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 |
|---|---|---|---|---|---|---|
| October 28, 2009 Filed Oct 29, 2009 16:04 UTC |
LAVIN RICHARD PGroup President
|
Exercise / conversionCommon | 14,000 | $27.14 | $379,995.00 |
DisclosureSEC source: 0000018230-09-000459 · edgar.xml · nonDerivative · entry 1 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,181 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 |
| October 26, 2009 Filed Oct 27, 2009 19:37 UTC |
Halverson Bradley MController
|
SaleCommon | 1,000 | $59.00 | $59,000.00 |
DisclosureSEC source: 0000018230-09-000456 · 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: 4,262 F2 · ownership.nature: Beneficial ownership denied. Read SEC document |
| October 23, 2009 Filed Oct 26, 2009 15:31 UTC |
RAPP EDWARD JGroup President
|
Exercise / conversionEmployee Stock Option · Derivative | 54,000 | $0.00 Strike: $25.36 | $0.00 |
DisclosureSEC source: 0000018230-09-000454 · edgar.xml · derivative · entry 4 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 54,000 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 |
| October 23, 2009 Filed Oct 26, 2009 15:31 UTC |
RAPP EDWARD JGroup President
|
SaleCommon | 54,000 | $58.43 | $3,155,220.00 |
DisclosureSEC source: 0000018230-09-000454 · edgar.xml · nonDerivative · entry 2 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,771 F1 · balance_after: This amount includes 13,113 shares in 401K. Read SEC document |
| October 23, 2009 Filed Oct 26, 2009 15:31 UTC |
RAPP EDWARD JGroup President
|
Exercise / conversionCommon | 54,000 | $25.36 | $1,369,305.00 |
DisclosureSEC source: 0000018230-09-000454 · edgar.xml · nonDerivative · entry 1 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,771 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 |
| October 20, 2009 Filed Oct 21, 2009 15:18 UTC |
RAPP EDWARD JGroup President
|
Exercise / conversionEmployee Stock Option · Derivative | 24,000 | $0.00 Strike: $26.77 | $0.00 |
DisclosureSEC source: 0000018230-09-000442 · edgar.xml · derivative · entry 4 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. 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 20, 2009 Filed Oct 21, 2009 15:18 UTC |
RAPP EDWARD JGroup President
|
SaleCommon | 24,000 | $61.03 | $1,464,720.00 |
DisclosureSEC source: 0000018230-09-000442 · edgar.xml · nonDerivative · entry 2 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,771 F1 · balance_after: This amount includes 13,113 shares in 401K. Read SEC document |
| October 20, 2009 Filed Oct 21, 2009 15:18 UTC |
RAPP EDWARD JGroup President
|
Exercise / conversionCommon | 24,000 | $26.77 | $642,360.00 |
DisclosureSEC source: 0000018230-09-000442 · edgar.xml · nonDerivative · entry 1 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,771 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 |
| October 20, 2009 Filed Oct 21, 2009 15:26 UTC |
BURRITT DAVID BV.P./Chief Financial Officer
|
SaleCommon | 4,000 | $61.03 | $244,120.00 |
DisclosureSEC source: 0000018230-09-000444 · edgar.xml · nonDerivative · entry 1 BURRITT DAVID B · CIK 0001204586 · V.P./Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,538 F1 · balance_after: This amount includes 10,494 shares in 401K and 374 shares in dividend reinvestment. Read SEC document |
| October 20, 2009 Filed Oct 21, 2009 18:09 UTC |
VITTECOQ GERARD RGroup President
|
Exercise / conversionEmployee Stock Option · Derivative | 5,984 | $0.00 Strike: $19.20 | $0.00 |
DisclosureSEC source: 0000018230-09-000447 · edgar.xml · derivative · entry 3 VITTECOQ GERARD R · CIK 0001171778 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 5,984 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. F2 · security: (Right to buy) with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| October 20, 2009 Filed Oct 21, 2009 18:09 UTC |
VITTECOQ GERARD RGroup President
|
Tax withholdingCommon | 1,921 | $59.79 | $114,856.59 |
DisclosureSEC source: 0000018230-09-000447 · edgar.xml · nonDerivative · entry 2 VITTECOQ GERARD R · CIK 0001171778 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 103,426 F1 · balance_after: Included in this amount are 37,093 shares in EIP. Read SEC document |
| October 20, 2009 Filed Oct 21, 2009 18:09 UTC |
VITTECOQ GERARD RGroup President
|
Exercise / conversionCommon | 5,984 | $19.20 | $114,911.95 |
DisclosureSEC source: 0000018230-09-000447 · edgar.xml · nonDerivative · entry 1 VITTECOQ GERARD R · CIK 0001171778 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 105,347 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 |
