Last 12 months
Inside the activity.
2 purchase rows · 91 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 1 | 16 |
| Dec 2025 | 0 | 14 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 21 |
| Mar 2026 | 0 | 5 |
| Apr 2026 | 0 | 0 |
| May 2026 | 1 | 21 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 14 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| April 30, 2009 Filed May 4, 2009 19:09 UTC |
LAVIN RICHARD PGroup President
|
GrantPhantom Stock Units · Derivative | 86 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000177 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,223 Underlying: Common · 86 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| April 13, 2009 Filed Apr 14, 2009 16:19 UTC |
GALLARDO JUANDirector
|
Exercise / conversionEmployee Stock Option · Derivative | 8,000 | $0.00 Strike: $28.78 | $0.00 |
DisclosureSEC source: 0000018230-09-000148 · edgar.xml · derivative · entry 4 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 8,000 shares Expires 2009-04-14 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · security: (Right to buy) with tandem tax withholding rights. F4 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| April 13, 2009 Filed Apr 14, 2009 16:19 UTC |
GALLARDO JUANDirector
|
Tax withholdingCommon | 7,354 | $32.53 | $239,225.62 |
DisclosureSEC source: 0000018230-09-000148 · edgar.xml · nonDerivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 212,756 Read SEC document |
| April 13, 2009 Filed Apr 14, 2009 16:19 UTC |
GALLARDO JUANDirector
|
Exercise / conversionCommon | 8,000 | $28.78 | $230,250.40 |
DisclosureSEC source: 0000018230-09-000148 · edgar.xml · nonDerivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 220,110 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| April 09, 2009 Filed Apr 13, 2009 18:58 UTC |
DILLON JOHN TDirector
|
Exercise / conversionEmployee Stock Option · Derivative | 4,000 | $0.00 Strike: $28.78 | $0.00 |
DisclosureSEC source: 0000018230-09-000142 · edgar.xml · derivative · entry 3 DILLON JOHN T · CIK 0001171804 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 4,000 shares Expires 2009-04-14 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 |
| April 09, 2009 Filed Apr 13, 2009 18:58 UTC |
DILLON JOHN TDirector
|
Exercise / conversionCommon | 4,000 | $28.78 | $115,125.20 |
DisclosureSEC source: 0000018230-09-000142 · edgar.xml · nonDerivative · entry 1 DILLON JOHN T · CIK 0001171804 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,625 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 978 dividend reinvestment shares. Read SEC document |
| April 09, 2009 Filed Apr 13, 2009 18:59 UTC |
GOODE DAVID RDirector
|
Exercise / conversionEmployee Stock Option · Derivative | 8,000 | $0.00 Strike: $28.78 | $0.00 |
DisclosureSEC source: 0000018230-09-000143 · edgar.xml · derivative · entry 4 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 8,000 shares Expires 2009-04-14 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 |
| April 09, 2009 Filed Apr 13, 2009 18:59 UTC |
GOODE DAVID RDirector
|
Tax withholdingCommon | 7,281 | $31.62 | $230,225.22 |
DisclosureSEC source: 0000018230-09-000143 · edgar.xml · nonDerivative · entry 2 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,250 F1 · balance_after: Included in this amount are 2727 shares in dividend reinvestment. Read SEC document |
| April 09, 2009 Filed Apr 13, 2009 18:59 UTC |
GOODE DAVID RDirector
|
Exercise / conversionCommon | 8,000 | $28.78 | $230,250.40 |
DisclosureSEC source: 0000018230-09-000143 · edgar.xml · nonDerivative · entry 1 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,531 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| April 01, 2009 Filed Apr 2, 2009 16:09 UTC |
RAPP EDWARD JGroup President
|
Tax withholdingCommon | 262 | $28.50 | $7,467.00 |
DisclosureSEC source: 0000018230-09-000129 · edgar.xml · nonDerivative · entry 1 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,466 F4 · kind: Amount reflects shares sold to satisfy tax withholding requirements upon the vesting of previously restricted stock. F1 · balance_after: This amount includes 12,967 shares in 401K. Read SEC document |
| April 01, 2009 Filed Apr 2, 2009 16:10 UTC |
OBERHELMAN DOUGLAS RGroup President
|
Tax withholdingCommon | 789 | $28.50 | $22,486.50 |
DisclosureSEC source: 0000018230-09-000130 · edgar.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 78,819 F4 · kind: Amount reflects shares sold to satisfy tax withholding requirements upon the vesting of previously restricted stock. F1 · balance_after: This amount includes 26,488 shares in 401K and 4561 shares in dividend reinvestment. Read SEC document |
| April 01, 2009 Filed Apr 2, 2009 16:11 UTC |
LAVIN RICHARD PGroup President
|
Tax withholdingCommon | 196 | $28.50 | $5,586.00 |
DisclosureSEC source: 0000018230-09-000131 · edgar.xml · nonDerivative · entry 1 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,353 F4 · kind: Amount reflects shares sold to satisfy tax withholding requirements upon the vesting of previously restricted stock. F1 · balance_after: This amount includes 12,157 shares in 401K and 77 shares in dividend reinvestment. Read SEC document |
| April 01, 2009 Filed Apr 14, 2009 19:33 UTC |
BUDA JAMES BVP, General Counsel, Secy.
