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 |
|---|---|---|---|---|---|---|
| March 03, 2011 Filed Mar 4, 2011 22:28 UTC |
RUST EDWARD B JRDirector
|
Exercise / conversionRestricted Stock Units · Derivative | 1,606 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-11-000132 · 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 · 1,606 shares Expires 2011-03-03 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: Each restricted stock unit represents the equivalent of one share of Caterpillar common stock. On March 3, 2011, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar common stock. F3 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar common stock. On March 3, 2011, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar common stock. Read SEC document |
| March 03, 2011 Filed Mar 4, 2011 22:28 UTC |
RUST EDWARD B JRDirector
|
Exercise / conversionCommon | 1,606 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-11-000132 · edgar.xml · nonDerivative · entry 1 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,539 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar common stock. On March 3, 2011, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar common stock. Read SEC document |
| March 03, 2011 Filed Mar 4, 2011 22:28 UTC |
Smith Joshua IDirector
|
Exercise / conversionRestricted Stock Units · Derivative | 1,606 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-11-000133 · edgar.xml · derivative · entry 2 Smith Joshua I · CIK 0001173565 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 1,606 shares Expires 2011-03-03 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_price: Each restricted stock unit represents the equivalent of one share of Caterpillar common stock. On March 3, 2011, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar common stock. F2 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar common stock. On March 3, 2011, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar common stock. Read SEC document |
| March 03, 2011 Filed Mar 4, 2011 22:28 UTC |
Smith Joshua IDirector
|
Exercise / conversionCommon | 1,606 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-11-000133 · edgar.xml · nonDerivative · entry 1 Smith Joshua I · CIK 0001173565 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,591 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 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar common stock. On March 3, 2011, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar common stock. F1 · balance_after: This amount includes 203 shares in dividend reinvestment. Read SEC document |
| March 01, 2011 Filed Mar 2, 2011 22:12 UTC |
LEVENICK STUART LGroup President
|
Tax withholdingCommon | 138 | $101.47 | $14,002.86 |
DisclosureSEC source: 0000018230-11-000093 · edgar.xml · nonDerivative · entry 1 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,266 F4 · kind: Amount reflects shares surrendered to satisfy tax withholding requirements upon the vesting of restricted stock. F1 · balance_after: This amount includes 4391 shares in 401K and 27 shares in dividend reinvestment. Read SEC document |
| March 01, 2011 Filed Mar 2, 2011 22:13 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
Tax withholdingCommon | 138 | $101.47 | $14,002.86 |
DisclosureSEC source: 0000018230-11-000095 · 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: 101,662 F4 · kind: Amount reflects shares surrendered to satisfy tax withholding requirements upon the vesting of restricted stock. F1 · balance_after: This amount includes 28,246 shares in 401K and 7748 shares in dividend reinvestment. Read SEC document |
| February 28, 2011 Filed Mar 1, 2011 20:17 UTC |
LAVIN RICHARD PGroup President
|
GrantPhantom Stock Units · Derivative | 131 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000076 · edgar.xml · derivative · entry 4 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,385 Underlying: Common · 131 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 |
| February 28, 2011 Filed Mar 1, 2011 20:31 UTC |
SCHWAB SUSAN CDirector
|
GrantCommon | 169 | $102.46 | $17,315.74 |
DisclosureSEC source: 0000018230-11-000078 · edgar.xml · nonDerivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,447 F1 · kind: Stock received in lieu of director's fees. Read SEC document |
| February 28, 2011 Filed Mar 1, 2011 20:40 UTC |
POWELL CHARLES DDirector
|
GrantCommon | 39 | $102.46 | $3,995.94 |
DisclosureSEC source: 0000018230-11-000080 · edgar.xml · nonDerivative · entry 1 POWELL CHARLES D · CIK 0001172570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,227 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 |
| February 28, 2011 Filed Mar 1, 2011 20:50 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 240 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000082 · edgar.xml · derivative · entry 2 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,214 Underlying: Common · 240 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 February 2011 at a price between $102.46 and $103.415 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 February 2011 at a price between $102.46 and $103.415 per share. Read SEC document |
| February 28, 2011 Filed Mar 1, 2011 20:54 UTC |
DICKINSON DANIEL MDirector
|
