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 |
|---|---|---|---|---|---|---|
| December 31, 2009 Filed Jan 4, 2010 21:50 UTC |
OWENS JAMES WDirector · Chairman of the Board/CEO
|
GrantPhantom Stock Units · Derivative | 182 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000033 · 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: 8,137 Underlying: Common · 182 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 |
| December 31, 2009 Filed Jan 4, 2010 21:51 UTC |
Copeland Jananne A.Chief Accounting Officer
|
GrantPhantom Stock Units · Derivative | 52 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000034 · edgar.xml · derivative · entry 2 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,012 Underlying: Common · 52 shares Expires not disclosed F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F1 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F1 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| December 31, 2009 Filed Jan 4, 2010 21:51 UTC |
LAVIN RICHARD PGroup President
|
GrantPhantom Stock Units · Derivative | 243 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000035 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,776 Underlying: Common · 243 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 |
| December 31, 2009 Filed Jan 4, 2010 21:52 UTC |
BUDA JAMES BVP, General Counsel, Secy.
|
GrantPhantom Stock Units · Derivative | 178 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000036 · edgar.xml · derivative · entry 2 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,020 Underlying: Common · 178 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 |
| December 23, 2009 Filed Dec 23, 2009 16:57 UTC |
OWENS JAMES WDirector · Chairman of the Board/CEO
|
GiftCommon | 400 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000561 · edgar.xml · nonDerivative · entry 4 OWENS JAMES W · CIK 0001171767 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Indirect · Grandchild's Trust Disclosed balance after: 700 Read SEC document |
| December 23, 2009 Filed Dec 23, 2009 16:57 UTC |
OWENS JAMES WDirector · Chairman of the Board/CEO
|
GiftCommon | 2,400 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000561 · edgar.xml · nonDerivative · entry 3 OWENS JAMES W · CIK 0001171767 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Indirect · Grandchildren's Trust Disclosed balance after: 7,200 Read SEC document |
| December 23, 2009 Filed Dec 23, 2009 16:57 UTC |
OWENS JAMES WDirector · Chairman of the Board/CEO
|
GiftCommon | 3,100 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000561 · edgar.xml · nonDerivative · entry 2 OWENS JAMES W · CIK 0001171767 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Indirect · Held in Revocable Trust Disclosed balance after: 173,277 Read SEC document |
| December 21, 2009 Filed Dec 21, 2009 20:58 UTC |
OBERHELMAN DOUGLAS RVice Chairman & CEO-Elect
|
GiftCommon | 3,369 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000559 · edgar.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Vice Chairman & CEO-Elect 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,848 F1 · balance_after: This amount includes 26,940 shares in 401K and 7975 shares in dividend reinvestment. Read SEC document |
| November 30, 2009 Filed Dec 1, 2009 16:38 UTC |
POWELL CHARLES DDirector
|
GrantCommon | 55 | $57.91 | $3,185.05 |
DisclosureSEC source: 0000018230-09-000523 · edgar.xml · nonDerivative · entry 1 POWELL CHARLES D · CIK 0001172570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,257 F2 · kind: Stock received in lieu of director's fees. F1 · balance_after: Included in this amount are 556 shares in dividend reinvestment. Read SEC document |
| November 30, 2009 Filed Dec 1, 2009 16:39 UTC |
SCHWAB SUSAN CDirector
|
GrantCommon | 224 | $57.91 | $12,971.84 |
DisclosureSEC source: 0000018230-09-000524 · edgar.xml · nonDerivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,291 F1 · kind: Stock received in lieu of director's fees. Read SEC document |
| November 30, 2009 Filed Dec 1, 2009 16:40 UTC |
DICKINSON DANIEL MDirector
|
GrantPhantom Stock Units · Derivative | 361 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000525 · edgar.xml · derivative · entry 2 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,221 Underlying: Common · 361 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 November 2009 at a price between $57.64 and $57.91 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 November 2009 at a price between $57.64 and $57.91 per share. Read SEC document |
| November 30, 2009 Filed Dec 1, 2009 16:40 UTC |
DILLON JOHN TDirector
|
GrantPhantom Stock Units · Derivative | 350 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000526 · edgar.xml · derivative · entry 2 DILLON JOHN T · CIK 0001171804 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,696 Underlying: Common · 350 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 November 2009 at a price between $57.64 and $57.91 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 November 2009 at a price between $57.64 and $57.91 per share. Read SEC document |
