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 |
|---|---|---|---|---|---|---|
| April 30, 2010 Filed May 3, 2010 17:46 UTC |
OWENS JAMES WDirector · Chairman of the Board/CEO
|
GrantPhantom Stock Units · Derivative | 113 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000227 · edgar.xml · derivative · entry 5 OWENS JAMES W · CIK 0001171767 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,431 Underlying: Common · 113 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 |
| April 30, 2010 Filed May 3, 2010 17:47 UTC |
LAVIN RICHARD PGroup President
|
GrantPhantom Stock Units · Derivative | 45 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000228 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,418 Underlying: Common · 45 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 |
| April 30, 2010 Filed May 3, 2010 19:54 UTC |
SCHWAB SUSAN CDirector
|
GrantCommon | 187 | $69.57 | $13,009.59 |
DisclosureSEC source: 0000018230-10-000240 · edgar.xml · nonDerivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,386 F1 · kind: Stock received in lieu of director's fees. Read SEC document |
| April 30, 2010 Filed May 3, 2010 19:55 UTC |
POWELL CHARLES DDirector
|
GrantCommon | 46 | $69.57 | $3,200.22 |
DisclosureSEC source: 0000018230-10-000241 · edgar.xml · nonDerivative · entry 1 POWELL CHARLES D · CIK 0001172570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,600 F2 · kind: Stock received in lieu of director's fees. F1 · balance_after: Included in this amount are 631 shares in dividend reinvestment. Read SEC document |
| April 30, 2010 Filed May 3, 2010 19:56 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 249 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000242 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,972 Underlying: Common · 249 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 2010 at a price of $69.57 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 2010 at a price of $69.57 per share. Read SEC document |
| April 30, 2010 Filed May 3, 2010 19:57 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 250 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000243 · edgar.xml · derivative · entry 2 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,593 Underlying: Common · 250 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 2010 at a price of $69.57 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 2010 at a price of $69.57 per share. Read SEC document |
| April 30, 2010 Filed May 3, 2010 19:57 UTC |
MAGOWAN PETER ADirector
|
GrantPhantom Stock Units · Derivative | 249 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000244 · edgar.xml · derivative · entry 2 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,976 Underlying: Common · 249 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 2010 at a price of $69.57 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 2010 at a price of $69.57 per share. Read SEC document |
| April 30, 2010 Filed May 3, 2010 19:58 UTC |
GOODE DAVID RDirector
|
GrantPhantom Stock Units · Derivative | 261 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000245 · edgar.xml · derivative · entry 2 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,510 Underlying: Common · 261 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 2010 at a price of $69.57 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 2010 at a price of $69.57 per share. Read SEC document |
| April 30, 2010 Filed May 3, 2010 19:59 UTC |
DILLON JOHN TDirector
|
GrantPhantom Stock Units · Derivative | 267 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000246 · edgar.xml · derivative · entry 2 DILLON JOHN T · CIK 0001171804 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,297 Underlying: Common · 267 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 2010 at a price of $69.57 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 2010 at a price of $69.57 per share. Read SEC document |
| April 30, 2010 Filed May 3, 2010 19:59 UTC |
DICKINSON DANIEL MDirector
|
GrantPhantom Stock Units · Derivative | 261 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000247 · edgar.xml · derivative · entry 2 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,805 Underlying: Common · 261 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 2010 at a price of $69.57 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 2010 at a price of $69.57 per share. Read SEC document |
| April 12, 2010 Filed Apr 14, 2010 15:12 UTC |
GALLARDO JUANDirector
|
Exercise / conversionEmployee Stock Option · Derivative | 8,000 | $0.00 Strike: $21.88 | $0.00 |