GrantPhantom Stock Units · Derivative | 224 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000084 · edgar.xml · derivative · entry 2 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,402 Underlying: Common · 224 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 February 2011 at a price between $102.46 & $103.415 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 February 2011 at a price between $102.46 & $103.415 per share. Read SEC document |
| February 28, 2011 Filed Mar 1, 2011 21:00 UTC |
GOODE DAVID RDirector
|
GrantPhantom Stock Units · Derivative | 383 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000086 · edgar.xml · derivative · entry 2 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,960 Underlying: Common · 383 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 February 2011 at a price between $102.46 & $103.415 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 February 2011 at a price between $102.46 & $103.415 per share. Read SEC document |
| February 28, 2011 Filed Mar 1, 2011 21:03 UTC |
MAGOWAN PETER ADirector
|
GrantPhantom Stock Units · Derivative | 268 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000088 · edgar.xml · derivative · entry 2 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,746 Underlying: Common · 268 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 February 2011 at a price between $102.46 & $103.415 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 February 2011 at a price between $102.46 & $103.415 per share. Read SEC document |
| February 28, 2011 Filed Mar 1, 2011 21:08 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 220 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000090 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,486 Underlying: Common · 220 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 February 2011 at a price between $102.46 & $103.415 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 February 2011 at a price between $102.46 & $103.415 per share. Read SEC document |
| February 25, 2011 Filed Mar 1, 2011 20:17 UTC |
LAVIN RICHARD PGroup President
|
GrantPhantom Stock Units · Derivative | 751 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000076 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,254 Underlying: Common · 751 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 |
| February 24, 2011 Filed Feb 25, 2011 19:59 UTC |
WUNNING STEVEN HGroup President
|
GiftCommon | 225 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000074 · edgar.xml · nonDerivative · entry 3 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Indirect · Owned by Son Disclosed balance after: 1,350 F2 · ownership.nature: Reporting person disclaims beneficial ownership. Read SEC document |
| February 24, 2011 Filed Feb 25, 2011 19:59 UTC |
WUNNING STEVEN HGroup President
|
GiftCommon | 225 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000074 · edgar.xml · nonDerivative · entry 2 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Indirect · Owned by Wife Disclosed balance after: 951 F2 · ownership.nature: Reporting person disclaims beneficial ownership. Read SEC document |
| February 24, 2011 Filed Feb 25, 2011 19:59 UTC |
WUNNING STEVEN HGroup President
|
GiftCommon | 975 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000074 · edgar.xml · nonDerivative · entry 1 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,455 F1 · balance_after: This amount includes 24,647 shares in 401K. Read SEC document |
| February 08, 2011 Filed Feb 9, 2011 18:45 UTC |
LAVIN RICHARD PGroup President
|
Exercise / conversionEmployee Stock Option · Derivative | 40,000 | $0.00 Strike: $45.64 | $0.00 |
DisclosureSEC source: 0000018230-11-000069 · edgar.xml · derivative · entry 5 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 40,000 shares Expires 2015-02-18 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · security: (Right to buy) with tandem tax withholding rights. F5 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| February 08, 2011 Filed Feb 9, 2011 18:45 UTC |
LAVIN RICHARD PGroup President
|
Tax withholdingCommon | 27,268 | $100.01 | $2,726,936.34 |
DisclosureSEC source: 0000018230-11-000069 · edgar.xml · nonDerivative · entry 2 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 85,405 F1 · balance_after: This amount includes 13,665 shares in 401K and 333 shares in dividend reinvestment. Read SEC document |
| February 08, 2011 Filed Feb 9, 2011 18:45 UTC |
LAVIN RICHARD PGroup President
|
Exercise / conversionCommon | 40,000 | $45.64 | $1,825,700.00 |
DisclosureSEC source: 0000018230-11-000069 · edgar.xml · nonDerivative · entry 1 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 112,673 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 |
| February 07, 2011 Filed Feb 8, 2011 17:00 UTC |
LEVENICK STUART LGroup President
|
GrantPhantom Stock Units · Derivative | 41 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000063 · edgar.xml · derivative · entry 2 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,221 Underlying: Common · 41 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 |
| February 07, 2011 Filed Feb 8, 2011 17:00 UTC |
LEVENICK STUART LGroup President
|
GiftCommon | 2,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000063 · edgar.xml · nonDerivative · entry 1 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,404 F1 · balance_after: This amount includes 4391 shares in 401K and 27 shares in dividend reinvestment. Read SEC document |
