Last 12 months
Inside the activity.
2 purchase rows · 91 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 1 | 16 |
| Dec 2025 | 0 | 14 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 21 |
| Mar 2026 | 0 | 5 |
| Apr 2026 | 0 | 0 |
| May 2026 | 1 | 21 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 14 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| December 19, 2008 Filed Dec 30, 2008 19:46 UTC |
OWENS JAMES WDirector · Chairman of the Board/CEO
|
GiftCommon | 2,700 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000441 · edgar.xml · nonDerivative · entry 2 OWENS JAMES W · CIK 0001171767 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Indirect · Held in Revocable Trust Disclosed balance after: 118,344 Read SEC document |
| December 15, 2008 Filed Dec 16, 2008 16:18 UTC |
OBERHELMAN DOUGLAS RGroup President
|
GiftCommon | 448 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000436 · edgar.xml · nonDerivative · entry 3 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,638 F1 · balance_after: This amount includes 24,408 shares in 401K and 3275 shares in dividend reinvestment. Read SEC document |
| December 12, 2008 Filed Dec 16, 2008 16:18 UTC |
OBERHELMAN DOUGLAS RGroup President
|
GiftCommon | 1,106 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000436 · edgar.xml · nonDerivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,086 Read SEC document |
| December 10, 2008 Filed Dec 11, 2008 20:59 UTC |
OBERHELMAN DOUGLAS RGroup President
|
Exercise / conversionEmployee Stock Option · Derivative | 38,792 | $0.00 Strike: $31.17 | $0.00 |
DisclosureSEC source: 0000018230-08-000433 · edgar.xml · derivative · entry 7 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 38,792 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 |
| December 10, 2008 Filed Dec 11, 2008 20:59 UTC |
OBERHELMAN DOUGLAS RGroup President
|
Exercise / conversionEmployee Stock Option · Derivative | 3,208 | $0.00 Strike: $31.17 | $0.00 |
DisclosureSEC source: 0000018230-08-000433 · edgar.xml · derivative · entry 6 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 3,208 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 |
| December 10, 2008 Filed Dec 11, 2008 20:59 UTC |
OBERHELMAN DOUGLAS RGroup President
|
Tax withholdingCommon | 31,972 | $43.93 | $1,404,370.10 |
DisclosureSEC source: 0000018230-08-000433 · edgar.xml · nonDerivative · entry 4 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,385 F1 · balance_after: This amount includes 24,408 shares in 401K and 3275 shares in dividend reinvestment. Read SEC document |
| December 10, 2008 Filed Dec 11, 2008 20:59 UTC |
OBERHELMAN DOUGLAS RGroup President
|
Exercise / conversionCommon | 38,792 | $31.17 | $1,209,220.34 |
DisclosureSEC source: 0000018230-08-000433 · edgar.xml · nonDerivative · entry 3 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 112,357 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 |
| December 10, 2008 Filed Dec 11, 2008 20:59 UTC |
OBERHELMAN DOUGLAS RGroup President
|
Tax withholdingCommon | 2,276 | $43.93 | $99,973.30 |
DisclosureSEC source: 0000018230-08-000433 · edgar.xml · nonDerivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,565 Read SEC document |
| December 10, 2008 Filed Dec 11, 2008 20:59 UTC |
OBERHELMAN DOUGLAS RGroup President
|
Exercise / conversionCommon | 3,208 | $31.17 | $99,999.46 |
DisclosureSEC source: 0000018230-08-000433 · edgar.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,841 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 |
| December 10, 2008 Filed Dec 11, 2008 21:00 UTC |
OWENS JAMES WDirector · Chairman of the Board/CEO
|
Exercise / conversionEmployee Stock Option · Derivative | 96,792 | $0.00 Strike: $31.17 | $0.00 |
DisclosureSEC source: 0000018230-08-000434 · 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 · 96,792 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 |
| December 10, 2008 Filed Dec 11, 2008 21:00 UTC |
OWENS JAMES WDirector · Chairman of the Board/CEO
|
Exercise / conversionEmployee Stock Option · Derivative | 3,208 | $0.00 Strike: $31.17 | $0.00 |
DisclosureSEC source: 0000018230-08-000434 · edgar.xml · derivative · entry 8 OWENS JAMES W · CIK 0001171767 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 3,208 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 |
| December 10, 2008 Filed Dec 11, 2008 21:00 UTC |
OWENS JAMES WDirector · Chairman of the Board/CEO
|
Tax withholdingCommon | 79,775 | $43.93 | $3,504,116.88 |
DisclosureSEC source: 0000018230-08-000434 · 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: 201,865 F1 · balance_after: This amount includes 30,337 shares in 401K. Read SEC document |
| December 10, 2008 Filed Dec 11, 2008 21:00 UTC |
OWENS JAMES WDirector · Chairman of the Board/CEO
|
Exercise / conversionCommon | 96,792 | $31.17 | $3,017,190.54 |
DisclosureSEC source: 0000018230-08-000434 · 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: 281,640 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 |
| December 10, 2008 Filed Dec 11, 2008 21:00 UTC |
OWENS JAMES WDirector · Chairman of the Board/CEO
|
Tax withholdingCommon | 2,276 | $43.93 | $99,973.30 |
DisclosureSEC source: 0000018230-08-000434 · 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: 184,848 Read SEC document |
