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 |
|---|---|---|---|---|---|---|
| June 30, 2011 Filed Jul 1, 2011 19:51 UTC |
DICKINSON DANIEL MDirector
|
GrantPhantom Stock Units · Derivative | 119 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000369 · edgar.xml · derivative · entry 2 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,959 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 19:52 UTC |
GOODE DAVID RDirector
|
GrantPhantom Stock Units · Derivative | 135 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000370 · edgar.xml · derivative · entry 3 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,722 Underlying: Common · 135 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 |
| June 30, 2011 Filed Jul 1, 2011 19:53 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 119 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000371 · edgar.xml · derivative · entry 2 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,789 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. 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. Read SEC document |
| June 30, 2011 Filed Jul 1, 2011 19:54 UTC |
CALHOUN DAVID LDirector
|
GrantPhantom Stock Units · Derivative | 118 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000372 · edgar.xml · derivative · entry 3 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 118 Underlying: Common · 118 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 20:02 UTC |
CALHOUN DAVID LDirector
|
GrantPhantom Stock Units · Derivative | 118 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000373 · edgar.xml · derivative · entry 3 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 118 Underlying: Common · 118 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 15, 2011 Filed Apr 10, 2012 20:30 UTC |
LAVIN RICHARD PGroup President
|
PurchaseCommon | 50 | $97.71 | $4,885.50 |
DisclosureSEC source: 0000018230-12-000204 · edgar.xml · nonDerivative · entry 2 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Indirect · Daughter Disclosed balance after: 405 F2 · shares: These shares were purchased by the reporting person's daughter. The purchase of shares on June 15, 2011 by the reporting person's daughter was matchable under Section 16(b) of the Securities Exchange Act of 1934 with the reporting person's sale of shares on February 7, 2011 (to the extent of 50 shares sold on that date). The reporting person has paid to Caterpillar Inc. the full amount of profit realized in connection with the short-swing transaction. Read SEC document |
| May 31, 2011 Filed Jun 1, 2011 15:00 UTC |
SCHWAB SUSAN CDirector
|
GrantCommon | 119 | $105.42 | $12,544.39 |
DisclosureSEC source: 0000018230-11-000311 · edgar.xml · nonDerivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,810 F1 · kind: Stock received in lieu of director's fees. Read SEC document |
| May 31, 2011 Filed Jun 1, 2011 15:02 UTC |
POWELL CHARLES DDirector
|
GrantCommon | 29 | $105.42 | $3,057.04 |
DisclosureSEC source: 0000018230-11-000313 · edgar.xml · nonDerivative · entry 1 POWELL CHARLES D · CIK 0001172570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,295 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 |
| May 31, 2011 Filed Jun 1, 2011 20:13 UTC |
GOODE DAVID RDirector
|
GrantPhantom Stock Units · Derivative | 341 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000319 · edgar.xml · derivative · entry 2 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,587 Underlying: Common · 341 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 May 2011 at a price of $105.4150 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 May 2011 at a price of $105.4150 per share. Read SEC document |
| May 31, 2011 Filed Jun 1, 2011 20:16 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 192 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000320 · edgar.xml · derivative · entry 2 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,670 Underlying: Common · 192 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 May 2011 at a price of $105.4150. 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 May 2011 at a price of $105.4150. Read SEC document |
| May 31, 2011 Filed Jun 1, 2011 20:17 UTC |
MAGOWAN PETER ADirector
|
GrantPhantom Stock Units · Derivative | 219 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000321 · edgar.xml · derivative · entry 2 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,229 Underlying: Common · 219 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 May 2011 at a price of $105.4150 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 May 2011 at a price of $105.4150 per share. Read SEC document |
