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 |
|---|---|---|---|---|---|---|
| July 31, 2009 Filed Aug 3, 2009 19:22 UTC |
MAGOWAN PETER ADirector
|
GrantPhantom Stock Units · Derivative | 396 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000295 · edgar.xml · derivative · entry 2 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,752 Underlying: Common · 396 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 19:23 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 396 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000296 · edgar.xml · derivative · entry 2 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,518 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 19:23 UTC |
LEVENICK STUART LGroup President
|
GrantPhantom Stock Units · Derivative | 82 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000297 · edgar.xml · derivative · entry 3 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,457 Underlying: Common · 82 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 |
| July 31, 2009 Filed Aug 3, 2009 19:23 UTC |
LEVENICK STUART LGroup President
|
GiftCommon | 800 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000297 · edgar.xml · nonDerivative · entry 2 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,670 F1 · balance_after: This amount includes 4027 shares in 401K. Read SEC document |
| July 31, 2009 Filed Aug 3, 2009 19:39 UTC |
WUNNING STEVEN HGroup President
|
GrantPhantom Stock Units · Derivative | 82 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000302 · edgar.xml · derivative · entry 4 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,173 Underlying: Common · 82 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 |
| July 31, 2009 Filed Aug 3, 2009 19:40 UTC |
RAPP EDWARD JGroup President
|
GrantPhantom Stock Units · Derivative | 66 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000303 · edgar.xml · derivative · entry 2 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,390 Underlying: Common · 66 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 |
| July 31, 2009 Filed Aug 3, 2009 19:41 UTC |
OBERHELMAN DOUGLAS RGroup President
|
GrantPhantom Stock Units · Derivative | 165 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000304 · edgar.xml · derivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,650 Underlying: Common · 165 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 |
| July 31, 2009 Filed Aug 3, 2009 19:41 UTC |
BURRITT DAVID BV.P./Chief Financial Officer
|
GrantPhantom Stock Units · Derivative | 32 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000305 · 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: 39 Underlying: Common · 32 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 |
| July 31, 2009 Filed Aug 3, 2009 19:51 UTC |
OWENS JAMES WDirector · Chairman of the Board/CEO
|
GrantPhantom Stock Units · Derivative | 175 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000309 · 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: 7,331 Underlying: Common · 175 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 |
| July 31, 2009 Filed Aug 3, 2009 19:52 UTC |
LAVIN RICHARD PGroup President
|
GrantPhantom Stock Units · Derivative | 194 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000310 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,808 Underlying: Common · 194 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 |
| July 31, 2009 Filed Aug 3, 2009 19:52 UTC |
BUDA JAMES BVP, General Counsel, Secy.
|
GrantPhantom Stock Units · Derivative | 122 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000311 · edgar.xml · derivative · entry 2 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,367 Underlying: Common · 122 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 |
| July 30, 2009 Filed Aug 3, 2009 19:23 UTC |
LEVENICK STUART LGroup President
|
GiftCommon | 1,700 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000297 · edgar.xml · nonDerivative · entry 1 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,470 Read SEC document |
| June 30, 2009 Filed Jul 1, 2009 20:13 UTC |
POWELL CHARLES DDirector
|
GrantCommon | 94 | $33.86 | $3,182.84 |
DisclosureSEC source: 0000018230-09-000240 · edgar.xml · nonDerivative · entry 1 POWELL CHARLES D · CIK 0001172570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,833 F2 · kind: Stock received in lieu of director's fees. F1 · balance_after: Included in this amount are 448 shares in dividend reinvestment. Read SEC document |
| June 30, 2009 Filed Jul 1, 2009 20:13 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 511 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000241 · edgar.xml · derivative · entry 2 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,122 Underlying: Common · 511 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 June 2009 at a price of $33.86 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 June 2009 at a price of $33.86 per share. Read SEC document |