| December 10, 2008 Filed Dec 11, 2008 21:00 UTC |
OWENS JAMES WDirector · Chairman of the Board/CEO
|
Exercise / conversionCommon | 3,208 | $31.17 | $99,999.46 |
DisclosureSEC source: 0000018230-08-000434 · 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: 187,124 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 |
| December 08, 2008 Filed Dec 9, 2008 19:56 UTC |
RAPP EDWARD JGroup President
|
Exercise / conversionEmployee Stock Option · Derivative | 3,208 | $0.00 Strike: $31.17 | $0.00 |
DisclosureSEC source: 0000018230-08-000429 · 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 · 3,208 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 |
| December 08, 2008 Filed Dec 9, 2008 19:56 UTC |
RAPP EDWARD JGroup President
|
Tax withholdingCommon | 2,361 | $42.35 | $99,976.55 |
DisclosureSEC source: 0000018230-08-000429 · edgar.xml · nonDerivative · entry 2 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,240 F1 · balance_after: This amount includes 12,479 shares in 401K. Read SEC document |
| December 08, 2008 Filed Dec 9, 2008 19:56 UTC |
RAPP EDWARD JGroup President
|
Exercise / conversionCommon | 3,208 | $31.17 | $99,999.46 |
DisclosureSEC source: 0000018230-08-000429 · edgar.xml · nonDerivative · entry 1 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,601 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 |
| December 04, 2008 Filed Dec 16, 2008 16:18 UTC |
OBERHELMAN DOUGLAS RGroup President
|
GiftCommon | 2,193 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000436 · edgar.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 78,192 Read SEC document |
| November 28, 2008 Filed Dec 1, 2008 15:30 UTC |
POWELL CHARLES DDirector
|
GrantCommon | 37 | $40.19 | $1,487.03 |
DisclosureSEC source: 0000018230-08-000409 · edgar.xml · nonDerivative · entry 1 POWELL CHARLES D · CIK 0001172570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,300 F2 · kind: Stock received in lieu of director's fees. F1 · balance_after: Included in this amount are 381 shares in dividend reinvestment. Read SEC document |
| November 28, 2008 Filed Dec 1, 2008 15:30 UTC |
DICKINSON DANIEL MDirector
|
GrantPhantom Stock Units · Derivative | 214 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000410 · edgar.xml · derivative · entry 2 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,679 Underlying: Common · 214 shares Expires not disclosed F1 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in November 2008 at a price between $33.895 and $40.19 per share. F2 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in November 2008 at a price between $33.895 and $40.19 per share. Read SEC document |
| November 28, 2008 Filed Dec 1, 2008 15:31 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 230 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000411 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,006 Underlying: Common · 230 shares Expires not disclosed F1 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in November 2008 at a price between $33.895 and $40.19 per share. F2 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in November 2008 at a price between $33.895 and $40.19 per share. Read SEC document |
| November 28, 2008 Filed Dec 1, 2008 15:32 UTC |
GOODE DAVID RDirector
|
GrantPhantom Stock Units · Derivative | 660 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000412 · edgar.xml · derivative · entry 2 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,478 Underlying: Common · 660 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in November 2008 at a price between $33.895 and $40.19 per share. F3 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in November 2008 at a price between $33.895 and $40.19 per share. Read SEC document |
| November 28, 2008 Filed Dec 1, 2008 15:32 UTC |
MAGOWAN PETER ADirector
|
GrantPhantom Stock Units · Derivative | 359 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000413 · edgar.xml · derivative · entry 2 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,470 Underlying: Common · 359 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in November 2008 at a price between $33.895 and $40.19 per share. F3 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in November 2008 at a price between $33.895 and $40.19 per share. Read SEC document |
| November 28, 2008 Filed Dec 1, 2008 15:33 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 284 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000414 · edgar.xml · derivative · entry 2 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,400 Underlying: Common · 284 shares Expires not disclosed F1 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in November 2008 at a price between $33.895 and $40.19 per share. F2 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in November 2008 at a price between $33.895 and $40.19 per share. Read SEC document |
| November 28, 2008 Filed Dec 1, 2008 16:18 UTC |
OBERHELMAN DOUGLAS RGroup President
|
GrantPhantom Stock Units · Derivative | 178 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000418 · edgar.xml · derivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,643 Underlying: Common · 178 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| November 28, 2008 Filed Dec 1, 2008 16:18 UTC |
BUDA JAMES BVP, General Counsel, Secy.