| November 30, 2009 Filed Dec 1, 2009 16:41 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 356 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000527 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,450 Underlying: Common · 356 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 November 2009 at a price between $57.64 and $57.91 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 November 2009 at a price between $57.64 and $57.91 per share. Read SEC document |
| November 30, 2009 Filed Dec 1, 2009 16:42 UTC |
GOODE DAVID RDirector
|
GrantPhantom Stock Units · Derivative | 625 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000528 · edgar.xml · derivative · entry 2 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,665 Underlying: Common · 625 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 November 2009 at a price between $57.64 and $57.91 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 November 2009 at a price between $57.64 and $57.91 per share. Read SEC document |
| November 30, 2009 Filed Dec 1, 2009 16:42 UTC |
MAGOWAN PETER ADirector
|
GrantPhantom Stock Units · Derivative | 435 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000529 · edgar.xml · derivative · entry 2 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,375 Underlying: Common · 435 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 November 2009 at a price between $57.64 and $57.91 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 November 2009 at a price between $57.64 and $57.91 per share. Read SEC document |
| November 30, 2009 Filed Dec 1, 2009 16:43 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 390 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000530 · edgar.xml · derivative · entry 2 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,038 Underlying: Common · 390 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 November 2009 at a price between $57.64 and $57.91 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 November 2009 at a price between $57.64 and $57.91 per share. Read SEC document |
| November 30, 2009 Filed Dec 1, 2009 17:30 UTC |
WUNNING STEVEN HGroup President
|
GrantPhantom Stock Units · Derivative | 62 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000541 · edgar.xml · derivative · entry 4 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,543 Underlying: Common · 62 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 |
| November 30, 2009 Filed Dec 1, 2009 17:30 UTC |
RAPP EDWARD JGroup President
|
GrantPhantom Stock Units · Derivative | 50 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000542 · edgar.xml · derivative · entry 2 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,872 Underlying: Common · 50 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 |
| November 30, 2009 Filed Dec 1, 2009 17:31 UTC |
OBERHELMAN DOUGLAS RVice Chairman & CEO-Elect
|
GrantPhantom Stock Units · Derivative | 125 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000543 · edgar.xml · derivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Vice Chairman & CEO-Elect 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,383 Underlying: Common · 125 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 |
| November 30, 2009 Filed Dec 1, 2009 17:32 UTC |
LEVENICK STUART LGroup President
|
GrantPhantom Stock Units · Derivative | 62 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000544 · edgar.xml · derivative · entry 2 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,798 Underlying: Common · 62 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 |
| November 30, 2009 Filed Dec 1, 2009 17:32 UTC |
Halverson Bradley MController
|
GrantPhantom Stock Units · Derivative | 30 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000545 · edgar.xml · derivative · entry 3 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,988 Underlying: Common · 30 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 |
| November 30, 2009 Filed Dec 1, 2009 17:33 UTC |
BURRITT DAVID BV.P./Chief Financial Officer
|
GrantPhantom Stock Units · Derivative | 43 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000546 · 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: 232 Underlying: Common · 43 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 |
| November 30, 2009 Filed Dec 1, 2009 17:34 UTC |
OWENS JAMES WDirector · Chairman of the Board/CEO
|
GrantPhantom Stock Units · Derivative | 132 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000547 · 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: 7,955 Underlying: Common · 132 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 |
| November 30, 2009 Filed Dec 1, 2009 17:34 UTC |
LAVIN RICHARD PGroup President
|
GrantPhantom Stock Units · Derivative | 147 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000548 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,533 Underlying: Common · 147 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 |
| November 30, 2009 Filed Dec 1, 2009 17:35 UTC |
BUDA JAMES BVP, General Counsel, Secy.