| October 20, 2009 Filed Oct 21, 2009 18:15 UTC |
Halverson Bradley MController
|
Exercise / conversionEmployee Stock Option · Derivative | 5,202 | $0.00 Strike: $19.20 | $0.00 |
DisclosureSEC source: 0000018230-09-000449 · edgar.xml · derivative · entry 5 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 5,202 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. 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 |
| October 20, 2009 Filed Oct 21, 2009 18:15 UTC |
Halverson Bradley MController
|
Tax withholdingCommon | 1,670 | $59.79 | $99,849.30 |
DisclosureSEC source: 0000018230-09-000449 · edgar.xml · nonDerivative · entry 2 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,917 F1 · balance_after: This amount includes 11,068 shares in 401K. Read SEC document |
| October 20, 2009 Filed Oct 21, 2009 18:15 UTC |
Halverson Bradley MController
|
Exercise / conversionCommon | 5,202 | $19.20 | $99,895.05 |
DisclosureSEC source: 0000018230-09-000449 · edgar.xml · nonDerivative · entry 1 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,587 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 |
| October 19, 2009 Filed Oct 20, 2009 15:51 UTC |
VITTECOQ GERARD RGroup President
|
Exercise / conversionEmployee Stock Option · Derivative | 5,984 | $0.00 Strike: $19.20 | $0.00 |
DisclosureSEC source: 0000018230-09-000437 · edgar.xml · derivative · entry 3 VITTECOQ GERARD R · CIK 0001171778 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 5,984 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. F2 · security: (Right to buy) with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| October 19, 2009 Filed Oct 20, 2009 15:51 UTC |
VITTECOQ GERARD RGroup President
|
Tax withholdingCommon | 2,032 | $56.54 | $114,879.12 |
DisclosureSEC source: 0000018230-09-000437 · edgar.xml · nonDerivative · entry 2 VITTECOQ GERARD R · CIK 0001171778 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 99,363 F1 · balance_after: Included in this amount are 37,093 shares in EIP. Read SEC document |
| October 19, 2009 Filed Oct 20, 2009 15:51 UTC |
VITTECOQ GERARD RGroup President
|
Exercise / conversionCommon | 5,984 | $19.20 | $114,911.95 |
DisclosureSEC source: 0000018230-09-000437 · edgar.xml · nonDerivative · entry 1 VITTECOQ GERARD R · CIK 0001171778 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 101,395 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 |
| October 19, 2009 Filed Oct 21, 2009 18:15 UTC |
Halverson Bradley MController
|
SaleCommon | 3,300 | $55.00 | $181,500.00 |
DisclosureSEC source: 0000018230-09-000449 · edgar.xml · nonDerivative · entry 3 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Indirect · Owned by Wife's Trust Disclosed balance after: 5,262 F2 · ownership.nature: Beneficial ownership denied. Read SEC document |
| September 30, 2009 Filed Oct 1, 2009 18:14 UTC |
POWELL CHARLES DDirector
|
GrantCommon | 61 | $51.43 | $3,136.93 |
DisclosureSEC source: 0000018230-09-000393 · edgar.xml · nonDerivative · entry 1 POWELL CHARLES D · CIK 0001172570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,145 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 |
| September 30, 2009 Filed Oct 1, 2009 18:14 UTC |
SCHWAB SUSAN CDirector
|
GrantCommon | 253 | $51.43 | $13,010.53 |
DisclosureSEC source: 0000018230-09-000394 · edgar.xml · nonDerivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 836 F1 · kind: Stock received in lieu of director's fees. Read SEC document |
| September 30, 2009 Filed Oct 1, 2009 18:15 UTC |
DICKINSON DANIEL MDirector
|
GrantPhantom Stock Units · Derivative | 353 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000395 · edgar.xml · derivative · entry 2 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,537 Underlying: Common · 353 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 2009 at a price of $51.425 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 2009 at a price of $51.425 per share. Read SEC document |
| September 30, 2009 Filed Oct 1, 2009 18:16 UTC |
DILLON JOHN TDirector
|
GrantPhantom Stock Units · Derivative | 361 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000396 · edgar.xml · derivative · entry 2 DILLON JOHN T · CIK 0001171804 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,016 Underlying: Common · 361 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 2009 at a price of $51.425 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 2009 at a price of $51.425 per share. Read SEC document |