|
Tax withholdingCommon | 196 | $28.50 | $5,586.00 |
DisclosureSEC source: 0000018230-09-000150 · edgar.xml · nonDerivative · entry 1 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,192 F4 · kind: Amount reflects shares sold to satisfy tax withholding requirements upon the vesting of previously restricted stock. F1 · balance_after: This amount includes 14,671 shares in 401K and 2769 shares in dividend reinvestment. Read SEC document |
| April 01, 2009 Filed Sep 1, 2009 19:09 UTC |
OWENS JAMES WDirector · Chairman of the Board/CEO
|
GiftCommon | 4,037 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000371 · edgar.xml · nonDerivative · entry 3 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: 139,130 Read SEC document |
| April 01, 2009 Filed Sep 1, 2009 19:09 UTC |
OWENS JAMES WDirector · Chairman of the Board/CEO
|
GiftCommon | 4,037 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000371 · 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: 219,007 Read SEC document |
| March 31, 2009 Filed Apr 1, 2009 16:07 UTC |
LAVIN RICHARD PGroup President
|
GrantPhantom Stock Units · Derivative | 110 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000111 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,864 Underlying: Common · 110 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| March 31, 2009 Filed Apr 1, 2009 20:06 UTC |
POWELL CHARLES DDirector
|
GrantCommon | 52 | $27.95 | $1,453.14 |
DisclosureSEC source: 0000018230-09-000119 · edgar.xml · nonDerivative · entry 1 POWELL CHARLES D · CIK 0001172570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,559 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 |
| March 31, 2009 Filed Apr 1, 2009 20:07 UTC |
DICKINSON DANIEL MDirector
|
GrantPhantom Stock Units · Derivative | 313 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000120 · edgar.xml · derivative · entry 2 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,712 Underlying: Common · 313 shares Expires not disclosed F1 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in March 2009 at a price of $27.945 per share. F2 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in March 2009 at a price of $27.945 per share. Read SEC document |
| March 31, 2009 Filed Apr 1, 2009 20:08 UTC |
DILLON JOHN TDirector
|
GrantPhantom Stock Units · Derivative | 298 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000121 · edgar.xml · derivative · entry 2 DILLON JOHN T · CIK 0001171804 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,179 Underlying: Common · 298 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in March 2009 at a price of $27.945 per share. F3 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in March 2009 at a price of $27.945 per share. Read SEC document |
| March 31, 2009 Filed Apr 1, 2009 20:08 UTC |
GOODE DAVID RDirector
|
GrantPhantom Stock Units · Derivative | 892 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000122 · edgar.xml · derivative · entry 2 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,169 Underlying: Common · 892 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in March 2009 at a price of $27.945 per share. F3 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in March 2009 at a price of $27.945 per share. Read SEC document |
| March 31, 2009 Filed Apr 1, 2009 20:09 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 334 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000123 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,059 Underlying: Common · 334 shares Expires not disclosed F1 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in March 2009 at a price of $27.945 per share. F2 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in March 2009 at a price of $27.945 per share. Read SEC document |
| March 31, 2009 Filed Apr 1, 2009 20:10 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 404 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000124 · edgar.xml · derivative · entry 2 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,523 Underlying: Common · 404 shares Expires not disclosed F1 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in March 2009 at a price of $27.945 per share. F2 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in March 2009 at a price of $27.945 per share. Read SEC document |
| March 31, 2009 Filed Apr 1, 2009 20:10 UTC |
MAGOWAN PETER ADirector
|
