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 |
|---|---|---|---|---|---|---|
| September 30, 2010 Filed Oct 1, 2010 16:27 UTC |
WUNNING STEVEN HGroup President
|
GrantPhantom Stock Units · Derivative | 46 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000470 · edgar.xml · derivative · entry 4 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,277 Underlying: Common · 46 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 |
| September 30, 2010 Filed Oct 1, 2010 16:28 UTC |
RAPP EDWARD JCFO & Group President
|
GrantPhantom Stock Units · Derivative | 37 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000471 · edgar.xml · derivative · entry 2 RAPP EDWARD J · CIK 0001171780 · CFO & Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,458 Underlying: Common · 37 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 |
| September 30, 2010 Filed Oct 1, 2010 16:29 UTC |
Halverson Bradley MVice President
|
GrantPhantom Stock Units · Derivative | 27 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000472 · edgar.xml · derivative · entry 3 Halverson Bradley M · CIK 0001307061 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,135 Underlying: Common · 27 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 |
| September 30, 2010 Filed Oct 1, 2010 16:29 UTC |
OWENS JAMES WDirector
|
GrantPhantom Stock Units · Derivative | 98 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000473 · edgar.xml · derivative · entry 5 OWENS JAMES W · CIK 0001171767 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,076 Underlying: Common · 98 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 |
| September 30, 2010 Filed Oct 1, 2010 16:30 UTC |
LAVIN RICHARD PGroup President
|
GrantPhantom Stock Units · Derivative | 109 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000474 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,069 Underlying: Common · 109 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 |
| September 30, 2010 Filed Oct 1, 2010 16:30 UTC |
BUDA JAMES BVP, Chief Legal Officer, Secy.
|
GrantPhantom Stock Units · Derivative | 68 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000475 · edgar.xml · derivative · entry 2 BUDA JAMES B · CIK 0001171771 · VP, Chief Legal Officer, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,488 Underlying: Common · 68 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 |
| September 30, 2010 Filed Oct 1, 2010 17:52 UTC |
POWELL CHARLES DDirector
|
GrantCommon | 50 | $79.11 | $3,955.25 |
DisclosureSEC source: 0000018230-10-000484 · edgar.xml · nonDerivative · entry 1 POWELL CHARLES D · CIK 0001172570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,943 F2 · kind: Stock received in lieu of director's fees. F1 · balance_after: Included in this amount are 701 shares in dividend reinvestment. Read SEC document |
| September 30, 2010 Filed Oct 1, 2010 17:53 UTC |
SCHWAB SUSAN CDirector
|
GrantCommon | 219 | $79.11 | $17,324.00 |
DisclosureSEC source: 0000018230-10-000485 · edgar.xml · nonDerivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,485 F1 · kind: Stock received in lieu of director's fees. Read SEC document |
| September 30, 2010 Filed Oct 1, 2010 17:54 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 219 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000486 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,412 Underlying: Common · 219 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 2010 at a price of $79.105 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 2010 at a price of $79.105 per share. Read SEC document |
| September 30, 2010 Filed Oct 1, 2010 17:54 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 219 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000487 · edgar.xml · derivative · entry 2 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,096 Underlying: Common · 219 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 2010 at a price of $79.105 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 2010 at a price of $79.105 per share. Read SEC document |
| September 30, 2010 Filed Oct 1, 2010 17:55 UTC |
MAGOWAN PETER ADirector
|
GrantPhantom Stock Units · Derivative | 219 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000488 · edgar.xml · derivative · entry 2 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,566 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 September 2010 at a price of $79.105 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 2010 at a price of $79.105 per share. Read SEC document |
| September 30, 2010 Filed Oct 1, 2010 17:56 UTC |
GOODE DAVID RDirector
|
GrantPhantom Stock Units · Derivative | 230 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000489 · edgar.xml · derivative · entry 2 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,496 Underlying: Common · 230 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 September 2010 at a price of $79.105 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 2010 at a price of $79.105 per share. Read SEC document |
| September 30, 2010 Filed Oct 1, 2010 17:56 UTC |
DILLON JOHN TDirector
|
GrantPhantom Stock Units · Derivative | 235 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000490 · edgar.xml · derivative · entry 2 DILLON JOHN T · CIK 0001171804 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,782 Underlying: Common · 235 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 2010 at a price of $79.105 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 2010 at a price of $79.105 per share. Read SEC document |