| May 31, 2011 Filed Jun 1, 2011 20:19 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 172 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000322 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,922 Underlying: Common · 172 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 May 2011 at a price of $105.4150 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 May 2011 at a price of $105.4150 per share. Read SEC document |
| May 31, 2011 Filed Jun 1, 2011 20:21 UTC |
DICKINSON DANIEL MDirector
|
GrantPhantom Stock Units · Derivative | 167 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000323 · edgar.xml · derivative · entry 2 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,840 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 May 2011 at a price of $105.4150 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 May 2011 at a price of $105.4150 per share. Read SEC document |
| May 31, 2011 Filed Jun 1, 2011 21:01 UTC |
Copeland Jananne A.Controller/Chief Acctg Officer
|
GrantPhantom Stock Units · Derivative | 22 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000325 · edgar.xml · derivative · entry 2 Copeland Jananne A. · CIK 0001415606 · Controller/Chief Acctg Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,130 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 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 |
| May 31, 2011 Filed Jun 2, 2011 14:48 UTC |
LAVIN RICHARD PGroup President
|
GrantPhantom Stock Units · Derivative | 119 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000327 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,229 Underlying: Common · 119 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F4 · shares: Phantom stock units were disposed of to correct number previously reported in error. 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 |
| May 09, 2011 Filed May 24, 2011 14:05 UTC |
LAVIN RICHARD PGroup President
|
GiftCommon | 1,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000307 · edgar.xml · nonDerivative · entry 1 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,746 F1 · balance_after: This amount includes 13,879 shares in 401K and 333 shares in dividend reinvestment. Read SEC document |
| May 06, 2011 Filed May 9, 2011 20:33 UTC |
RUST EDWARD B JRDirector
|
Exercise / conversionEmployee Stock Option · Derivative | 8,000 | $0.00 Strike: $40.64 | $0.00 |
DisclosureSEC source: 0000018230-11-000297 · edgar.xml · derivative · entry 3 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 8,000 shares Expires 2014-04-14 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. F4 · 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. Read SEC document |
| May 06, 2011 Filed May 9, 2011 20:33 UTC |
RUST EDWARD B JRDirector
|
Exercise / conversionCommon | 8,000 | $40.64 | $325,080.00 |
DisclosureSEC source: 0000018230-11-000297 · edgar.xml · nonDerivative · entry 1 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,519 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 |
| May 05, 2011 Filed May 5, 2011 19:33 UTC |
BRAZIL JOHN RDirector
|
SaleCommon | 5,373 | $110.37 | $593,007.26 |
DisclosureSEC source: 0000018230-11-000291 · edgar.xml · nonDerivative · entry 5 BRAZIL JOHN R · CIK 0001171802 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,389 Read SEC document |
| May 05, 2011 Filed May 9, 2011 15:09 UTC |
Halverson Bradley MVice President
|
Exercise / conversionEmployee Stock Option · Derivative | 3,901 | $0.00 Strike: $38.63 | $0.00 |
DisclosureSEC source: 0000018230-11-000293 · edgar.xml · derivative · entry 5 Halverson Bradley M · CIK 0001307061 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 3,901 shares Expires 2014-06-08 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · security: Right to buy with tandem tax withholding rights. F6 · derivative.exercise_date: Exercisable in thirds - 1/3 after one year; 1/3 after two years; 1/3 after three years. Read SEC document |
| May 05, 2011 Filed May 9, 2011 15:09 UTC |
Halverson Bradley MVice President
|
SaleCommon | 3,901 | $111.00 | $433,011.00 |
DisclosureSEC source: 0000018230-11-000293 · edgar.xml · nonDerivative · entry 2 Halverson Bradley M · CIK 0001307061 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,686 F1 · balance_after: This amount includes 11,968 shares in 401K and 4 shares in dividend reinvestment. Read SEC document |
| May 05, 2011 Filed May 9, 2011 15:09 UTC |
Halverson Bradley MVice President
|
Exercise / conversionCommon | 3,901 | $38.63 | $150,685.88 |