GrantPhantom Stock Units · Derivative | 499 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000125 · edgar.xml · derivative · entry 2 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,689 Underlying: Common · 499 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in March 2009 at a price of $27.945 per share. F3 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in March 2009 at a price of $27.945 per share. Read SEC document |
| March 09, 2009 Filed Mar 10, 2009 15:50 UTC |
WUNNING STEVEN HGroup President
|
GiftCommon | 200 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000104 · edgar.xml · nonDerivative · entry 3 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Indirect · Owned by Son Disclosed balance after: 875 F2 · ownership.nature: Reporting person disclaims beneficial ownership. Read SEC document |
| March 09, 2009 Filed Mar 10, 2009 15:50 UTC |
WUNNING STEVEN HGroup President
|
GiftCommon | 200 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000104 · edgar.xml · nonDerivative · entry 2 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Indirect · Owned by Wife Disclosed balance after: 476 F2 · ownership.nature: Reporting person disclaims beneficial ownership. Read SEC document |
| March 09, 2009 Filed Mar 10, 2009 15:50 UTC |
WUNNING STEVEN HGroup President
|
GiftCommon | 600 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000104 · edgar.xml · nonDerivative · entry 1 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,633 F1 · balance_after: This amount includes 23,071 shares in 401K. Read SEC document |
| March 06, 2009 Filed Mar 10, 2009 15:51 UTC |
OBERHELMAN DOUGLAS RGroup President
|
GrantPhantom Stock Units · Derivative | 3,649 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000105 · edgar.xml · derivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,053 Underlying: Common · 3,649 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| March 06, 2009 Filed Mar 10, 2009 15:52 UTC |
LAVIN RICHARD PGroup President
|
GrantPhantom Stock Units · Derivative | 3,631 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000106 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,754 Underlying: Common · 3,631 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| March 06, 2009 Filed Mar 10, 2009 15:53 UTC |
BUDA JAMES BVP, General Counsel, Secy.
|
GrantPhantom Stock Units · Derivative | 2,452 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000107 · edgar.xml · derivative · entry 2 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,825 Underlying: Common · 2,452 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| March 02, 2009 Filed Mar 3, 2009 22:02 UTC |
LAVIN RICHARD PGroup President
|
GrantRestricted Stock Units · Derivative | 6,561 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000079 · edgar.xml · derivative · entry 5 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,561 Underlying: Common · 6,561 shares Expires not disclosed F5 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Caterpillar common stock. F4 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 2, 2012. F4 · derivative.expiration_date: The restricted stock units and stock appreciation rights vest on March 2, 2012. Read SEC document |
| March 02, 2009 Filed Mar 3, 2009 22:02 UTC |
LAVIN RICHARD PGroup President
|
GrantStock Appreciation Rights · Derivative | 148,722 | $0.00 Strike: $22.17 | $0.00 |
DisclosureSEC source: 0000018230-09-000079 · edgar.xml · derivative · entry 4 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 148,722 Underlying: Common · 148,722 shares Expires 2019-03-02 F4 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 2, 2012. Read SEC document |
| March 02, 2009 Filed Mar 3, 2009 22:02 UTC |
LAVIN RICHARD PGroup President
|
Tax withholdingCommon | 99 | $23.09 | $2,285.91 |
DisclosureSEC source: 0000018230-09-000079 · edgar.xml · nonDerivative · entry 1 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,540 F6 · kind: Amount reflects shares sold to satisfy tax withholding requirements upon the vesting of previously restricted stock. F1 · balance_after: This amount includes 11,148 shares in 401K and 77 shares in dividend reinvestment. Read SEC document |
| March 02, 2009 Filed Mar 4, 2009 18:14 UTC |
OBERHELMAN DOUGLAS RGroup President
|
GrantRestricted Stock Units · Derivative | 7,335 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000090 · edgar.xml · derivative · entry 5 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,335 Underlying: Common · 7,335 shares Expires not disclosed F5 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Caterpillar common stock. F4 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 2, 2012. F4 · derivative.expiration_date: The restricted stock units and stock appreciation rights vest on March 2, 2012. Read SEC document |