DisclosureSEC source: 0000018230-10-000206 · edgar.xml · derivative · entry 3 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 8,000 shares Expires 2010-04-12 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. F3 · security: (Right to buy) with tandem tax withholding rights. F4 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| April 12, 2010 Filed Apr 14, 2010 15:12 UTC |
GALLARDO JUANDirector
|
Exercise / conversionCommon | 8,000 | $21.88 | $175,000.00 |
DisclosureSEC source: 0000018230-10-000206 · edgar.xml · nonDerivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 220,756 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 05, 2010 Filed Apr 6, 2010 18:00 UTC |
OWENS JAMES WDirector · Chairman of the Board/CEO
|
Exercise / conversionEmployee Stock Option · Derivative | 108,000 | $0.00 Strike: $26.77 | $0.00 |
DisclosureSEC source: 0000018230-10-000199 · edgar.xml · derivative · entry 8 OWENS JAMES W · CIK 0001171767 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 108,000 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. 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 |
| April 05, 2010 Filed Apr 6, 2010 18:00 UTC |
OWENS JAMES WDirector · Chairman of the Board/CEO
|
Tax withholdingCommon | 69,699 | $64.60 | $4,502,555.40 |
DisclosureSEC source: 0000018230-10-000199 · edgar.xml · nonDerivative · entry 3 OWENS JAMES W · CIK 0001171767 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 216,135 F1 · balance_after: This amount includes 32,493 shares in 401K. Read SEC document |
| April 05, 2010 Filed Apr 6, 2010 18:00 UTC |
OWENS JAMES WDirector · Chairman of the Board/CEO
|
Exercise / conversionCommon | 108,000 | $26.77 | $2,890,620.00 |
DisclosureSEC source: 0000018230-10-000199 · edgar.xml · nonDerivative · entry 2 OWENS JAMES W · CIK 0001171767 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 285,834 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 05, 2010 Filed Apr 6, 2010 18:00 UTC |
OWENS JAMES WDirector · Chairman of the Board/CEO
|
Tax withholdingCommon | 658 | $64.60 | $42,506.80 |
DisclosureSEC source: 0000018230-10-000199 · edgar.xml · nonDerivative · entry 1 OWENS JAMES W · CIK 0001171767 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 177,834 F4 · kind: Amount reflects shares surrendered to satisfy tax withholding requirements upon the vesting of restricted stock. Read SEC document |
| April 05, 2010 Filed Apr 6, 2010 17:59 UTC |
LAVIN RICHARD PGroup President
|
Tax withholdingCommon | 99 | $64.60 | $6,395.40 |
DisclosureSEC source: 0000018230-10-000198 · edgar.xml · nonDerivative · entry 1 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,387 F4 · kind: Amount reflects shares surrendered to satisfy tax withholding requirements upon the vesting of restricted stock. F1 · balance_after: This amount includes 13,285 shares in 401K and 218 shares in dividend reinvestment. Read SEC document |
| April 05, 2010 Filed Apr 6, 2010 18:08 UTC |
RAPP EDWARD JGroup President
|
Exercise / conversionEmployee Stock Option · Derivative | 24,000 | $0.00 Strike: $26.77 | $0.00 |
DisclosureSEC source: 0000018230-10-000201 · edgar.xml · derivative · entry 5 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 24,000 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. 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 |
| April 05, 2010 Filed Apr 6, 2010 18:08 UTC |
RAPP EDWARD JGroup President
|
SaleCommon | 24,000 | $65.00 | $1,560,000.00 |
DisclosureSEC source: 0000018230-10-000201 · edgar.xml · nonDerivative · entry 3 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,767 F1 · balance_after: This amount includes 13,411 shares in 401K. Read SEC document |
| April 05, 2010 Filed Apr 6, 2010 18:08 UTC |
RAPP EDWARD JGroup President
|
Exercise / conversionCommon | 24,000 | $26.77 | $642,360.00 |
DisclosureSEC source: 0000018230-10-000201 · edgar.xml · nonDerivative · entry 2 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,767 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 05, 2010 Filed Apr 6, 2010 18:08 UTC |
RAPP EDWARD JGroup President
|
Tax withholdingCommon | 132 | $64.60 | $8,527.20 |
DisclosureSEC source: 0000018230-10-000201 · edgar.xml · nonDerivative · entry 1 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,767 F4 · kind: Amount reflects shares surrendered to satisfy tax withholding requirements upon the vesting of restricted stock. Read SEC document |
| April 01, 2010 Filed Apr 5, 2010 18:18 UTC |
RAPP EDWARD JGroup President
|
GrantRestricted Stock Units · Derivative | 1,175 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000194 · edgar.xml · derivative · entry 3 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,175 Underlying: Common · 1,175 shares Expires not disclosed F5 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Caterpillar common stock. F4 · derivative.exercise_date: The restricted stock units vest 1/3 on April 1, 2013; 1/3 on April 1, 2014; 1/3 on April 1, 2015. F4 · derivative.expiration_date: The restricted stock units vest 1/3 on April 1, 2013; 1/3 on April 1, 2014; 1/3 on April 1, 2015. Read SEC document |