DisclosureSEC source: 0000018230-11-000293 · edgar.xml · nonDerivative · entry 1 Halverson Bradley M · CIK 0001307061 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,615 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 |
| May 04, 2011 Filed May 5, 2011 15:05 UTC |
GREENE JESSE J JRDirector
|
PurchaseCommon | 1,000 | $111.22 | $111,220.00 |
DisclosureSEC source: 0000018230-11-000287 · edgar.xml · nonDerivative · entry 1 GREENE JESSE J JR · CIK 0001111353 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,980 Read SEC document |
| May 04, 2011 Filed May 5, 2011 19:33 UTC |
BRAZIL JOHN RDirector
|
Exercise / conversionStock Appreciation Right · Derivative | 7,000 | $0.00 Strike: $66.77 | $0.00 |
DisclosureSEC source: 0000018230-11-000291 · edgar.xml · derivative · entry 7 BRAZIL JOHN R · CIK 0001171802 · 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 · derivative.exercise_date: The stock appreciation rights vest on 06/14/2009. Read SEC document |
| May 04, 2011 Filed May 5, 2011 19:33 UTC |
BRAZIL JOHN RDirector
|
Exercise / conversionStock Appreciation Right · Derivative | 5,833 | $0.00 Strike: $63.04 | $0.00 |
DisclosureSEC source: 0000018230-11-000291 · edgar.xml · derivative · entry 6 BRAZIL JOHN R · CIK 0001171802 · 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. F1 · derivative.exercise_date: The stock appreciation rights vest on 03/02/2010. Read SEC document |
| May 04, 2011 Filed May 5, 2011 19:33 UTC |
BRAZIL JOHN RDirector
|
Tax withholdingCommon | 4,175 | $111.93 | $467,307.75 |
DisclosureSEC source: 0000018230-11-000291 · edgar.xml · nonDerivative · entry 4 BRAZIL JOHN R · CIK 0001171802 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,762 Read SEC document |
| May 04, 2011 Filed May 5, 2011 19:33 UTC |
BRAZIL JOHN RDirector
|
Exercise / conversionCommon | 7,000 | $66.77 | $467,355.00 |
DisclosureSEC source: 0000018230-11-000291 · edgar.xml · nonDerivative · entry 3 BRAZIL JOHN R · CIK 0001171802 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,937 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 |
| May 04, 2011 Filed May 5, 2011 19:33 UTC |
BRAZIL JOHN RDirector
|
Tax withholdingCommon | 3,285 | $111.93 | $367,690.05 |
DisclosureSEC source: 0000018230-11-000291 · edgar.xml · nonDerivative · entry 2 BRAZIL JOHN R · CIK 0001171802 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,937 Read SEC document |
| May 04, 2011 Filed May 5, 2011 19:33 UTC |
BRAZIL JOHN RDirector
|
Exercise / conversionCommon | 5,833 | $63.04 | $367,712.32 |
DisclosureSEC source: 0000018230-11-000291 · edgar.xml · nonDerivative · entry 1 BRAZIL JOHN R · CIK 0001171802 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,222 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 |
| May 04, 2011 Filed May 9, 2011 20:29 UTC |
BRAZIL JOHN RDirector
|
SaleCommon | 5,309 | $113.07 | $600,288.63 |
DisclosureSEC source: 0000018230-11-000295 · edgar.xml · nonDerivative · entry 1 BRAZIL JOHN R · CIK 0001171802 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,080 Read SEC document |
| May 03, 2011 Filed May 5, 2011 15:19 UTC |
RAPP EDWARD JCFO & Group President
|
GiftStock Appreciation Rights · Derivative | 145,765 | $0.00 Strike: $57.85 | $0.00 |
DisclosureSEC source: 0000018230-11-000289 · edgar.xml · derivative · entry 3 RAPP EDWARD J · CIK 0001171780 · CFO & Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 145,765 shares Expires 2020-03-01 F4 · derivative.exercise_date: The stock appreciation rights vest on March 1, 2013. Read SEC document |
| May 02, 2011 Filed May 4, 2011 15:00 UTC |
RAPP EDWARD JCFO & Group President
|
GrantRestricted Stock Units · Derivative | 1,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000274 · edgar.xml · derivative · entry 3 RAPP EDWARD J · CIK 0001171780 · CFO & Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,000 Underlying: Common · 1,000 shares Expires not disclosed F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Caterpillar common stock. F5 · derivative.exercise_date: The restricted stock units vest on May 2, 2016. F5 · derivative.expiration_date: The restricted stock units vest on May 2, 2016. Read SEC document |
| May 02, 2011 Filed May 4, 2011 15:00 UTC |
RAPP EDWARD JCFO & Group President
|
GrantPhantom Stock Units · Derivative | 43 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000274 · edgar.xml · derivative · entry 2 RAPP EDWARD J · CIK 0001171780 · CFO & Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,617 Underlying: Common · 43 shares Expires not disclosed F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · 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. F2 · 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 |