| March 02, 2009 Filed Mar 4, 2009 18:14 UTC |
OBERHELMAN DOUGLAS RGroup President
|
GrantStock Appreciation Rights · Derivative | 166,252 | $0.00 Strike: $22.17 | $0.00 |
DisclosureSEC source: 0000018230-09-000090 · edgar.xml · derivative · entry 4 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 166,252 Underlying: Common · 166,252 shares Expires 2019-03-02 F4 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 2, 2012. Read SEC document |
| March 02, 2009 Filed Mar 4, 2009 18:14 UTC |
OBERHELMAN DOUGLAS RGroup President
|
Tax withholdingCommon | 132 | $23.09 | $3,047.88 |
DisclosureSEC source: 0000018230-09-000090 · edgar.xml · nonDerivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,953 F6 · kind: Amount reflects shares sold to satisfy tax withholding requirements upon the vesting of previously restricted stock. F1 · balance_after: This amount includes 24,833 shares in 401K and 4561 shares in dividend reinvestment. Read SEC document |
| March 02, 2009 Filed Mar 4, 2009 18:14 UTC |
OBERHELMAN DOUGLAS RGroup President
|
Tax withholdingCommon | 264 | $23.09 | $6,095.76 |
DisclosureSEC source: 0000018230-09-000090 · edgar.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 78,085 F6 · kind: Amount reflects shares sold to satisfy tax withholding requirements upon the vesting of previously restricted stock. Read SEC document |
| March 02, 2009 Filed Mar 4, 2009 18:14 UTC |
OWENS JAMES WDirector · Chairman of the Board/CEO
|
GrantRestricted Stock Units · Derivative | 20,152 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000091 · 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: 20,152 Underlying: Common · 20,152 shares Expires not disclosed F5 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Caterpillar common stock. F4 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 2, 2012. F4 · derivative.expiration_date: The restricted stock units and stock appreciation rights vest on March 2, 2012. Read SEC document |
| March 02, 2009 Filed Mar 4, 2009 18:14 UTC |
OWENS JAMES WDirector · Chairman of the Board/CEO
|
GrantStock Appreciation Rights · Derivative | 504,180 | $0.00 Strike: $22.17 | $0.00 |
DisclosureSEC source: 0000018230-09-000091 · edgar.xml · derivative · entry 6 OWENS JAMES W · CIK 0001171767 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 504,180 Underlying: Common · 504,180 shares Expires 2019-03-02 F4 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 2, 2012. Read SEC document |
| March 02, 2009 Filed Mar 4, 2009 18:14 UTC |
OWENS JAMES WDirector · Chairman of the Board/CEO
|
Tax withholdingCommon | 2,631 | $23.09 | $60,749.79 |
DisclosureSEC source: 0000018230-09-000091 · 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: 181,813 F6 · kind: Amount reflects shares sold to satisfy tax withholding requirements upon the vesting of previously restricted stock. F1 · balance_after: This amount includes 30,865 shares in 401K. Read SEC document |
| March 02, 2009 Filed Mar 4, 2009 18:15 UTC |
LEVENICK STUART LGroup President
|
GrantRestricted Stock Units · Derivative | 6,561 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000092 · edgar.xml · derivative · entry 4 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,561 Underlying: Common · 6,561 shares Expires not disclosed F5 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Caterpillar common stock. F4 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 2, 2012. F4 · derivative.expiration_date: The restricted stock units and stock appreciation rights vest on March 2, 2012. Read SEC document |
| March 02, 2009 Filed Mar 4, 2009 18:15 UTC |
LEVENICK STUART LGroup President
|
GrantStock Appreciation Rights · Derivative | 148,722 | $0.00 Strike: $22.17 | $0.00 |
DisclosureSEC source: 0000018230-09-000092 · edgar.xml · derivative · entry 3 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 148,722 Underlying: Common · 148,722 shares Expires 2019-03-02 F4 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 2, 2012. Read SEC document |
| March 02, 2009 Filed Mar 4, 2009 18:15 UTC |
LEVENICK STUART LGroup President
|
Tax withholdingCommon | 132 | $23.09 | $3,047.88 |
DisclosureSEC source: 0000018230-09-000092 · edgar.xml · nonDerivative · entry 1 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,003 F6 · kind: Amount reflects shares sold to satisfy tax withholding requirements upon the vesting of previously restricted stock. F1 · balance_after: This amount includes 3886 shares in 401K. Read SEC document |