| September 30, 2009 Filed Oct 1, 2009 18:16 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 337 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000397 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,786 Underlying: Common · 337 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 2009 at a price of $51.425 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 2009 at a price of $51.425 per share. Read SEC document |
| September 30, 2009 Filed Oct 1, 2009 18:17 UTC |
GOODE DAVID RDirector
|
GrantPhantom Stock Units · Derivative | 353 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000398 · edgar.xml · derivative · entry 2 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,717 Underlying: Common · 353 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 2009 at a price of $51.425 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 2009 at a price of $51.425 per share. Read SEC document |
| September 30, 2009 Filed Oct 1, 2009 18:18 UTC |
MAGOWAN PETER ADirector
|
GrantPhantom Stock Units · Derivative | 337 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000399 · edgar.xml · derivative · entry 2 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,632 Underlying: Common · 337 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 2009 at a price of $51.425 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 2009 at a price of $51.425 per share. Read SEC document |
| September 30, 2009 Filed Oct 1, 2009 18:18 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 337 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000400 · edgar.xml · derivative · entry 2 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,340 Underlying: Common · 337 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 2009 at a price of $51.425 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 2009 at a price of $51.425 per share. Read SEC document |
| September 30, 2009 Filed Oct 1, 2009 19:35 UTC |
WUNNING STEVEN HGroup President
|
GrantPhantom Stock Units · Derivative | 71 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000409 · edgar.xml · derivative · entry 4 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,324 Underlying: Common · 71 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, 2009 Filed Oct 1, 2009 19:36 UTC |
RAPP EDWARD JGroup President
|
GrantPhantom Stock Units · Derivative | 56 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000410 · edgar.xml · derivative · entry 2 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,737 Underlying: Common · 56 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, 2009 Filed Oct 1, 2009 19:36 UTC |
OBERHELMAN DOUGLAS RGroup President
|
GrantPhantom Stock Units · Derivative | 142 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000411 · edgar.xml · derivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,953 Underlying: Common · 142 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, 2009 Filed Oct 1, 2009 19:37 UTC |
LEVENICK STUART LGroup President
|
GrantPhantom Stock Units · Derivative | 71 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000412 · edgar.xml · derivative · entry 2 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,608 Underlying: Common · 71 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 |
| September 30, 2009 Filed Oct 1, 2009 19:38 UTC |
Halverson Bradley MController
|
GrantPhantom Stock Units · Derivative | 30 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000413 · edgar.xml · derivative · entry 3 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,908 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 |
| September 30, 2009 Filed Oct 1, 2009 19:39 UTC |
BURRITT DAVID BV.P./Chief Financial Officer
|
GrantPhantom Stock Units · Derivative | 49 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000414 · 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: 143 Underlying: Common · 49 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, 2009 Filed Oct 1, 2009 19:39 UTC |
LAVIN RICHARD PGroup President
|
GrantPhantom Stock Units · Derivative | 167 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000415 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,164 Underlying: Common · 167 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, 2009 Filed Oct 1, 2009 19:40 UTC |
BUDA JAMES BVP, General Counsel, Secy.