| June 30, 2009 Filed Jul 1, 2009 20:14 UTC |
MAGOWAN PETER ADirector
|
GrantPhantom Stock Units · Derivative | 511 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000242 · edgar.xml · derivative · entry 2 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,356 Underlying: Common · 511 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 June 2009 at a price of $33.86 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 June 2009 at a price of $33.86 per share. Read SEC document |
| June 30, 2009 Filed Jul 1, 2009 20:16 UTC |
GOODE DAVID RDirector
|
GrantPhantom Stock Units · Derivative | 536 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000243 · edgar.xml · derivative · entry 2 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,166 Underlying: Common · 536 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 June 2009 at a price of $33.86 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 June 2009 at a price of $33.86 per share. Read SEC document |
| June 30, 2009 Filed Jul 1, 2009 20:17 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 511 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000244 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,609 Underlying: Common · 511 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 June 2009 at a price of $33.86 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 June 2009 at a price of $33.86 per share. Read SEC document |
| June 30, 2009 Filed Jul 1, 2009 20:18 UTC |
DILLON JOHN TDirector
|
GrantPhantom Stock Units · Derivative | 548 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000245 · edgar.xml · derivative · entry 2 DILLON JOHN T · CIK 0001171804 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,794 Underlying: Common · 548 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 June 2009 at a price of $33.86 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 June 2009 at a price of $33.86 per share. Read SEC document |
| June 30, 2009 Filed Jul 1, 2009 20:19 UTC |
DICKINSON DANIEL MDirector
|
GrantPhantom Stock Units · Derivative | 536 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000246 · edgar.xml · derivative · entry 2 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,319 Underlying: Common · 536 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 June 2009 at a price of $33.86 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 June 2009 at a price of $33.86 per share. Read SEC document |
| June 30, 2009 Filed Jul 1, 2009 21:17 UTC |
LAVIN RICHARD PGroup President
|
GrantPhantom Stock Units · Derivative | 200 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000252 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,614 Underlying: Common · 304 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 |
| June 30, 2009 Filed Jul 1, 2009 21:17 UTC |
WUNNING STEVEN HGroup President
|
GrantPhantom Stock Units · Derivative | 685 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000253 · edgar.xml · derivative · entry 4 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,091 Underlying: Common · 685 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 |
| June 30, 2009 Filed Jul 1, 2009 21:18 UTC |
RAPP EDWARD JGroup President
|
GrantPhantom Stock Units · Derivative | 147 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000254 · edgar.xml · derivative · entry 2 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,324 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 |
| June 30, 2009 Filed Jul 1, 2009 21:19 UTC |
OBERHELMAN DOUGLAS RGroup President
|
GrantPhantom Stock Units · Derivative | 488 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000255 · edgar.xml · derivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,485 Underlying: Common · 488 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 |
| June 30, 2009 Filed Jul 1, 2009 21:19 UTC |
LEVENICK STUART LGroup President
|
GrantPhantom Stock Units · Derivative | 135 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000256 · edgar.xml · derivative · entry 2 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,375 Underlying: Common · 135 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 |
| June 30, 2009 Filed Jul 2, 2009 14:14 UTC |
BURRITT DAVID BV.P./Chief Financial Officer
|
GrantPhantom Stock Units · Derivative | 7 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000260 · 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: 7 Underlying: Common · 7 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 |
| June 30, 2009 Filed Jul 2, 2009 14:14 UTC |
BUDA JAMES BVP, General Counsel, Secy.