| March 02, 2009 Filed Mar 4, 2009 18:16 UTC |
Copeland Jananne A.Chief Accounting Officer
|
GrantRestricted Stock Units · Derivative | 728 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000093 · edgar.xml · derivative · entry 4 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 728 Underlying: Common · 728 shares Expires not disclosed F5 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Caterpillar common stock. F4 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 2, 2012. F4 · derivative.expiration_date: The restricted stock units and stock appreciation rights vest on March 2, 2012. Read SEC document |
| March 02, 2009 Filed Mar 4, 2009 18:16 UTC |
Copeland Jananne A.Chief Accounting Officer
|
GrantStock Appreciation Rights · Derivative | 5,408 | $0.00 Strike: $22.17 | $0.00 |
DisclosureSEC source: 0000018230-09-000093 · edgar.xml · derivative · entry 3 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,408 Underlying: Common · 5,408 shares Expires 2019-03-02 F4 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 2, 2012. Read SEC document |
| March 02, 2009 Filed Mar 4, 2009 18:16 UTC |
Halverson Bradley MController
|
GrantRestricted Stock Units · Derivative | 1,174 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000094 · edgar.xml · derivative · entry 5 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,174 Underlying: Common · 1,174 shares Expires not disclosed F6 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Caterpillar common stock. F5 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 2, 2012. F5 · derivative.expiration_date: The restricted stock units and stock appreciation rights vest on March 2, 2012. Read SEC document |
| March 02, 2009 Filed Mar 4, 2009 18:16 UTC |
Halverson Bradley MController
|
GrantStock Appreciation Rights · Derivative | 14,092 | $0.00 Strike: $22.17 | $0.00 |
DisclosureSEC source: 0000018230-09-000094 · edgar.xml · derivative · entry 4 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,092 Underlying: Common · 14,092 shares Expires 2019-03-02 F5 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 2, 2012. Read SEC document |
| March 02, 2009 Filed Mar 4, 2009 18:17 UTC |
BURRITT DAVID BV.P./Chief Financial Officer
|
GrantRestricted Stock Units · Derivative | 4,449 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000095 · edgar.xml · derivative · entry 4 BURRITT DAVID B · CIK 0001204586 · V.P./Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,449 Underlying: Common · 4,449 shares Expires not disclosed F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Caterpillar common stock. F3 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 2, 2012. F3 · derivative.expiration_date: The restricted stock units and stock appreciation rights vest on March 2, 2012. Read SEC document |
| March 02, 2009 Filed Mar 4, 2009 18:17 UTC |
BURRITT DAVID BV.P./Chief Financial Officer
|
GrantStock Appreciation Rights · Derivative | 71,176 | $0.00 Strike: $22.17 | $0.00 |
DisclosureSEC source: 0000018230-09-000095 · 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: 71,176 Underlying: Common · 71,176 shares Expires 2019-03-02 F3 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 2, 2012. Read SEC document |
| March 02, 2009 Filed Mar 4, 2009 18:18 UTC |
BUDA JAMES BVP, General Counsel, Secy.
|
GrantRestricted Stock Units · Derivative | 4,449 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000096 · edgar.xml · derivative · entry 4 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,449 Underlying: Common · 4,449 shares Expires not disclosed F5 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Caterpillar common stock. F4 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 2, 2012. F4 · derivative.expiration_date: The restricted stock units and stock appreciation rights vest on March 2, 2012. Read SEC document |
| March 02, 2009 Filed Mar 4, 2009 18:18 UTC |
BUDA JAMES BVP, General Counsel, Secy.
|
GrantStock Appreciation Rights · Derivative | 71,176 | $0.00 Strike: $22.17 | $0.00 |
DisclosureSEC source: 0000018230-09-000096 · edgar.xml · derivative · entry 3 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,176 Underlying: Common · 71,176 shares Expires 2019-03-02 F4 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 2, 2012. 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.