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 |
|---|---|---|---|---|---|---|
| August 31, 2009 Filed Sep 1, 2009 18:45 UTC |
OBERHELMAN DOUGLAS RGroup President
|
GrantPhantom Stock Units · Derivative | 161 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000365 · edgar.xml · derivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,811 Underlying: Common · 161 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| August 31, 2009 Filed Sep 1, 2009 18:46 UTC |
LEVENICK STUART LGroup President
|
GrantPhantom Stock Units · Derivative | 80 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000366 · edgar.xml · derivative · entry 2 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,537 Underlying: Common · 80 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 |
| August 31, 2009 Filed Sep 1, 2009 18:47 UTC |
BURRITT DAVID BV.P./Chief Financial Officer
|
GrantPhantom Stock Units · Derivative | 55 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000367 · 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: 94 Underlying: Common · 55 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 18:48 UTC |
LAVIN RICHARD PGroup President
|
GrantPhantom Stock Units · Derivative | 189 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000368 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,997 Underlying: Common · 189 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| August 31, 2009 Filed Sep 1, 2009 18:48 UTC |
BUDA JAMES BVP, General Counsel, Secy.
|
GrantPhantom Stock Units · Derivative | 119 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000369 · edgar.xml · derivative · entry 2 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,486 Underlying: Common · 119 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| August 31, 2009 Filed Sep 1, 2009 19:09 UTC |
OWENS JAMES WDirector · Chairman of the Board/CEO
|
GrantPhantom Stock Units · Derivative | 171 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000371 · edgar.xml · derivative · entry 7 OWENS JAMES W · CIK 0001171767 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,502 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 |
| August 24, 2009 Filed Aug 25, 2009 14:54 UTC |
WUNNING STEVEN HGroup President
|
Exercise / conversionEmployee Stock Option · Derivative | 48,000 | $0.00 Strike: $26.77 | $0.00 |
DisclosureSEC source: 0000018230-09-000336 · edgar.xml · derivative · entry 6 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 48,000 shares Expires 2011-06-12 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · security: (Right to buy) with tandem tax withholding rights. F6 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| August 24, 2009 Filed Aug 25, 2009 14:54 UTC |
WUNNING STEVEN HGroup President
|
Tax withholdingCommon | 35,097 | $48.13 | $1,689,218.61 |
DisclosureSEC source: 0000018230-09-000336 · edgar.xml · nonDerivative · entry 2 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,187 F1 · balance_after: This amount includes 23,722 shares in 401K. Read SEC document |
| August 24, 2009 Filed Aug 25, 2009 14:54 UTC |
WUNNING STEVEN HGroup President
|
Exercise / conversionCommon | 48,000 | $26.77 | $1,284,720.00 |
DisclosureSEC source: 0000018230-09-000336 · edgar.xml · nonDerivative · entry 1 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 106,284 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 21, 2009 Filed Sep 1, 2009 19:09 UTC |
OWENS JAMES WDirector · Chairman of the Board/CEO
|
GiftCommon | 37,247 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000371 · edgar.xml · nonDerivative · entry 4 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: 176,377 Read SEC document |
| August 21, 2009 Filed Sep 1, 2009 19:09 UTC |
OWENS JAMES WDirector · Chairman of the Board/CEO
|
GiftCommon | 37,247 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000371 · 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: 181,760 F1 · balance_after: This amount includes 31,736 shares in 401K. Read SEC document |
| August 07, 2009 Filed Aug 10, 2009 14:19 UTC |
OWENS JAMES WDirector · Chairman of the Board/CEO
|
Exercise / conversionEmployee Stock Option · Derivative | 5,202 | $0.00 Strike: $19.20 | $0.00 |
DisclosureSEC source: 0000018230-09-000328 · edgar.xml · derivative · entry 10 OWENS JAMES W · CIK 0001171767 · Director · Chairman of the Board/CEO 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. F4 · security: (Right to buy) with tandem tax withholding rights. F5 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| August 07, 2009 Filed Aug 10, 2009 14:19 UTC |
OWENS JAMES WDirector · Chairman of the Board/CEO
|
Exercise / conversionEmployee Stock Option · Derivative | 102,798 | $0.00 Strike: $19.20 | $0.00 |