|
GrantPhantom Stock Units · Derivative | 186 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000261 · edgar.xml · derivative · entry 2 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,245 Underlying: Common · 186 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 |
| June 30, 2009 Filed Jul 2, 2009 14:15 UTC |
OWENS JAMES WDirector · Chairman of the Board/CEO
|
GrantPhantom Stock Units · Derivative | 424 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000262 · 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: 7,156 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 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 |
| May 29, 2009 Filed Jun 1, 2009 19:52 UTC |
POWELL CHARLES DDirector
|
GrantCommon | 90 | $35.21 | $3,168.90 |
DisclosureSEC source: 0000018230-09-000206 · edgar.xml · nonDerivative · entry 1 POWELL CHARLES D · CIK 0001172570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,739 F2 · kind: Stock received in lieu of director's fees. F1 · balance_after: Included in this amount are 448 shares in dividend reinvestment. Read SEC document |
| May 29, 2009 Filed Jun 1, 2009 19:53 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 597 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000207 · edgar.xml · derivative · entry 2 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,610 Underlying: Common · 597 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 May 2009 at a price between $35.21 and $38.235 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 May 2009 at a price between $35.21 and $38.235 per share. Read SEC document |
| May 29, 2009 Filed Jun 1, 2009 19:54 UTC |
GOODE DAVID RDirector
|
GrantPhantom Stock Units · Derivative | 946 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000208 · edgar.xml · derivative · entry 2 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,629 Underlying: Common · 946 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 May 2009 at a price between $35.21 and $38.235 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 May 2009 at a price between $35.21 and $38.235 per share. Read SEC document |
| May 29, 2009 Filed Jun 1, 2009 19:54 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 548 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000209 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,097 Underlying: Common · 548 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 May 2009 at a price between $35.21 and $38.235 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 May 2009 at a price between $35.21 and $38.235 per share. Read SEC document |
| May 29, 2009 Filed Jun 1, 2009 19:59 UTC |
DILLON JOHN TDirector
|
GrantPhantom Stock Units · Derivative | 540 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000210 · edgar.xml · derivative · entry 2 DILLON JOHN T · CIK 0001171804 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,245 Underlying: Common · 540 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 May 2009 at a price between $35.21 and $38.235 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 May 2009 at a price between $35.21 and $38.235 per share. Read SEC document |
| May 29, 2009 Filed Jun 1, 2009 20:00 UTC |
DICKINSON DANIEL MDirector
|
GrantPhantom Stock Units · Derivative | 556 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000211 · edgar.xml · derivative · entry 2 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,782 Underlying: Common · 556 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 May 2009 at a price between $35.21 and $38.235 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 May 2009 at a price between $35.21 and $38.235 per share. Read SEC document |
| May 29, 2009 Filed Jun 1, 2009 20:00 UTC |
MAGOWAN PETER ADirector
|
GrantPhantom Stock Units · Derivative | 665 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000212 · edgar.xml · derivative · entry 2 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,844 Underlying: Common · 665 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 May 2009 at a price between $35.21 and $38.235 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 May 2009 at a price between $35.21 and $38.235 per share. Read SEC document |
| May 29, 2009 Filed Jun 1, 2009 20:01 UTC |
LAVIN RICHARD PGroup President
|
GrantPhantom Stock Units · Derivative | 87 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000213 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,310 Underlying: Common · 87 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 |
| May 29, 2009 Filed Jun 1, 2009 20:02 UTC |
OBERHELMAN DOUGLAS RGroup President
|
GrantPhantom Stock Units · Derivative | 200 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000214 · edgar.xml · derivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,997 Underlying: Common · 200 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 |
| May 06, 2009 Filed May 6, 2009 21:27 UTC |
OSBORN WILLIAM ADirector
|
PurchaseCommon | 2,000 | $39.86 | $79,713.00 |
DisclosureSEC source: 0000018230-09-000181 · edgar.xml · nonDerivative · entry 1 OSBORN WILLIAM A · CIK 0001171797 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,657 F1 · balance_after: This amount includes 157 shares in dividend reinvestment. Read SEC document |
| May 05, 2009 Filed May 6, 2009 21:40 UTC |
LEVENICK STUART LGroup President
|
OtherPhantom Stock Units · Derivative | 8,509 | $0.00 Strike: $39.41 | $0.00 |
DisclosureSEC source: 0000018230-09-000183 · edgar.xml · derivative · entry 2 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,240 Underlying: Common · 8,509 shares Expires not disclosed 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 |