| February 07, 2011 Filed Feb 8, 2011 19:54 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
Exercise / conversionEmployee Stock Option · Derivative | 48,000 | $0.00 Strike: $26.77 | $0.00 |
DisclosureSEC source: 0000018230-11-000065 · edgar.xml · derivative · entry 4 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 48,000 shares Expires 2011-06-12 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · security: (Right to buy) with tandem tax withholding rights. F5 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| February 07, 2011 Filed Feb 8, 2011 19:54 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
GrantPhantom Stock Units · Derivative | 114 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000065 · edgar.xml · derivative · entry 3 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,512 Underlying: Common · 114 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 |
| February 07, 2011 Filed Feb 8, 2011 19:54 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
Tax withholdingCommon | 27,405 | $100.15 | $2,744,610.75 |
DisclosureSEC source: 0000018230-11-000065 · 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: 101,800 F1 · balance_after: This amount includes 28,246 shares in 401K and 7748 shares in dividend reinvestment. Read SEC document |
| February 07, 2011 Filed Feb 8, 2011 19:54 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
Exercise / conversionCommon | 48,000 | $26.77 | $1,284,720.00 |
DisclosureSEC source: 0000018230-11-000065 · 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: 129,205 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 |
| February 07, 2011 Filed Feb 8, 2011 20:09 UTC |
LAVIN RICHARD PGroup President
|
Exercise / conversionEmployee Stock Option · Derivative | 36,000 | $0.00 Strike: $38.63 | $0.00 |
DisclosureSEC source: 0000018230-11-000067 · edgar.xml · derivative · entry 11 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 36,000 shares Expires 2014-06-08 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · security: (Right to buy) with tandem tax withholding rights. F5 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| February 07, 2011 Filed Feb 8, 2011 20:09 UTC |
LAVIN RICHARD PGroup President
|
Exercise / conversionEmployee Stock Option · Derivative | 34,000 | $0.00 Strike: $38.63 | $0.00 |
DisclosureSEC source: 0000018230-11-000067 · edgar.xml · derivative · entry 10 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 34,000 shares Expires 2014-06-08 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · security: (Right to buy) with tandem tax withholding rights. F5 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| February 07, 2011 Filed Feb 8, 2011 20:09 UTC |
LAVIN RICHARD PGroup President
|
Exercise / conversionEmployee Stock Option · Derivative | 30,000 | $0.00 Strike: $45.64 | $0.00 |
DisclosureSEC source: 0000018230-11-000067 · edgar.xml · derivative · entry 9 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 30,000 shares Expires 2015-02-18 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · security: (Right to buy) with tandem tax withholding rights. F5 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| February 07, 2011 Filed Feb 8, 2011 20:09 UTC |
LAVIN RICHARD PGroup President
|
SaleCommon | 36,000 | $100.42 | $3,615,040.80 |
DisclosureSEC source: 0000018230-11-000067 · edgar.xml · nonDerivative · entry 6 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,673 F1 · balance_after: This amount includes 13,665 shares in 401K and 333 shares in dividend reinvestment. Read SEC document |
| February 07, 2011 Filed Feb 8, 2011 20:09 UTC |
LAVIN RICHARD PGroup President
|
Exercise / conversionCommon | 36,000 | $38.63 | $1,390,590.00 |
DisclosureSEC source: 0000018230-11-000067 · edgar.xml · nonDerivative · entry 5 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 108,673 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 |
| February 07, 2011 Filed Feb 8, 2011 20:09 UTC |
LAVIN RICHARD PGroup President
|
Tax withholdingCommon | 21,770 | $100.15 | $2,180,265.50 |
DisclosureSEC source: 0000018230-11-000067 · edgar.xml · nonDerivative · entry 4 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,673 Read SEC document |
| February 07, 2011 Filed Feb 8, 2011 20:09 UTC |
LAVIN RICHARD PGroup President
|
Exercise / conversionCommon | 34,000 | $38.63 | $1,313,335.00 |
DisclosureSEC source: 0000018230-11-000067 · edgar.xml · nonDerivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,443 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 |
| February 07, 2011 Filed Feb 8, 2011 20:09 UTC |
LAVIN RICHARD PGroup President
|
Tax withholdingCommon | 20,439 | $100.15 | $2,046,965.85 |
DisclosureSEC source: 0000018230-11-000067 · edgar.xml · nonDerivative · entry 2 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,443 Read SEC document |
| February 07, 2011 Filed Feb 8, 2011 20:09 UTC |
LAVIN RICHARD PGroup President
|
Exercise / conversionCommon | 30,000 | $45.64 | $1,369,275.00 |
DisclosureSEC source: 0000018230-11-000067 · edgar.xml · nonDerivative · entry 1 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,882 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 |
| February 04, 2011 Filed Feb 4, 2011 16:06 UTC |