DisclosureSEC source: 0000018230-09-000328 · edgar.xml · derivative · entry 9 OWENS JAMES W · CIK 0001171767 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 102,798 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. F4 · security: (Right to buy) with tandem tax withholding rights. F5 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| August 07, 2009 Filed Aug 10, 2009 14:19 UTC |
OWENS JAMES WDirector · Chairman of the Board/CEO
|
Tax withholdingCommon | 2,089 | $47.82 | $99,885.54 |
DisclosureSEC source: 0000018230-09-000328 · edgar.xml · nonDerivative · entry 4 OWENS JAMES W · CIK 0001171767 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 223,044 F1 · balance_after: This amount includes 31,736 shares in 401K. Read SEC document |
| August 07, 2009 Filed Aug 10, 2009 14:19 UTC |
OWENS JAMES WDirector · Chairman of the Board/CEO
|
Exercise / conversionCommon | 5,202 | $19.20 | $99,895.05 |
DisclosureSEC source: 0000018230-09-000328 · 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: 225,133 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 07, 2009 Filed Aug 10, 2009 14:19 UTC |
OWENS JAMES WDirector · Chairman of the Board/CEO
|
Tax withholdingCommon | 65,551 | $47.82 | $3,134,321.07 |
DisclosureSEC source: 0000018230-09-000328 · 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: 219,931 Read SEC document |
| August 07, 2009 Filed Aug 10, 2009 14:19 UTC |
OWENS JAMES WDirector · Chairman of the Board/CEO
|
Exercise / conversionCommon | 102,798 | $19.20 | $1,974,050.55 |
DisclosureSEC source: 0000018230-09-000328 · 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: 285,482 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 06, 2009 Filed Aug 7, 2009 13:36 UTC |
LAVIN RICHARD PGroup President
|
Exercise / conversionEmployee Stock Option · Derivative | 20,000 | $0.00 Strike: $27.14 | $0.00 |
DisclosureSEC source: 0000018230-09-000325 · edgar.xml · derivative · entry 5 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 20,000 shares Expires 2013-06-10 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · security: (Right to buy) with tandem tax withholding rights. F5 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| August 06, 2009 Filed Aug 7, 2009 13:36 UTC |
LAVIN RICHARD PGroup President
|
SaleCommon | 20,000 | $47.12 | $942,340.00 |
DisclosureSEC source: 0000018230-09-000325 · edgar.xml · nonDerivative · entry 2 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,098 F1 · balance_after: This amount includes 12,682 shares in 401K and 165 shares in dividend reinvestment. Read SEC document |
| August 06, 2009 Filed Aug 7, 2009 13:36 UTC |
LAVIN RICHARD PGroup President
|
Exercise / conversionCommon | 20,000 | $27.14 | $542,850.00 |
DisclosureSEC source: 0000018230-09-000325 · edgar.xml · nonDerivative · entry 1 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,098 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 05, 2009 Filed Aug 6, 2009 14:21 UTC |
FOSLER GAIL DDirector
|
Exercise / conversionEmployee Stock Option · Derivative | 4,000 | $0.00 Strike: $26.03 | $0.00 |
DisclosureSEC source: 0000018230-09-000319 · edgar.xml · derivative · entry 2 FOSLER GAIL D · CIK 0001161659 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 4,000 shares Expires 2013-04-09 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: (Right to buy) with tandem tax withholding rights. F2 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| August 05, 2009 Filed Aug 6, 2009 14:21 UTC |
FOSLER GAIL DDirector
|
Exercise / conversionCommon | 4,000 | $26.03 | $104,120.00 |
DisclosureSEC source: 0000018230-09-000319 · edgar.xml · nonDerivative · entry 1 FOSLER GAIL D · CIK 0001161659 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,515 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 05, 2009 Filed Aug 6, 2009 15:02 UTC |
VITTECOQ GERARD RGroup President
|
Exercise / conversionEmployee Stock Option · Derivative | 12,000 | $0.00 Strike: $19.20 | $0.00 |
DisclosureSEC source: 0000018230-09-000321 · 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 · 12,000 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 |
| August 05, 2009 Filed Aug 6, 2009 15:02 UTC |
VITTECOQ GERARD RGroup President
|
Tax withholdingCommon | 4,875 | $47.26 | $230,392.50 |
DisclosureSEC source: 0000018230-09-000321 · edgar.xml · nonDerivative · entry 2 VITTECOQ GERARD R · CIK 0001171778 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,411 F1 · balance_after: Included in this amount are 37,093 shares in EIP. Read SEC document |
| August 05, 2009 Filed Aug 6, 2009 15:02 UTC |
VITTECOQ GERARD RGroup President
|
Exercise / conversionCommon | 12,000 | $19.20 | $230,438.40 |
DisclosureSEC source: 0000018230-09-000321 · edgar.xml · nonDerivative · entry 1 VITTECOQ GERARD R · CIK 0001171778 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,286 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 05, 2009 Filed Aug 6, 2009 17:41 UTC |
RAPP EDWARD JGroup President