| September 30, 2010 Filed Oct 1, 2010 17:57 UTC |
DICKINSON DANIEL MDirector
|
GrantPhantom Stock Units · Derivative | 229 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000491 · edgar.xml · derivative · entry 2 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,292 Underlying: Common · 229 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 2010 at a price of $79.105 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 2010 at a price of $79.105 per share. Read SEC document |
| September 20, 2010 Filed Sep 20, 2010 18:23 UTC |
VITTECOQ GERARD RGroup President
|
GiftEmployee Stock Option · Derivative | 48,000 | $0.00 Strike: $26.77 | $0.00 |
DisclosureSEC source: 0000018230-10-000457 · edgar.xml · derivative · entry 3 VITTECOQ GERARD R · CIK 0001171778 · Group President 10b5-1 filing: Not disclosed Ownership: Indirect · By daughter Disclosed balance after: 48,000 Underlying: Common · 48,000 shares Expires 2011-06-12 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. F4 · ownership.direct: The reporting person transferred the reported option to his daughter. Read SEC document |
| September 20, 2010 Filed Sep 20, 2010 18:23 UTC |
VITTECOQ GERARD RGroup President
|
GiftEmployee Stock Option · Derivative | 48,000 | $0.00 Strike: $26.77 | $0.00 |
DisclosureSEC source: 0000018230-10-000457 · 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 · 48,000 shares Expires 2011-06-12 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. F4 · ownership.direct: The reporting person transferred the reported option to his daughter. Read SEC document |
| September 13, 2010 Filed Sep 14, 2010 18:55 UTC |
OWENS JAMES WDirector
|
Exercise / conversionEmployee Stock Option · Derivative | 122,000 | $0.00 Strike: $25.36 | $0.00 |
DisclosureSEC source: 0000018230-10-000447 · edgar.xml · derivative · entry 7 OWENS JAMES W · CIK 0001171767 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 122,000 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. 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 |
| September 13, 2010 Filed Sep 14, 2010 18:55 UTC |
OWENS JAMES WDirector
|
Tax withholdingCommon | 74,112 | $72.09 | $5,342,734.08 |
DisclosureSEC source: 0000018230-10-000447 · edgar.xml · nonDerivative · entry 2 OWENS JAMES W · CIK 0001171767 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 264,259 F1 · balance_after: This amount includes 32,729 shares in 401K. Read SEC document |
| September 13, 2010 Filed Sep 14, 2010 18:55 UTC |
OWENS JAMES WDirector
|
Exercise / conversionCommon | 122,000 | $25.36 | $3,093,615.00 |
DisclosureSEC source: 0000018230-10-000447 · edgar.xml · nonDerivative · entry 1 OWENS JAMES W · CIK 0001171767 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 338,371 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 |
| September 13, 2010 Filed Sep 15, 2010 15:59 UTC |
OWENS JAMES WDirector
|
GiftCommon | 6,314 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000449 · edgar.xml · nonDerivative · entry 1 OWENS JAMES W · CIK 0001171767 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 257,945 F1 · balance_after: This amount includes 32,729 shares in 401K. Read SEC document |
| September 03, 2010 Filed Sep 7, 2010 15:36 UTC |
OBERHELMAN DOUGLAS RDirector · Chief Executive Officer
|
GiftCommon | 150 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000445 · edgar.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 84,568 F1 · balance_after: This amount includes 28,088 shares in 401K and 8745 shares in dividend reinvestment. Read SEC document |
| August 31, 2010 Filed Sep 1, 2010 17:50 UTC |
WUNNING STEVEN HGroup President
|
GrantPhantom Stock Units · Derivative | 56 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000422 · edgar.xml · derivative · entry 4 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,231 Underlying: Common · 56 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 |
| August 31, 2010 Filed Sep 1, 2010 17:51 UTC |
RAPP EDWARD JCFO & Group President
|
GrantPhantom Stock Units · Derivative | 44 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000423 · edgar.xml · derivative · entry 2 RAPP EDWARD J · CIK 0001171780 · CFO & Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,421 Underlying: Common · 44 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 |
| August 31, 2010 Filed Sep 1, 2010 17:51 UTC |
Halverson Bradley MVice President
|
GrantPhantom Stock Units · Derivative | 12 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000424 · edgar.xml · derivative · entry 3 Halverson Bradley M · CIK 0001307061 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,108 Underlying: Common · 12 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 |
| August 31, 2010 Filed Sep 1, 2010 17:52 UTC |
OWENS JAMES WDirector
|
GrantPhantom Stock Units · Derivative | 118 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000425 · edgar.xml · derivative · entry 5 OWENS JAMES W · CIK 0001171767 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,978 Underlying: Common · 118 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 |
| August 31, 2010 Filed Sep 1, 2010 17:53 UTC |
LAVIN RICHARD PGroup President
|
GrantPhantom Stock Units · Derivative | 131 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000426 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,960 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 |
| August 31, 2010 Filed Sep 1, 2010 17:53 UTC |
BUDA JAMES BVP, Chief Legal Officer, Secy.