| May 04, 2009 Filed May 5, 2009 18:25 UTC |
Halverson Bradley MController
|
Exercise / conversionEmployee Stock Option · Derivative | 1,708 | $0.00 Strike: $31.17 | $0.00 |
DisclosureSEC source: 0000018230-09-000179 · edgar.xml · derivative · entry 5 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 1,708 shares Expires 2009-06-08 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 |
| May 04, 2009 Filed May 5, 2009 18:25 UTC |
Halverson Bradley MController
|
Tax withholdingCommon | 1,391 | $38.26 | $53,219.66 |
DisclosureSEC source: 0000018230-09-000179 · edgar.xml · nonDerivative · entry 2 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,622 F1 · balance_after: This amount includes 10,305 shares in 401K. Read SEC document |
| May 04, 2009 Filed May 5, 2009 18:25 UTC |
Halverson Bradley MController
|
Exercise / conversionCommon | 1,708 | $31.17 | $53,241.61 |
DisclosureSEC source: 0000018230-09-000179 · edgar.xml · nonDerivative · entry 1 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,013 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 |
| May 01, 2009 Filed May 4, 2009 19:09 UTC |
LAVIN RICHARD PGroup President
|
Exercise / conversionEmployee Stock Option · Derivative | 8,132 | $0.00 Strike: $31.17 | $0.00 |
DisclosureSEC source: 0000018230-09-000177 · edgar.xml · derivative · entry 4 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 8,132 shares Expires 2009-06-08 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 |
| May 01, 2009 Filed May 4, 2009 19:09 UTC |
LAVIN RICHARD PGroup President
|
Exercise / conversionCommon | 8,132 | $31.17 | $253,489.89 |
DisclosureSEC source: 0000018230-09-000177 · edgar.xml · nonDerivative · entry 1 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,485 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 · balance_after: This amount includes 12,157 shares in 401K and 77 shares in dividend reinvestment. Read SEC document |
| April 30, 2009 Filed May 1, 2009 15:32 UTC |
POWELL CHARLES DDirector
|
GrantCommon | 90 | $35.37 | $3,183.30 |
DisclosureSEC source: 0000018230-09-000167 · edgar.xml · nonDerivative · entry 1 POWELL CHARLES D · CIK 0001172570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,649 F2 · kind: Stock received in lieu of director's fees. F1 · balance_after: Included in this amount are 448 shares in dividend reinvestment. Read SEC document |
| April 30, 2009 Filed May 1, 2009 15:33 UTC |
DILLON JOHN TDirector
|
GrantPhantom Stock Units · Derivative | 525 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000168 · edgar.xml · derivative · entry 2 DILLON JOHN T · CIK 0001171804 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,705 Underlying: Common · 525 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in April 2009 at a price of $35.37 per share. F3 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in April 2009 at a price of $35.37 per share. Read SEC document |
| April 30, 2009 Filed May 1, 2009 15:33 UTC |
DICKINSON DANIEL MDirector
|
GrantPhantom Stock Units · Derivative | 513 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000169 · edgar.xml · derivative · entry 2 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,226 Underlying: Common · 513 shares Expires not disclosed F1 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in April 2009 at a price of $35.37 per share. F2 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in April 2009 at a price of $35.37 per share. Read SEC document |
| April 30, 2009 Filed May 1, 2009 15:34 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 490 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000170 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,549 Underlying: Common · 490 shares Expires not disclosed F1 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in April 2009 at a price of $35.37 per share. F2 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in April 2009 at a price of $35.37 per share. Read SEC document |
| April 30, 2009 Filed May 1, 2009 15:35 UTC |
GOODE DAVID RDirector
|
GrantPhantom Stock Units · Derivative | 513 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000171 · edgar.xml · derivative · entry 2 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,683 Underlying: Common · 513 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in April 2009 at a price of $35.37 per share. F3 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in April 2009 at a price of $35.37 per share. Read SEC document |
| April 30, 2009 Filed May 1, 2009 15:35 UTC |
MAGOWAN PETER ADirector
|
GrantPhantom Stock Units · Derivative | 490 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000172 · edgar.xml · derivative · entry 2 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,179 Underlying: Common · 490 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in April 2009 at a price of $35.37 per share. F3 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in April 2009 at a price of $35.37 per share. Read SEC document |
| April 30, 2009 Filed May 1, 2009 15:36 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 490 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000173 · edgar.xml · derivative · entry 2 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,013 Underlying: Common · 490 shares Expires not disclosed F1 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in April 2009 at a price of $35.37 per share. F2 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in April 2009 at a price of $35.37 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.