|
OtherPhantom Stock Units · Derivative | 10,227 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000323 · edgar.xml · derivative · entry 2 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,617 Underlying: Common · 10,227 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| August 04, 2009 Filed Aug 5, 2009 15:57 UTC |
RAPP EDWARD JGroup President
|
Exercise / conversionEmployee Stock Option · Derivative | 5,202 | $0.00 Strike: $19.20 | $0.00 |
DisclosureSEC source: 0000018230-09-000315 · 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 · 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. F4 · security: (Right to buy) with tandem tax withholding rights. F5 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| August 04, 2009 Filed Aug 5, 2009 15:57 UTC |
RAPP EDWARD JGroup President
|
Tax withholdingCommon | 2,139 | $46.68 | $99,848.52 |
DisclosureSEC source: 0000018230-09-000315 · edgar.xml · nonDerivative · entry 2 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,619 F1 · balance_after: This amount includes 13,057 shares in 401K. Read SEC document |
| August 04, 2009 Filed Aug 5, 2009 15:57 UTC |
RAPP EDWARD JGroup President
|
Exercise / conversionCommon | 5,202 | $19.20 | $99,895.05 |
DisclosureSEC source: 0000018230-09-000315 · edgar.xml · nonDerivative · entry 1 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,758 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| August 04, 2009 Filed Aug 5, 2009 15:59 UTC |
OBERHELMAN DOUGLAS RGroup President
|
Exercise / conversionEmployee Stock Option · Derivative | 2,601 | $0.00 Strike: $19.20 | $0.00 |
DisclosureSEC source: 0000018230-09-000316 · edgar.xml · derivative · entry 4 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 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. F4 · security: (Right to buy) with tandem tax withholding rights. F5 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| August 04, 2009 Filed Aug 5, 2009 15:59 UTC |
OBERHELMAN DOUGLAS RGroup President
|
Tax withholdingCommon | 1,069 | $46.68 | $49,900.92 |
DisclosureSEC source: 0000018230-09-000316 · edgar.xml · nonDerivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 81,684 F1 · balance_after: This amount includes 26,826 shares in 401K and 5556 shares in dividend reinvestment. Read SEC document |
| August 04, 2009 Filed Aug 5, 2009 15:59 UTC |
OBERHELMAN DOUGLAS RGroup President
|
Exercise / conversionCommon | 2,601 | $19.20 | $49,947.52 |
DisclosureSEC source: 0000018230-09-000316 · edgar.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,753 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| August 04, 2009 Filed Aug 5, 2009 16:03 UTC |
MAGOWAN PETER ADirector
|
Exercise / conversionEmployee Stock Option · Derivative | 8,000 | $0.00 Strike: $26.03 | $0.00 |
DisclosureSEC source: 0000018230-09-000317 · edgar.xml · derivative · entry 13 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 8,000 shares Expires 2013-04-09 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · security: (Right to buy) with tandem tax withholding rights. F5 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| August 04, 2009 Filed Aug 5, 2009 16:03 UTC |
MAGOWAN PETER ADirector
|
Exercise / conversionEmployee Stock Option · Derivative | 8,000 | $0.00 Strike: $29.43 | $0.00 |
DisclosureSEC source: 0000018230-09-000317 · edgar.xml · derivative · entry 12 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 8,000 shares Expires 2012-04-10 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · security: (Right to buy) with tandem tax withholding rights. F5 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| August 04, 2009 Filed Aug 5, 2009 16:03 UTC |
MAGOWAN PETER ADirector
|
Exercise / conversionEmployee Stock Option · Derivative | 8,000 | $0.00 Strike: $22.76 | $0.00 |
DisclosureSEC source: 0000018230-09-000317 · edgar.xml · derivative · entry 11 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 8,000 shares Expires 2011-04-11 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · security: (Right to buy) with tandem tax withholding rights. F5 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| August 04, 2009 Filed Aug 5, 2009 16:03 UTC |
MAGOWAN PETER ADirector
|
Exercise / conversionEmployee Stock Option · Derivative | 8,000 | $0.00 Strike: $21.88 | $0.00 |
DisclosureSEC source: 0000018230-09-000317 · edgar.xml · derivative · entry 10 MAGOWAN PETER A · CIK 0001171799 · 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 |
| August 04, 2009 Filed Aug 5, 2009 16:03 UTC |
MAGOWAN PETER ADirector
|
Tax withholdingCommon | 4,461 | $46.68 | $208,239.48 |
DisclosureSEC source: 0000018230-09-000317 · edgar.xml · nonDerivative · entry 8 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 304,514 F1 · balance_after: This amount includes 4417 shares in dividend reinvestment. Read SEC document |