|
GrantPhantom Stock Units · Derivative | 131 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000419 · edgar.xml · derivative · entry 2 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,063 Underlying: Common · 131 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| November 28, 2008 Filed Dec 1, 2008 16:19 UTC |
LAVIN RICHARD PGroup President
|
GrantPhantom Stock Units · Derivative | 142 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000420 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,474 Underlying: Common · 142 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| November 24, 2008 Filed Dec 1, 2008 14:41 UTC |
LEVENICK STUART LGroup President
|
GiftCommon | 2,400 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000402 · edgar.xml · nonDerivative · entry 1 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,034 F1 · balance_after: This amount includes 3820 shares in 401K and 116 shares in dividend reinvestment. Read SEC document |
| November 07, 2008 Filed Nov 10, 2008 14:14 UTC |
Copeland Jananne A.Chief Accounting Officer
|
SaleCommon | 2,000 | $38.45 | $76,900.00 |
DisclosureSEC source: 0000018230-08-000398 · edgar.xml · nonDerivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,755 Read SEC document |
| November 03, 2008 Filed Nov 5, 2008 20:16 UTC |
OBERHELMAN DOUGLAS RGroup President
|
SaleCommon | 20,000 | $38.71 | $774,100.00 |
DisclosureSEC source: 0000018230-08-000396 · edgar.xml · nonDerivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,633 F4 · price: The reporting person disposed of the stock in exchange for 50% interest in a LLC that owns real property, using the average of the high and low stock price on November 3. F1 · balance_after: This amount includes 24,408 shares in 401K and 3275 shares in dividend reinvestment. Read SEC document |
| November 03, 2008 Filed Nov 5, 2008 20:16 UTC |
OBERHELMAN DOUGLAS RGroup President
|
GiftCommon | 390 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000396 · edgar.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,633 Read SEC document |
| October 31, 2008 Filed Nov 3, 2008 16:41 UTC |
POWELL CHARLES DDirector
|
GrantCommon | 38 | $37.64 | $1,430.32 |
DisclosureSEC source: 0000018230-08-000383 · edgar.xml · nonDerivative · entry 1 POWELL CHARLES D · CIK 0001172570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,263 F2 · kind: Stock received in lieu of director's fees. F1 · balance_after: Included in this amount are 381 shares in dividend reinvestment. Read SEC document |
| October 31, 2008 Filed Nov 3, 2008 16:42 UTC |
MAGOWAN PETER ADirector
|
GrantPhantom Stock Units · Derivative | 199 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000384 · edgar.xml · derivative · entry 2 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,111 Underlying: Common · 199 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in October 2008 at a price of $37.64 per share. F3 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in October 2008 at a price of $37.64 per share. Read SEC document |
| October 31, 2008 Filed Nov 3, 2008 16:43 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 199 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000385 · edgar.xml · derivative · entry 2 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,115 Underlying: Common · 199 shares Expires not disclosed F1 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in October 2008 at a price of $37.64 per share. F2 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in October 2008 at a price of $37.64 per share. Read SEC document |
| October 31, 2008 Filed Nov 3, 2008 16:43 UTC |
GOODE DAVID RDirector
|
GrantPhantom Stock Units · Derivative | 221 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000386 · edgar.xml · derivative · entry 2 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,817 Underlying: Common · 221 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in October 2008 at a price of $37.64 per share. F3 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in October 2008 at a price of $37.64 per share. Read SEC document |
| October 31, 2008 Filed Nov 3, 2008 16:44 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 199 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000387 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,775 Underlying: Common · 199 shares Expires not disclosed F1 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in October 2008 at a price of $37.64 per share. F2 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in October 2008 at a price of $37.64 per share. Read SEC document |
| October 31, 2008 Filed Nov 3, 2008 16:45 UTC |
DICKINSON DANIEL MDirector
|
GrantPhantom Stock Units · Derivative | 199 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000388 · edgar.xml · derivative · entry 2 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,465 Underlying: Common · 199 shares Expires not disclosed F1 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in October 2008 at a price of $37.64 per share. F2 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in October 2008 at a price of $37.64 per share. Read SEC document |
| October 31, 2008 Filed Nov 3, 2008 17:16 UTC |
OBERHELMAN DOUGLAS RGroup President
|
GrantPhantom Stock Units · Derivative | 191 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000392 · edgar.xml · derivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,465 Underlying: Common · 191 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| October 31, 2008 Filed Nov 3, 2008 17:17 UTC |
LAVIN RICHARD PGroup President
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GrantPhantom Stock Units · Derivative | 153 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000393 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,332 Underlying: Common · 153 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| October 31, 2008 Filed Nov 3, 2008 17:17 UTC |
BUDA JAMES BVP, General Counsel, Secy.