| April 01, 2010 Filed Apr 5, 2010 18:19 UTC |
LAVIN RICHARD PGroup President
|
GrantRestricted Stock Units · Derivative | 775 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000195 · edgar.xml · derivative · entry 4 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 775 Underlying: Common · 775 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 1/3 on April 1, 2013; 1/3 on April 1, 2014; 1/3 on April 1, 2015. F5 · derivative.expiration_date: The restricted stock units vest 1/3 on April 1, 2013; 1/3 on April 1, 2014; 1/3 on April 1, 2015. Read SEC document |
| March 31, 2010 Filed Apr 1, 2010 15:51 UTC |
POWELL CHARLES DDirector
|
GrantCommon | 51 | $63.07 | $3,216.32 |
DisclosureSEC source: 0000018230-10-000172 · edgar.xml · nonDerivative · entry 1 POWELL CHARLES D · CIK 0001172570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,554 F2 · kind: Stock received in lieu of director's fees. F1 · balance_after: Included in this amount are 631 shares in dividend reinvestment. Read SEC document |
| March 31, 2010 Filed Apr 1, 2010 15:52 UTC |
SCHWAB SUSAN CDirector
|
GrantCommon | 206 | $63.07 | $12,991.39 |
DisclosureSEC source: 0000018230-10-000173 · edgar.xml · nonDerivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,199 F1 · kind: Stock received in lieu of director's fees. Read SEC document |
| March 31, 2010 Filed Apr 1, 2010 16:19 UTC |
DICKINSON DANIEL MDirector
|
GrantPhantom Stock Units · Derivative | 288 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000179 · edgar.xml · derivative · entry 2 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,544 Underlying: Common · 288 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 March 2010 at a price of $63.065 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 March 2010 at a price of $63.065 per share. Read SEC document |
| March 31, 2010 Filed Apr 1, 2010 16:19 UTC |
DILLON JOHN TDirector
|
GrantPhantom Stock Units · Derivative | 295 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000180 · edgar.xml · derivative · entry 2 DILLON JOHN T · CIK 0001171804 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,030 Underlying: Common · 295 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 March 2010 at a price of $63.065 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 March 2010 at a price of $63.065 per share. Read SEC document |
| March 31, 2010 Filed Apr 1, 2010 16:20 UTC |
GOODE DAVID RDirector
|
GrantPhantom Stock Units · Derivative | 288 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000181 · edgar.xml · derivative · entry 2 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,249 Underlying: Common · 288 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 March 2010 at a price of $63.065 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 March 2010 at a price of $63.065 per share. Read SEC document |
| March 31, 2010 Filed Apr 1, 2010 16:21 UTC |
MAGOWAN PETER ADirector
|
GrantPhantom Stock Units · Derivative | 275 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000182 · edgar.xml · derivative · entry 2 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,727 Underlying: Common · 275 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 March 2010 at a price of $63.065 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 March 2010 at a price of $63.065 per share. Read SEC document |
| March 31, 2010 Filed Apr 1, 2010 16:21 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 274 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000183 · edgar.xml · derivative · entry 2 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,343 Underlying: Common · 274 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 March 2010 at a price of $63.065 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 March 2010 at a price of $63.065 per share. Read SEC document |
| March 31, 2010 Filed Apr 1, 2010 17:53 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 275 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000188 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,723 Underlying: Common · 275 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 March 2010 at a price of $63.065 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 March 2010 at a price of $63.065 per share. Read SEC document |
| March 31, 2010 Filed Apr 1, 2010 17:54 UTC |
BURRITT DAVID BV.P./Chief Financial Officer
|
GrantPhantom Stock Units · Derivative | 70 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000189 · edgar.xml · derivative · entry 3 BURRITT DAVID B · CIK 0001204586 · V.P./Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,923 Underlying: Common · 70 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 |