|
GrantPhantom Stock Units · Derivative | 92 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000549 · edgar.xml · derivative · entry 2 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,842 Underlying: Common · 92 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 |
| November 30, 2009 Filed Dec 1, 2009 17:35 UTC |
Copeland Jananne A.Chief Accounting Officer
|
GrantPhantom Stock Units · Derivative | 17 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000550 · edgar.xml · derivative · entry 2 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 960 Underlying: Common · 960 shares Expires not disclosed F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F1 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F1 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| November 16, 2009 Filed Nov 17, 2009 16:49 UTC |
GOODE DAVID RDirector
|
Exercise / conversionEmployee Stock Option · Derivative | 8,000 | $0.00 Strike: $21.88 | $0.00 |
DisclosureSEC source: 0000018230-09-000512 · 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 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. 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 |
| November 16, 2009 Filed Nov 17, 2009 16:49 UTC |
GOODE DAVID RDirector
|
Tax withholdingCommon | 2,912 | $60.09 | $174,967.52 |
DisclosureSEC source: 0000018230-09-000512 · edgar.xml · nonDerivative · entry 2 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,280 F1 · balance_after: Included in this amount are 3669 shares in dividend reinvestment. Read SEC document |
| November 16, 2009 Filed Nov 17, 2009 16:49 UTC |
GOODE DAVID RDirector
|
Exercise / conversionCommon | 8,000 | $21.88 | $175,000.00 |
DisclosureSEC source: 0000018230-09-000512 · edgar.xml · nonDerivative · entry 1 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,192 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 |
| November 09, 2009 Filed Nov 10, 2009 19:16 UTC |
RAPP EDWARD JGroup President
|
GiftCommon | 1,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000510 · edgar.xml · nonDerivative · entry 1 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,771 F1 · balance_after: This amount includes 13,113 shares in 401K. Read SEC document |
| November 06, 2009 Filed Nov 6, 2009 19:42 UTC |
Halverson Bradley MController
|
GiftCommon | 200 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000508 · edgar.xml · nonDerivative · entry 2 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Indirect · Owned by Wife's Trust Disclosed balance after: 4,062 F2 · ownership.nature: Beneficial ownership denied. Read SEC document |
| October 30, 2009 Filed Nov 2, 2009 19:09 UTC |
POWELL CHARLES DDirector
|
GrantCommon | 57 | $56.26 | $3,206.54 |
DisclosureSEC source: 0000018230-09-000475 · edgar.xml · nonDerivative · entry 1 POWELL CHARLES D · CIK 0001172570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,202 F2 · kind: Stock received in lieu of director's fees. F1 · balance_after: Included in this amount are 556 shares in dividend reinvestment. Read SEC document |
| October 30, 2009 Filed Nov 2, 2009 19:10 UTC |
SCHWAB SUSAN CDirector
|
GrantCommon | 231 | $56.26 | $12,994.91 |
DisclosureSEC source: 0000018230-09-000476 · edgar.xml · nonDerivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,067 F1 · kind: Stock received in lieu of director's fees. Read SEC document |
| October 30, 2009 Filed Nov 2, 2009 19:11 UTC |
DICKINSON DANIEL MDirector
|
GrantPhantom Stock Units · Derivative | 322 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000477 · edgar.xml · derivative · entry 2 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,860 Underlying: Common · 322 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 October 2009 at a price of $56.255 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 October 2009 at a price of $56.255 per share. Read SEC document |
| October 30, 2009 Filed Nov 2, 2009 19:12 UTC |
DILLON JOHN TDirector
|
GrantPhantom Stock Units · Derivative | 330 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000478 · edgar.xml · derivative · entry 2 DILLON JOHN T · CIK 0001171804 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,346 Underlying: Common · 330 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 October 2009 at a price of $56.255 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 October 2009 at a price of $56.255 per share. Read SEC document |
| October 30, 2009 Filed Nov 2, 2009 19:12 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 308 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000479 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,094 Underlying: Common · 308 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 October 2009 at a price of $56.255 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 October 2009 at a price of $56.255 per share. Read SEC document |
| October 30, 2009 Filed Nov 2, 2009 19:13 UTC |
GOODE DAVID RDirector
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GrantPhantom Stock Units · Derivative | 322 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000480 · edgar.xml · derivative · entry 2 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,040 Underlying: Common · 322 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 October 2009 at a price of $56.255 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 October 2009 at a price of $56.255 per share. Read SEC document |
| October 30, 2009 Filed Nov 2, 2009 19:14 UTC |
RUST EDWARD B JRDirector
