 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
GrantPhantom Stock Units · Derivative | 292 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000411 · 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: 44,230 Underlying: Common · 292 shares Expires not disclosed F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F4 · 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. F4 · 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 |
| July 29, 2011 Filed Aug 2, 2011 20:53 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
SaleCommon | 9,000 | $99.64 | $896,760.00 |
DisclosureSEC source: 0000018230-11-000411 · 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: 95,543 F1 · price: Consideration for shares consisted of equity interest in a privately-held limited liability company. F2 · balance_after: This amount includes 28,722 shares in 401K and 7748 shares in dividend reinvestment. Read SEC document |
| July 27, 2011 Filed Jul 29, 2011 14:22 UTC |
OSBORN WILLIAM ADirector
|
GiftCommon | 1,960 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000384 · edgar.xml · nonDerivative · entry 1 OSBORN WILLIAM A · CIK 0001171797 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,351 F1 · balance_after: This amount includes 225 shares in dividend reinvestment. Read SEC document |
| June 30, 2011 Filed Jul 1, 2011 19:38 UTC |
POWELL CHARLES DDirector
|
GrantCommon | 29 | $105.16 | $3,049.64 |
DisclosureSEC source: 0000018230-11-000363 · edgar.xml · nonDerivative · entry 1 POWELL CHARLES D · CIK 0001172570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,324 F2 · kind: Stock received in lieu of director's fees. F1 · balance_after: Included in this amount are 763 shares in dividend reinvestment. Read SEC document |
| June 30, 2011 Filed Jul 1, 2011 19:41 UTC |
SCHWAB SUSAN CDirector
|
GrantCommon | 118 | $105.16 | $12,408.88 |
DisclosureSEC source: 0000018230-11-000364 · edgar.xml · nonDerivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,928 F1 · kind: Stock received in lieu of director's fees. Read SEC document |
| June 30, 2011 Filed Jul 1, 2011 19:42 UTC |
LAVIN RICHARD PGroup President
|
GrantPhantom Stock Units · Derivative | 88 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000365 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,317 Underlying: Common · 88 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 |
| June 30, 2011 Filed Jul 1, 2011 19:44 UTC |
Copeland Jananne A.Controller/Chief Acctg Officer
|
GrantPhantom Stock Units · Derivative | 20 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000366 · edgar.xml · derivative · entry 2 Copeland Jananne A. · CIK 0001415606 · Controller/Chief Acctg Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,150 Underlying: Common · 20 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 |
| June 30, 2011 Filed Jul 1, 2011 19:47 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 119 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000367 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,041 Underlying: Common · 119 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 June 2011 at a price of $105.16 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 June 2011 at a price of $105.16 per share. Read SEC document |
| June 30, 2011 Filed Jul 1, 2011 19:50 UTC |
MAGOWAN PETER ADirector
|
GrantPhantom Stock Units · Derivative | 119 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000368 · edgar.xml · derivative · entry 2 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,348 Underlying: Common · 119 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 June 2011 at a price of $105.16 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 June 2011 at a price of $105.16 per share. 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.