|
GrantPhantom Stock Units · Derivative | 105 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000416 · edgar.xml · derivative · entry 2 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,591 Underlying: Common · 105 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, 2009 Filed Oct 1, 2009 21:27 UTC |
OWENS JAMES WDirector · Chairman of the Board/CEO
|
GrantPhantom Stock Units · Derivative | 150 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000418 · 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: 7,652 Underlying: Common · 150 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, 2009 Filed Oct 1, 2009 21:27 UTC |
OWENS JAMES WDirector · Chairman of the Board/CEO
|
GiftCommon | 10,017 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000418 · 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: 171,743 F1 · balance_after: This amount includes 31,736 shares in 401K. Read SEC document |
| September 15, 2009 Filed Sep 16, 2009 14:45 UTC |
LEVENICK STUART LGroup President
|
Exercise / conversionEmployee Stock Option · Derivative | 54,000 | $0.00 Strike: $25.36 | $0.00 |
DisclosureSEC source: 0000018230-09-000377 · 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 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 15, 2009 Filed Sep 16, 2009 14:45 UTC |
LEVENICK STUART LGroup President
|
Tax withholdingCommon | 37,757 | $50.39 | $1,902,386.45 |
DisclosureSEC source: 0000018230-09-000377 · edgar.xml · nonDerivative · entry 2 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,913 F1 · balance_after: This amount includes 4027 shares in 401K. Read SEC document |
| September 15, 2009 Filed Sep 16, 2009 14:45 UTC |
LEVENICK STUART LGroup President
|
Exercise / conversionCommon | 54,000 | $25.36 | $1,369,305.00 |
DisclosureSEC source: 0000018230-09-000377 · edgar.xml · nonDerivative · entry 1 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 110,670 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 31, 2009 Filed Sep 1, 2009 16:23 UTC |
POWELL CHARLES DDirector
|
GrantCommon | 70 | $45.41 | $3,178.35 |
DisclosureSEC source: 0000018230-09-000348 · edgar.xml · nonDerivative · entry 1 POWELL CHARLES D · CIK 0001172570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,084 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 |
| August 31, 2009 Filed Sep 1, 2009 16:24 UTC |
SCHWAB SUSAN CDirector
|
GrantCommon | 286 | $45.41 | $12,985.83 |
DisclosureSEC source: 0000018230-09-000349 · edgar.xml · nonDerivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 583 F1 · kind: Stock received in lieu of director's fees. Read SEC document |
| August 31, 2009 Filed Sep 1, 2009 16:25 UTC |
DICKINSON DANIEL MDirector
|
GrantPhantom Stock Units · Derivative | 450 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000350 · edgar.xml · derivative · entry 2 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,184 Underlying: Common · 450 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 2009 at a price between $45.16 and $45.405 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 2009 at a price between $45.16 and $45.405 per share. Read SEC document |
| August 31, 2009 Filed Sep 1, 2009 16:25 UTC |
DILLON JOHN TDirector
|
GrantPhantom Stock Units · Derivative | 435 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000351 · edgar.xml · derivative · entry 2 DILLON JOHN T · CIK 0001171804 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,654 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 August 2009 at a price between $45.16 and $45.405 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 2009 at a price between $45.16 and $45.405 per share. Read SEC document |
| August 31, 2009 Filed Sep 1, 2009 16:26 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 444 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000352 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,449 Underlying: Common · 444 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 2009 at a price between $45.16 and $45.405 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 2009 at a price between $45.16 and $45.405 per share. Read SEC document |
| August 31, 2009 Filed Sep 1, 2009 16:27 UTC |
GOODE DAVID RDirector
|
GrantPhantom Stock Units · Derivative | 783 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000353 · edgar.xml · derivative · entry 2 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,364 Underlying: Common · 783 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 2009 at a price between $45.16 and $45.405 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 2009 at a price between $45.16 and $45.405 per share. Read SEC document |
| August 31, 2009 Filed Sep 1, 2009 16:27 UTC |
MAGOWAN PETER ADirector
|
GrantPhantom Stock Units · Derivative | 543 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000354 · edgar.xml · derivative · entry 2 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,295 Underlying: Common · 543 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 2009 at a price between $45.16 and $45.405 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 2009 at a price between $45.16 and $45.405 per share. Read SEC document |
| August 31, 2009 Filed Sep 1, 2009 16:28 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 485 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000355 · edgar.xml · derivative · entry 2 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,003 Underlying: Common · 485 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 2009 at a price between $45.16 and $45.405 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 2009 at a price between $45.16 and $45.405 per share. Read SEC document |
| August 31, 2009 Filed Sep 1, 2009 18:44 UTC |
WUNNING STEVEN HGroup President
|
GrantPhantom Stock Units · Derivative | 80 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000363 · edgar.xml · derivative · entry 4 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,253 Underlying: Common · 80 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, 2009 Filed Sep 1, 2009 18:45 UTC |
RAPP EDWARD JGroup President
|
GrantPhantom Stock Units · Derivative | 64 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000364 · edgar.xml · derivative · entry 2 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,681 Underlying: Common · 64 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.