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GrantPhantom Stock Units · Derivative | 308 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000481 · edgar.xml · derivative · entry 2 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,648 Underlying: Common · 308 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 October 2009 at a price of $56.255 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 October 2009 at a price of $56.255 per share. Read SEC document |
| October 30, 2009 Filed Nov 2, 2009 19:23 UTC |
WUNNING STEVEN HGroup President
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GrantPhantom Stock Units · Derivative | 157 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000483 · edgar.xml · derivative · entry 4 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,481 Underlying: Common · 157 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 |
| October 30, 2009 Filed Nov 2, 2009 19:27 UTC |
MAGOWAN PETER ADirector
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GrantPhantom Stock Units · Derivative | 308 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000486 · edgar.xml · derivative · entry 2 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,940 Underlying: Common · 308 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 October 2009 at a price of $56.255 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 October 2009 at a price of $56.255 per share. Read SEC document |
| October 30, 2009 Filed Nov 2, 2009 19:29 UTC |
RAPP EDWARD JGroup President
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GrantPhantom Stock Units · Derivative | 85 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000487 · edgar.xml · derivative · entry 2 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,822 Underlying: Common · 85 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 |
| October 30, 2009 Filed Nov 2, 2009 19:43 UTC |
OBERHELMAN DOUGLAS RGroup President
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GrantPhantom Stock Units · Derivative | 305 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000492 · edgar.xml · derivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,258 Underlying: Common · 305 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 |
| October 30, 2009 Filed Nov 2, 2009 19:45 UTC |
LEVENICK STUART LGroup President
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GrantPhantom Stock Units · Derivative | 128 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000493 · edgar.xml · derivative · entry 2 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,736 Underlying: Common · 128 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 |
| October 30, 2009 Filed Nov 2, 2009 19:45 UTC |
Halverson Bradley MController
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GrantPhantom Stock Units · Derivative | 50 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000494 · edgar.xml · derivative · entry 3 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,958 Underlying: Common · 50 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 |
| October 30, 2009 Filed Nov 2, 2009 19:46 UTC |
BURRITT DAVID BV.P./Chief Financial Officer
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GrantPhantom Stock Units · Derivative | 46 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000495 · 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: 189 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 |
| October 30, 2009 Filed Nov 2, 2009 19:57 UTC |
OWENS JAMES WDirector · Chairman of the Board/CEO
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GrantPhantom Stock Units · Derivative | 171 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000499 · 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: 7,823 Underlying: Common · 171 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 |
| October 30, 2009 Filed Nov 2, 2009 19:58 UTC |
LAVIN RICHARD PGroup President
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GrantPhantom Stock Units · Derivative | 222 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000500 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,386 Underlying: Common · 222 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 |
| October 30, 2009 Filed Nov 2, 2009 20:00 UTC |
BUDA JAMES BVP, General Counsel, Secy.
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GrantPhantom Stock Units · Derivative | 159 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000501 · edgar.xml · derivative · entry 2 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,750 Underlying: Common · 159 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 |
| October 28, 2009 Filed Oct 29, 2009 16:04 UTC |
LAVIN RICHARD PGroup President
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Exercise / conversionEmployee Stock Option · Derivative | 14,000 | $0.00 Strike: $27.14 | $0.00 |
DisclosureSEC source: 0000018230-09-000459 · 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 · 14,000 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 |
| October 28, 2009 Filed Oct 29, 2009 16:04 UTC |
LAVIN RICHARD PGroup President
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SaleCommon | 14,000 | $55.81 | $781,363.80 |
DisclosureSEC source: 0000018230-09-000459 · edgar.xml · nonDerivative · entry 2 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,181 F1 · balance_after: This amount includes 12,736 shares in 401K and 194 shares in dividend reinvestment. 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.