| March 31, 2010 Filed Apr 1, 2010 17:55 UTC |
OWENS JAMES WDirector · Chairman of the Board/CEO
|
GrantPhantom Stock Units · Derivative | 123 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000190 · edgar.xml · derivative · entry 5 OWENS JAMES W · CIK 0001171767 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,274 Underlying: Common · 123 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 |
| March 31, 2010 Filed Apr 1, 2010 17:55 UTC |
LAVIN RICHARD PGroup President
|
GrantPhantom Stock Units · Derivative | 49 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000191 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,282 Underlying: Common · 49 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 |
| March 09, 2010 Filed Apr 10, 2012 20:22 UTC |
LAVIN RICHARD PGroup President
|
OtherCommon | 4 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000202 · edgar.xml · nonDerivative · entry 2 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Indirect · Daughter Disclosed balance after: 0 F2 · shares: These 4 shares were escheated by the transfer agent. Read SEC document |
| March 02, 2010 Filed Mar 3, 2010 21:14 UTC |
OBERHELMAN DOUGLAS RVice Chairman & CEO-Elect
|
Exercise / conversionEmployee Stock Option · Derivative | 2,601 | $0.00 Strike: $19.20 | $0.00 |
DisclosureSEC source: 0000018230-10-000134 · edgar.xml · derivative · entry 11 OBERHELMAN DOUGLAS R · CIK 0001171770 · Vice Chairman & CEO-Elect 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 2,601 shares Expires 2010-06-12 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. F7 · security: (Right to buy) with tandem tax withholding rights. F8 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| March 02, 2010 Filed Mar 3, 2010 21:14 UTC |
OBERHELMAN DOUGLAS RVice Chairman & CEO-Elect
|
Exercise / conversionEmployee Stock Option · Derivative | 42,798 | $0.00 Strike: $19.20 | $0.00 |
DisclosureSEC source: 0000018230-10-000134 · edgar.xml · derivative · entry 10 OBERHELMAN DOUGLAS R · CIK 0001171770 · Vice Chairman & CEO-Elect 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 42,798 shares Expires 2010-06-12 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. F7 · security: (Right to buy) with tandem tax withholding rights. F8 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| March 02, 2010 Filed Mar 3, 2010 21:14 UTC |
OBERHELMAN DOUGLAS RVice Chairman & CEO-Elect
|
Tax withholdingCommon | 854 | $58.42 | $49,890.68 |
DisclosureSEC source: 0000018230-10-000134 · edgar.xml · nonDerivative · entry 6 OBERHELMAN DOUGLAS R · CIK 0001171770 · Vice Chairman & CEO-Elect 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,029 F1 · balance_after: This amount includes 27,094 shares in 401K and 7975 shares in dividend reinvestment. Read SEC document |
| March 02, 2010 Filed Mar 3, 2010 21:14 UTC |
OBERHELMAN DOUGLAS RVice Chairman & CEO-Elect
|
Exercise / conversionCommon | 2,601 | $19.20 | $49,947.52 |
DisclosureSEC source: 0000018230-10-000134 · edgar.xml · nonDerivative · entry 5 OBERHELMAN DOUGLAS R · CIK 0001171770 · Vice Chairman & CEO-Elect 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,883 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 |
| March 02, 2010 Filed Mar 3, 2010 21:14 UTC |
OBERHELMAN DOUGLAS RVice Chairman & CEO-Elect
|
Tax withholdingCommon | 25,401 | $58.42 | $1,483,926.42 |
DisclosureSEC source: 0000018230-10-000134 · edgar.xml · nonDerivative · entry 4 OBERHELMAN DOUGLAS R · CIK 0001171770 · Vice Chairman & CEO-Elect 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 78,282 Read SEC document |
| March 02, 2010 Filed Mar 3, 2010 21:14 UTC |
OBERHELMAN DOUGLAS RVice Chairman & CEO-Elect
|
Exercise / conversionCommon | 42,798 | $19.20 | $821,858.55 |
DisclosureSEC source: 0000018230-10-000134 · edgar.xml · nonDerivative · entry 3 OBERHELMAN DOUGLAS R · CIK 0001171770 · Vice Chairman & CEO-Elect 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 103,683 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 |
| March 02, 2010 Filed Mar 4, 2010 18:51 UTC |
LAVIN RICHARD PGroup President
|
Exercise / conversionRestricted Stock Units · Derivative | 2,594 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-10-000151 · 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 · 2,594 shares Expires 2010-03-02 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. F4 · derivative.exercise_price: Each restricted stock unit represents the equivalent of one share of Caterpillar common stock. On March 2, 2010, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar common stock. F4 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar common stock. On March 2, 2010, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar common stock. Read SEC document |
| March 02, 2010 Filed Mar 4, 2010 18:51 UTC |