| May 02, 2011 Filed May 4, 2011 17:42 UTC |
VITTECOQ GERARD RGroup President
|
GrantRestricted Stock Units · Derivative | 500 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000276 · edgar.xml · derivative · entry 2 VITTECOQ GERARD R · CIK 0001171778 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 500 Underlying: Common · 500 shares Expires not disclosed F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Caterpillar common stock. F3 · derivative.exercise_date: The restricted stock units vest on May 2, 2016. F3 · derivative.expiration_date: The restricted stock units vest on May 2, 2016. Read SEC document |
| May 02, 2011 Filed May 4, 2011 20:44 UTC |
LAVIN RICHARD PGroup President
|
GrantRestricted Stock Units · Derivative | 500 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000281 · edgar.xml · derivative · entry 4 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 500 Underlying: Common · 500 shares Expires not disclosed F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Caterpillar common stock. F5 · derivative.exercise_date: The restricted stock units vest on May 2, 2016. F5 · derivative.expiration_date: The restricted stock units vest on May 2, 2016. Read SEC document |
| May 02, 2011 Filed May 4, 2011 20:50 UTC |
LEVENICK STUART LGroup President
|
GrantRestricted Stock Units · Derivative | 500 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000283 · edgar.xml · derivative · entry 3 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 500 Underlying: Common · 500 shares Expires not disclosed F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Caterpillar common stock. F5 · derivative.exercise_date: The restricted stock units vest on May 2, 2016. F5 · derivative.expiration_date: The restricted stock units vest on May 2, 2016. Read SEC document |
| May 02, 2011 Filed May 4, 2011 20:50 UTC |
LEVENICK STUART LGroup President
|
GrantPhantom Stock Units · Derivative | 31 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000283 · edgar.xml · derivative · entry 2 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,252 Underlying: Common · 31 shares Expires not disclosed F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · 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. F2 · 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 |
| May 02, 2011 Filed May 4, 2011 20:55 UTC |
WUNNING STEVEN HGroup President
|
GrantRestricted Stock Units · Derivative | 750 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000285 · edgar.xml · derivative · entry 4 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 750 Underlying: Common · 750 shares Expires not disclosed F5 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Caterpillar common stock. F6 · derivative.exercise_date: The restricted stock units vest on May 2, 2016. F6 · derivative.expiration_date: The restricted stock units vest on May 2, 2016. Read SEC document |
| May 02, 2011 Filed May 4, 2011 20:55 UTC |
WUNNING STEVEN HGroup President
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GrantPhantom Stock Units · Derivative | 47 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000285 · edgar.xml · derivative · entry 3 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,449 Underlying: Common · 47 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 |
| April 29, 2011 Filed May 2, 2011 19:07 UTC |
GOODE DAVID RDirector
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GrantPhantom Stock Units · Derivative | 123 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000253 · edgar.xml · derivative · entry 2 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,246 Underlying: Common · 123 shares Expires not disclosed F3 · 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 April 2011 at a price of $115.4000 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 April 2011 at a price of $115.4000 per share. Read SEC document |
| April 29, 2011 Filed May 2, 2011 19:16 UTC |
MAGOWAN PETER ADirector
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GrantPhantom Stock Units · Derivative | 108 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000257 · edgar.xml · derivative · entry 2 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,010 Underlying: Common · 108 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 April 2011 at a price of $115.4000 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 April 2011 at a price of $115.4000 per share. Read SEC document |
| April 29, 2011 Filed May 2, 2011 19:12 UTC |