GREENE JESSE J JRDirector
|
PurchaseCommon | 2,000 | $99.23 | $198,464.00 |
DisclosureSEC source: 0000018230-11-000059 · edgar.xml · nonDerivative · entry 1 GREENE JESSE J JR · CIK 0001111353 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,000 Read SEC document |
| February 04, 2011 Filed Feb 7, 2011 19:22 UTC |
Halverson Bradley MVice President
|
GrantPhantom Stock Units · Derivative | 924 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000061 · edgar.xml · derivative · entry 3 Halverson Bradley M · CIK 0001307061 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,071 Underlying: Common · 924 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 |
| February 03, 2011 Filed Feb 3, 2011 19:50 UTC |
WHITE MILES DDirector
|
PurchaseCommon | 900 | $98.67 | $88,802.10 |
DisclosureSEC source: 0000018230-11-000055 · edgar.xml · nonDerivative · entry 2 WHITE MILES D · CIK 0001239129 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,000 Read SEC document |
| February 03, 2011 Filed Feb 3, 2011 19:50 UTC |
WHITE MILES DDirector
|
PurchaseCommon | 100 | $98.73 | $9,872.60 |
DisclosureSEC source: 0000018230-11-000055 · edgar.xml · nonDerivative · entry 1 WHITE MILES D · CIK 0001239129 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100 Read SEC document |
| February 03, 2011 Filed Feb 4, 2011 15:57 UTC |
Smith Joshua IDirector
|
Exercise / conversionEmployee Stock Option · Derivative | 2,000 | $0.00 Strike: $40.64 | $0.00 |
DisclosureSEC source: 0000018230-11-000057 · edgar.xml · derivative · entry 5 Smith Joshua I · CIK 0001173565 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 2,000 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. F2 · security: (Right to buy) with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| February 03, 2011 Filed Feb 4, 2011 15:57 UTC |
Smith Joshua IDirector
|
Exercise / conversionEmployee Stock Option · Derivative | 4,000 | $0.00 Strike: $29.43 | $0.00 |
DisclosureSEC source: 0000018230-11-000057 · edgar.xml · derivative · entry 4 Smith Joshua I · CIK 0001173565 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 4,000 shares Expires 2012-04-10 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: (Right to buy) with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| February 03, 2011 Filed Feb 4, 2011 15:57 UTC |
Smith Joshua IDirector
|
SaleCommon | 6,000 | $99.00 | $594,019.20 |
DisclosureSEC source: 0000018230-11-000057 · edgar.xml · nonDerivative · entry 3 Smith Joshua I · CIK 0001173565 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,985 F1 · balance_after: This amount includes 203 shares in dividend reinvestment. Read SEC document |
| February 03, 2011 Filed Feb 4, 2011 15:57 UTC |
Smith Joshua IDirector
|
Exercise / conversionCommon | 2,000 | $40.64 | $81,270.00 |
DisclosureSEC source: 0000018230-11-000057 · edgar.xml · nonDerivative · entry 2 Smith Joshua I · CIK 0001173565 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,985 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 |
| February 03, 2011 Filed Feb 4, 2011 15:57 UTC |
Smith Joshua IDirector
|
Exercise / conversionCommon | 4,000 | $29.43 | $117,730.00 |
DisclosureSEC source: 0000018230-11-000057 · edgar.xml · nonDerivative · entry 1 Smith Joshua I · CIK 0001173565 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,985 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 |
| February 01, 2011 Filed Feb 1, 2011 18:39 UTC |
BRAZIL JOHN RDirector
|
Exercise / conversionEmployee Stock Option · Derivative | 8,000 | $0.00 Strike: $44.90 | $0.00 |
DisclosureSEC source: 0000018230-11-000052 · edgar.xml · derivative · entry 5 BRAZIL JOHN R · CIK 0001171802 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 8,000 shares Expires 2015-04-13 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 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| February 01, 2011 Filed Feb 1, 2011 18:39 UTC |
BRAZIL JOHN RDirector
|
Exercise / conversionEmployee Stock Option · Derivative | 8,000 | $0.00 Strike: $40.64 | $0.00 |
DisclosureSEC source: 0000018230-11-000052 · edgar.xml · derivative · entry 4 BRAZIL JOHN R · CIK 0001171802 · 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. F1 · security: (Right to buy) with tandem tax withholding rights. F2 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| February 01, 2011 Filed Feb 1, 2011 18:39 UTC |
BRAZIL JOHN RDirector
|
SaleCommon | 16,000 | $96.96 | $1,551,310.40 |
DisclosureSEC source: 0000018230-11-000052 · edgar.xml · nonDerivative · entry 3 BRAZIL JOHN R · CIK 0001171802 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,803 Read SEC document |
| February 01, 2011 Filed Feb 1, 2011 18:39 UTC |
BRAZIL JOHN RDirector
|
Exercise / conversionCommon | 8,000 | $44.90 | $359,160.00 |
DisclosureSEC source: 0000018230-11-000052 · edgar.xml · nonDerivative · entry 2 BRAZIL JOHN R · CIK 0001171802 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,803 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 |
| February 01, 2011 Filed Feb 1, 2011 18:39 UTC |
BRAZIL JOHN RDirector
|
Exercise / conversionCommon | 8,000 | $40.64 | $325,080.00 |
DisclosureSEC source: 0000018230-11-000052 · edgar.xml · nonDerivative · entry 1 BRAZIL JOHN R · CIK 0001171802 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,803 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.