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GrantPhantom Stock Units · Derivative | 141 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000394 · edgar.xml · derivative · entry 2 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,932 Underlying: Common · 141 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| October 30, 2008 Filed Oct 31, 2008 14:26 UTC |
LEVENICK STUART LGroup President
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OtherPhantom Stock Units · Derivative | 5,619 | $0.00 Strike: $37.37 | $0.00 |
DisclosureSEC source: 0000018230-08-000373 · edgar.xml · derivative · entry 2 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,619 Underlying: Common · 5,619 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| October 29, 2008 Filed Oct 29, 2008 22:52 UTC |
BURRITT DAVID BV.P./Chief Financial Officer
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GiftCommon | 6,500 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000367 · edgar.xml · nonDerivative · entry 2 BURRITT DAVID B · CIK 0001204586 · V.P./Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · Owned by Wife Disclosed balance after: 13,314 F2 · ownership.nature: Reporting person disclaims beneficial ownership. Read SEC document |
| October 29, 2008 Filed Oct 29, 2008 22:52 UTC |
BURRITT DAVID BV.P./Chief Financial Officer
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GiftCommon | 6,500 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000367 · edgar.xml · nonDerivative · entry 1 BURRITT DAVID B · CIK 0001204586 · V.P./Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,942 F1 · balance_after: This amount includes 9,899 shares in 401K and 373 shares in dividend reinvestment. Read SEC document |
| October 29, 2008 Filed Oct 30, 2008 17:59 UTC |
OSBORN WILLIAM ADirector
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Exercise / conversionEmployee Stock Option · Derivative | 8,000 | $0.00 Strike: $29.43 | $0.00 |
DisclosureSEC source: 0000018230-08-000370 · edgar.xml · derivative · entry 2 OSBORN WILLIAM A · CIK 0001171797 · 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. F2 · security: (Right to buy) with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| October 29, 2008 Filed Oct 30, 2008 17:59 UTC |
OSBORN WILLIAM ADirector
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Exercise / conversionCommon | 8,000 | $29.43 | $235,460.00 |
DisclosureSEC source: 0000018230-08-000370 · edgar.xml · nonDerivative · entry 1 OSBORN WILLIAM A · CIK 0001171797 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,640 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 140 shares in dividend reinvestment. Read SEC document |
| October 28, 2008 Filed Oct 29, 2008 16:24 UTC |
RAPP EDWARD JGroup President
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OtherPhantom Stock Units · Derivative | 9,012 | $0.00 Strike: $34.95 | $0.00 |
DisclosureSEC source: 0000018230-08-000365 · edgar.xml · derivative · entry 2 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,012 Underlying: Common · 9,012 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| October 24, 2008 Filed Oct 28, 2008 14:29 UTC |
Halverson Bradley MController
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OtherPhantom Stock Units · Derivative | 3,003 | $0.00 Strike: $33.30 | $0.00 |
DisclosureSEC source: 0000018230-08-000363 · edgar.xml · derivative · entry 3 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,772 Underlying: Common · 3,772 shares Expires not disclosed F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F4 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F4 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| September 30, 2008 Filed Oct 1, 2008 15:28 UTC |
POWELL CHARLES DDirector
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GrantCommon | 25 | $59.65 | $1,491.25 |
DisclosureSEC source: 0000018230-08-000337 · edgar.xml · nonDerivative · entry 1 POWELL CHARLES D · CIK 0001172570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,225 F2 · kind: Stock received in lieu of director's fees. F1 · balance_after: Included in this amount are 381 shares in dividend reinvestment. Read SEC document |
| September 30, 2008 Filed Oct 1, 2008 15:29 UTC |
RUST EDWARD B JRDirector
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GrantPhantom Stock Units · Derivative | 125 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000338 · edgar.xml · derivative · entry 2 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,916 Underlying: Common · 125 shares Expires not disclosed F1 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in September 2008 at a price of $59.65 per share. F2 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in September 2008 at a price of $59.65 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.