DICKINSON DANIEL MDirector
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GrantPhantom Stock Units · Derivative | 108 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000255 · edgar.xml · derivative · entry 2 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,673 Underlying: Common · 108 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 April 2011 at a price of $115.4000 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 April 2011 at a price of $115.4000 per share. Read SEC document |
| April 29, 2011 Filed May 2, 2011 19:20 UTC |
RUST EDWARD B JRDirector
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GrantPhantom Stock Units · Derivative | 108 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000259 · edgar.xml · derivative · entry 2 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,478 Underlying: Common · 108 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 April 2011 at a price of $115.4000 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 April 2011 at a price of $115.4000 per share. Read SEC document |
| April 29, 2011 Filed May 2, 2011 19:33 UTC |
GALLARDO JUANDirector
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GrantPhantom Stock Units · Derivative | 108 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000261 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,750 Underlying: Common · 108 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 April 2011 at a price of $115.4000 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 April 2011 at a price of $115.4000 per share. Read SEC document |
| April 29, 2011 Filed May 2, 2011 19:44 UTC |
SCHWAB SUSAN CDirector
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OtherCommon | 108 | $115.40 | $12,463.20 |
DisclosureSEC source: 0000018230-11-000263 · edgar.xml · nonDerivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,691 F1 · kind: Stock received in lieu of director's fees. Read SEC document |
| April 29, 2011 Filed May 2, 2011 20:04 UTC |
POWELL CHARLES DDirector
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GrantCommon | 26 | $115.40 | $3,000.40 |
DisclosureSEC source: 0000018230-11-000265 · edgar.xml · nonDerivative · entry 1 POWELL CHARLES D · CIK 0001172570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,266 F1 · balance_after: Included in this amount are 763 shares in dividend reinvestment. Read SEC document |
| April 29, 2011 Filed May 2, 2011 21:07 UTC |
Halverson Bradley MVice President
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Exercise / conversionEmployee Stock Option · Derivative | 8,880 | $0.00 Strike: $25.36 | $0.00 |
DisclosureSEC source: 0000018230-11-000267 · edgar.xml · derivative · entry 5 Halverson Bradley M · CIK 0001307061 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 8,880 shares Expires 2012-06-11 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. F5 · security: Right to buy with tandem tax withholding rights. F6 · derivative.exercise_date: Exercisable in thirds - 1/3 after one year; 1/3 after two years; 1/3 after three years. Read SEC document |
| April 29, 2011 Filed May 2, 2011 21:07 UTC |
Halverson Bradley MVice President
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SaleCommon | 8,880 | $115.49 | $1,025,551.20 |
DisclosureSEC source: 0000018230-11-000267 · edgar.xml · nonDerivative · entry 2 Halverson Bradley M · CIK 0001307061 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,686 F1 · balance_after: This amount includes 11,968 shares in 401K and 4 shares in dividend reinvestment. Read SEC document |
| April 29, 2011 Filed May 2, 2011 21:07 UTC |
Halverson Bradley MVice President
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Exercise / conversionCommon | 8,880 | $25.36 | $225,174.60 |
DisclosureSEC source: 0000018230-11-000267 · edgar.xml · nonDerivative · entry 1 Halverson Bradley M · CIK 0001307061 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,566 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 29, 2011 Filed May 2, 2011 21:12 UTC |
Copeland Jananne A.Controller/Chief Acctg Officer
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GrantPhantom Stock Units · Derivative | 19 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000269 · edgar.xml · derivative · entry 2 Copeland Jananne A. · CIK 0001415606 · Controller/Chief Acctg Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,108 Underlying: Common · 19 shares Expires not disclosed F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F1 · 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. F1 · 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.