|
GrantPhantom Stock Units · Derivative | 82 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000427 · edgar.xml · derivative · entry 2 BUDA JAMES B · CIK 0001171771 · VP, Chief Legal Officer, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,420 Underlying: Common · 82 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 |
| August 31, 2010 Filed Sep 1, 2010 19:38 UTC |
POWELL CHARLES DDirector
|
GrantCommon | 62 | $64.89 | $4,023.18 |
DisclosureSEC source: 0000018230-10-000435 · edgar.xml · nonDerivative · entry 1 POWELL CHARLES D · CIK 0001172570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,893 F2 · kind: Stock received in lieu of director's fees. F1 · balance_after: Included in this amount are 701 shares in dividend reinvestment. Read SEC document |
| August 31, 2010 Filed Sep 1, 2010 19:39 UTC |
SCHWAB SUSAN CDirector
|
GrantCommon | 267 | $64.89 | $17,325.63 |
DisclosureSEC source: 0000018230-10-000436 · edgar.xml · nonDerivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,266 F1 · kind: Stock received in lieu of director's fees. Read SEC document |
| August 31, 2010 Filed Sep 1, 2010 19:40 UTC |
DICKINSON DANIEL MDirector
|
GrantPhantom Stock Units · Derivative | 341 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000437 · edgar.xml · derivative · entry 2 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,063 Underlying: Common · 341 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 2010 at a price between $64.89 and $68.50 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 2010 at a price between $64.89 and $68.50 per share. Read SEC document |
| August 31, 2010 Filed Sep 1, 2010 19:40 UTC |
DILLON JOHN TDirector
|
GrantPhantom Stock Units · Derivative | 331 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000438 · edgar.xml · derivative · entry 2 DILLON JOHN T · CIK 0001171804 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,547 Underlying: Common · 331 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 2010 at a price between $64.89 and $68.50 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 2010 at a price between $64.89 and $68.50 per share. Read SEC document |
| August 31, 2010 Filed Sep 1, 2010 19:41 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 335 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000439 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,193 Underlying: Common · 335 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 2010 at a price between $64.89 and $68.50 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 2010 at a price between $64.89 and $68.50 per share. Read SEC document |
| August 31, 2010 Filed Sep 1, 2010 19:42 UTC |
MAGOWAN PETER ADirector
|
GrantPhantom Stock Units · Derivative | 407 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000440 · edgar.xml · derivative · entry 2 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,347 Underlying: Common · 407 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 2010 at a price between $64.89 and $68.50 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 2010 at a price between $64.89 and $68.50 per share. Read SEC document |
| August 31, 2010 Filed Sep 1, 2010 19:42 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 365 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000441 · edgar.xml · derivative · entry 2 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,877 Underlying: Common · 365 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 2010 at a price between $64.89 and $68.50 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 2010 at a price between $64.89 and $68.50 per share. Read SEC document |
| August 31, 2010 Filed Sep 1, 2010 20:01 UTC |
GOODE DAVID RDirector
|
GrantPhantom Stock Units · Derivative | 578 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000443 · edgar.xml · derivative · entry 2 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,266 Underlying: Common · 578 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 August 2010 at a price between $64.89 and $68.50 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 2010 at a price between $64.89 and $68.50 per share. Read SEC document |
| August 17, 2010 Filed Dec 7, 2010 21:57 UTC |
LEVENICK STUART LGroup President
|
GiftCommon | 500 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000561 · edgar.xml · nonDerivative · entry 2 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,392 F1 · balance_after: This amount includes 4379 shares in 401K and 27 shares in dividend reinvestment. Read SEC document |
| August 09, 2010 Filed Dec 7, 2010 21:57 UTC |
LEVENICK STUART LGroup President
|
GiftCommon | 1,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000561 · edgar.xml · nonDerivative · entry 1 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,892 Read SEC document |
| August 05, 2010 Filed Aug 6, 2010 15:17 UTC |
LEVENICK STUART LGroup President
|