LAVIN RICHARD PGroup President
|
Tax withholdingCommon | 764 | $58.42 | $44,632.88 |
DisclosureSEC source: 0000018230-10-000151 · edgar.xml · nonDerivative · entry 2 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,010 F5 · kind: Amount reflects shares surrendered to satisfy tax withholding requirements upon the vesting of restricted stock units. F1 · balance_after: This amount includes 12,809 shares in 401K and 218 shares in dividend reinvestment. Read SEC document |
| March 02, 2010 Filed Mar 4, 2010 18:51 UTC |
LAVIN RICHARD PGroup President
|
Exercise / conversionCommon | 2,594 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-10-000151 · edgar.xml · nonDerivative · entry 1 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,774 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 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar common stock. On March 2, 2010, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar common stock. Read SEC document |
| March 02, 2010 Filed Mar 4, 2010 18:52 UTC |
LEVENICK STUART LGroup President
|
Exercise / conversionRestricted Stock Units · Derivative | 4,832 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-10-000152 · 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 · 4,832 shares Expires 2010-03-02 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. F4 · derivative.exercise_price: Each restricted stock unit represents the equivalent of one share of Caterpillar common stock. On March 2, 2010, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar common stock. F4 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar common stock. On March 2, 2010, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar common stock. Read SEC document |
| March 02, 2010 Filed Mar 4, 2010 18:52 UTC |
LEVENICK STUART LGroup President
|
Tax withholdingCommon | 1,424 | $58.42 | $83,190.08 |
DisclosureSEC source: 0000018230-10-000152 · edgar.xml · nonDerivative · entry 2 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,262 F5 · kind: Amount reflects shares surrendered to satisfy tax withholding requirements upon the vesting of restricted stock units. F1 · balance_after: This amount includes 4067 shares in 401K. Read SEC document |
| March 02, 2010 Filed Mar 4, 2010 18:52 UTC |
LEVENICK STUART LGroup President
|
Exercise / conversionCommon | 4,832 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-10-000152 · edgar.xml · nonDerivative · entry 1 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,686 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 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar common stock. On March 2, 2010, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar common stock. Read SEC document |
| March 02, 2010 Filed Mar 4, 2010 18:52 UTC |
OBERHELMAN DOUGLAS RVice Chairman & CEO-Elect
|
Exercise / conversionRestricted Stock Units · Derivative | 4,832 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-10-000153 · edgar.xml · derivative · entry 4 OBERHELMAN DOUGLAS R · CIK 0001171770 · Vice Chairman & CEO-Elect 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 4,832 shares Expires 2010-03-02 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. F4 · derivative.exercise_price: Each restricted stock unit represents the equivalent of one share of Caterpillar common stock. On March 2, 2010, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar common stock. F4 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar common stock. On March 2, 2010, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar common stock. Read SEC document |
| March 02, 2010 Filed Mar 4, 2010 18:52 UTC |
OBERHELMAN DOUGLAS RVice Chairman & CEO-Elect
|
Tax withholdingCommon | 1,907 | $58.42 | $111,406.94 |
DisclosureSEC source: 0000018230-10-000153 · edgar.xml · nonDerivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Vice Chairman & CEO-Elect 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,954 F5 · kind: Amount reflects shares surrendered to satisfy tax withholding requirements upon the vesting of restricted stock units. F1 · balance_after: This amount includes 27,094 shares in 401K and 7975 shares in dividend reinvestment. Read SEC document |
| March 02, 2010 Filed Mar 4, 2010 18:52 UTC |
OBERHELMAN DOUGLAS RVice Chairman & CEO-Elect
|
Exercise / conversionCommon | 4,832 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-10-000153 · edgar.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Vice Chairman & CEO-Elect 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 84,861 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 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar common stock. On March 2, 2010, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar common stock. 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.