| August 04, 2009 Filed Aug 5, 2009 16:03 UTC |
MAGOWAN PETER ADirector
|
Exercise / conversionCommon | 8,000 | $26.03 | $208,240.00 |
DisclosureSEC source: 0000018230-09-000317 · edgar.xml · nonDerivative · entry 7 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 308,975 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| August 04, 2009 Filed Aug 5, 2009 16:03 UTC |
MAGOWAN PETER ADirector
|
Tax withholdingCommon | 5,044 | $46.68 | $235,453.92 |
DisclosureSEC source: 0000018230-09-000317 · edgar.xml · nonDerivative · entry 6 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 300,975 Read SEC document |
| August 04, 2009 Filed Aug 5, 2009 16:03 UTC |
MAGOWAN PETER ADirector
|
Exercise / conversionCommon | 8,000 | $29.43 | $235,460.00 |
DisclosureSEC source: 0000018230-09-000317 · edgar.xml · nonDerivative · entry 5 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 306,019 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| August 04, 2009 Filed Aug 5, 2009 16:03 UTC |
MAGOWAN PETER ADirector
|
Tax withholdingCommon | 3,899 | $46.68 | $182,005.32 |
DisclosureSEC source: 0000018230-09-000317 · edgar.xml · nonDerivative · entry 4 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 298,019 Read SEC document |
| August 04, 2009 Filed Aug 5, 2009 16:03 UTC |
MAGOWAN PETER ADirector
|
Exercise / conversionCommon | 8,000 | $22.76 | $182,040.00 |
DisclosureSEC source: 0000018230-09-000317 · edgar.xml · nonDerivative · entry 3 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 301,918 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| August 04, 2009 Filed Aug 5, 2009 16:03 UTC |
MAGOWAN PETER ADirector
|
Tax withholdingCommon | 3,748 | $46.68 | $174,956.64 |
DisclosureSEC source: 0000018230-09-000317 · edgar.xml · nonDerivative · entry 2 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 293,918 Read SEC document |
| August 04, 2009 Filed Aug 5, 2009 16:03 UTC |
MAGOWAN PETER ADirector
|
Exercise / conversionCommon | 8,000 | $21.88 | $175,000.00 |
DisclosureSEC source: 0000018230-09-000317 · edgar.xml · nonDerivative · entry 1 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 297,666 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| July 31, 2009 Filed Aug 3, 2009 17:34 UTC |
POWELL CHARLES DDirector
|
GrantCommon | 73 | $43.74 | $3,192.66 |
DisclosureSEC source: 0000018230-09-000282 · edgar.xml · nonDerivative · entry 1 POWELL CHARLES D · CIK 0001172570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,014 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 |
| July 31, 2009 Filed Aug 3, 2009 17:35 UTC |
SCHWAB SUSAN CDirector
|
GrantCommon | 297 | $43.74 | $12,989.30 |
DisclosureSEC source: 0000018230-09-000283 · edgar.xml · nonDerivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 297 F1 · kind: Stock received in lieu of director's fees. Read SEC document |
| July 31, 2009 Filed Aug 3, 2009 17:50 UTC |
DICKINSON DANIEL MDirector
|
GrantPhantom Stock Units · Derivative | 415 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000288 · edgar.xml · derivative · entry 2 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,734 Underlying: Common · 415 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 July 2009 at a price of $43.735 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 July 2009 at a price of $43.735 per share. Read SEC document |
| July 31, 2009 Filed Aug 3, 2009 17:51 UTC |
DILLON JOHN TDirector
|
GrantPhantom Stock Units · Derivative | 424 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000289 · edgar.xml · derivative · entry 2 DILLON JOHN T · CIK 0001171804 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,219 Underlying: Common · 424 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 July 2009 at a price of $43.735 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 July 2009 at a price of $43.735 per share. Read SEC document |
| July 31, 2009 Filed Aug 3, 2009 17:51 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 396 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000290 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,005 Underlying: Common · 396 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 July 2009 at a price of $43.735 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 July 2009 at a price of $43.735 per share. Read SEC document |
| July 31, 2009 Filed Aug 3, 2009 17:52 UTC |
GOODE DAVID RDirector
|
GrantPhantom Stock Units · Derivative | 415 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000291 · edgar.xml · derivative · entry 2 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,581 Underlying: Common · 415 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 July 2009 at a price of $43.735 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 July 2009 at a price of $43.735 per share. 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.