Exercise / conversionEmployee Stock Option · Derivative | 54,000 | $0.00 Strike: $27.14 | $0.00 |
DisclosureSEC source: 0000018230-10-000392 · edgar.xml · derivative · entry 4 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 54,000 shares Expires 2013-06-10 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. 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 |
| August 05, 2010 Filed Aug 6, 2010 15:17 UTC |
LEVENICK STUART LGroup President
|
Tax withholdingCommon | 33,709 | $71.54 | $2,411,373.32 |
DisclosureSEC source: 0000018230-10-000392 · edgar.xml · nonDerivative · entry 2 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 96,872 F1 · balance_after: This amount includes 4366 shares in 401K and 20 shares in dividend reinvestment. Read SEC document |
| August 05, 2010 Filed Aug 6, 2010 15:17 UTC |
LEVENICK STUART LGroup President
|
Exercise / conversionCommon | 54,000 | $27.14 | $1,465,695.00 |
DisclosureSEC source: 0000018230-10-000392 · edgar.xml · nonDerivative · entry 1 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 130,581 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 |
| August 04, 2010 Filed Aug 5, 2010 15:33 UTC |
Halverson Bradley MVice President
|
Exercise / conversionEmployee Stock Option · Derivative | 5,000 | $0.00 Strike: $25.36 | $0.00 |
DisclosureSEC source: 0000018230-10-000390 · 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 · 5,000 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 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| August 04, 2010 Filed Aug 5, 2010 15:33 UTC |
Halverson Bradley MVice President
|
SaleCommon | 5,000 | $71.12 | $355,617.00 |
DisclosureSEC source: 0000018230-10-000390 · edgar.xml · nonDerivative · entry 2 Halverson Bradley M · CIK 0001307061 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,146 F1 · balance_after: This amount includes 11,709 shares in 401K and 4 shares in dividend reinvestment. Read SEC document |
| August 04, 2010 Filed Aug 5, 2010 15:33 UTC |
Halverson Bradley MVice President
|
Exercise / conversionCommon | 5,000 | $25.36 | $126,787.50 |
DisclosureSEC source: 0000018230-10-000390 · edgar.xml · nonDerivative · entry 1 Halverson Bradley M · CIK 0001307061 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,146 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 |
| August 02, 2010 Filed Aug 3, 2010 16:04 UTC |
LAVIN RICHARD PGroup President
|
Exercise / conversionEmployee Stock Option · Derivative | 20,000 | $0.00 Strike: $27.14 | $0.00 |
DisclosureSEC source: 0000018230-10-000387 · 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 · 20,000 shares Expires 2013-06-10 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. 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 |
| August 02, 2010 Filed Aug 3, 2010 16:04 UTC |
LAVIN RICHARD PGroup President
|
SaleCommon | 20,000 | $71.06 | $1,421,270.00 |
DisclosureSEC source: 0000018230-10-000387 · edgar.xml · nonDerivative · entry 2 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,778 F1 · balance_after: This amount includes 13,588 shares in 401K and 306 shares in dividend reinvestment. Read SEC document |
| August 02, 2010 Filed Aug 3, 2010 16:04 UTC |
LAVIN RICHARD PGroup President
|
Exercise / conversionCommon | 20,000 | $27.14 | $542,850.00 |
DisclosureSEC source: 0000018230-10-000387 · edgar.xml · nonDerivative · entry 1 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,778 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 |
| August 02, 2010 Filed Aug 3, 2010 16:05 UTC |
GOODE DAVID RDirector
|
Exercise / conversionEmployee Stock Option · Derivative | 8,000 | $0.00 Strike: $22.76 | $0.00 |
DisclosureSEC source: 0000018230-10-000388 · edgar.xml · derivative · entry 4 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 8,000 shares Expires 2011-04-11 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. 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 |
| August 02, 2010 Filed Aug 3, 2010 16:05 UTC |
GOODE DAVID RDirector
|
Tax withholdingCommon | 2,556 | $71.21 | $182,012.76 |
DisclosureSEC source: 0000018230-10-000388 · edgar.xml · nonDerivative · entry 2 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,781 F1 · balance_after: Included in this amount are 4726 shares in dividend reinvestment. Read SEC document |
| August 02, 2010 Filed Aug 3, 2010 16:05 UTC |
GOODE DAVID RDirector
|
Exercise / conversionCommon | 8,000 | $22.76 | $182,040.00 |
DisclosureSEC source: 0000018230-10-000388 · edgar.xml · nonDerivative · entry 1 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,337 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 |
| July 30, 2010 Filed Aug 2, 2010 17:52 UTC |
WUNNING STEVEN HGroup President
|
GrantPhantom Stock Units · Derivative | 52 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000364 · edgar.xml · derivative · entry 4 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,175 Underlying: Common · 52 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.