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 |
|---|---|---|---|---|---|---|
| June 30, 2008 Filed Jul 1, 2008 16:31 UTC |
BUDA JAMES BVP, General Counsel, Secy.
|
GrantPhantom Stock Units · Derivative | 116 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000256 · edgar.xml · derivative · entry 2 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,463 Underlying: Common · 116 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, 2008 Filed Jul 1, 2008 16:32 UTC |
LAVIN RICHARD PGroup President
|
GrantPhantom Stock Units · Derivative | 983 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000257 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,854 Underlying: Common · 983 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, 2008 Filed Jul 1, 2008 16:32 UTC |
OBERHELMAN DOUGLAS RGroup President
|
GrantPhantom Stock Units · Derivative | 234 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000258 · edgar.xml · derivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,663 Underlying: Common · 234 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 03, 2008 Filed Jun 5, 2008 21:11 UTC |
OBERHELMAN DOUGLAS RGroup President
|
GiftCommon | 150 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000219 · edgar.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,144 F1 · balance_after: This amount includes 24,102 shares in 401K and 2702 shares in dividend reinvestment. Read SEC document |
| May 30, 2008 Filed Jun 2, 2008 18:48 UTC |
POWELL CHARLES DDirector
|
GrantCommon | 18 | $82.66 | $1,487.79 |
DisclosureSEC source: 0000018230-08-000206 · edgar.xml · nonDerivative · entry 1 POWELL CHARLES D · CIK 0001172570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,103 F2 · kind: Stock received in lieu of director's fees. F1 · balance_after: Included in this amount are 345 shares in dividend reinvestment. Read SEC document |
| May 30, 2008 Filed Jun 2, 2008 18:49 UTC |
DICKINSON DANIEL MDirector
|
GrantPhantom Stock Units · Derivative | 97 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000207 · edgar.xml · derivative · entry 2 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,814 Underlying: Common · 97 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 2008 at a price between $82.655 and $83.40 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 2008 at a price between $82.655 and $83.40 per share. Read SEC document |
| May 30, 2008 Filed Jun 2, 2008 18:50 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 103 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000208 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,116 Underlying: Common · 103 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 2008 at a price between $82.655 and $83.40 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 2008 at a price between $82.655 and $83.40 per share. Read SEC document |
| May 30, 2008 Filed Jun 2, 2008 18:50 UTC |
MAGOWAN PETER ADirector
|
GrantPhantom Stock Units · Derivative | 147 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000209 · edgar.xml · derivative · entry 2 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,390 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 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 2008 at a price between $82.655 and $83.40 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 2008 at a price between $82.655 and $83.40 per share. Read SEC document |
| May 30, 2008 Filed Jun 2, 2008 18:51 UTC |
GOODE DAVID RDirector
|
GrantPhantom Stock Units · Derivative | 254 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000210 · edgar.xml · derivative · entry 2 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,887 Underlying: Common · 254 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 2008 at a price between $82.655 and $83.40 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 2008 at a price between $82.655 and $83.40 per share. Read SEC document |
| May 30, 2008 Filed Jun 2, 2008 18:52 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 121 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000211 · edgar.xml · derivative · entry 2 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,430 Underlying: Common · 121 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 2008 at a price between $82.655 and $83.40 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 2008 at a price between $82.655 and $83.40 per share. Read SEC document |
| May 30, 2008 Filed Jun 2, 2008 18:52 UTC |
BUDA JAMES BVP, General Counsel, Secy.
|
GrantPhantom Stock Units · Derivative | 65 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000212 · edgar.xml · derivative · entry 2 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,347 Underlying: Common · 65 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 30, 2008 Filed Jun 2, 2008 18:53 UTC |
LAVIN RICHARD PGroup President
|
GrantPhantom Stock Units · Derivative | 19 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000213 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,871 Underlying: Common · 19 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 30, 2008 Filed Jun 2, 2008 18:55 UTC |
OBERHELMAN DOUGLAS RGroup President
|
GrantPhantom Stock Units · Derivative | 88 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000215 · edgar.xml · derivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,429 Underlying: Common · 88 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 07, 2008 Filed May 7, 2008 18:32 UTC |
Halverson Bradley MController
|
GiftCommon | 200 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000191 · edgar.xml · nonDerivative · entry 2 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Indirect · Owned by Wife's Trust Disclosed balance after: 10,568 F2 · ownership.nature: Beneficial ownership denied. Read SEC document |
| May 07, 2008 Filed May 8, 2008 16:09 UTC |
LAVIN RICHARD PGroup President
|
OtherPhantom Stock Units · Derivative | 2,419 | $0.00 Strike: $81.63 | $0.00 |
DisclosureSEC source: 0000018230-08-000193 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,852 Underlying: Common · 6,852 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, 2008 Filed May 7, 2008 17:43 UTC |
Smith Joshua IDirector
|
Exercise / conversionEmployee Stock Option · Derivative | 4,000 | $0.00 Strike: $29.43 | $0.00 |
DisclosureSEC source: 0000018230-08-000189 · edgar.xml · derivative · entry 5 Smith Joshua I · CIK 0001173565 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 4,000 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. F1 · security: (Right to buy) with tandem tax withholding rights. F2 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| May 06, 2008 Filed May 7, 2008 17:43 UTC |
Smith Joshua IDirector
|
Exercise / conversionEmployee Stock Option · Derivative | 3,000 | $0.00 Strike: $28.78 | $0.00 |
DisclosureSEC source: 0000018230-08-000189 · edgar.xml · derivative · entry 4 Smith Joshua I · CIK 0001173565 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 3,000 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. F1 · security: (Right to buy) with tandem tax withholding rights. F2 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| May 06, 2008 Filed May 7, 2008 17:43 UTC |
Smith Joshua IDirector
|
SaleCommon | 7,000 | $82.23 | $575,608.60 |
DisclosureSEC source: 0000018230-08-000189 · edgar.xml · nonDerivative · entry 3 Smith Joshua I · CIK 0001173565 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,205 F3 · balance_after: This amount includes 50 shares in dividend reinvestment. Read SEC document |
| May 06, 2008 Filed May 7, 2008 17:43 UTC |
Smith Joshua IDirector
|
Exercise / conversionCommon | 4,000 | $29.43 | $117,730.00 |
DisclosureSEC source: 0000018230-08-000189 · edgar.xml · nonDerivative · entry 2 Smith Joshua I · CIK 0001173565 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,205 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 06, 2008 Filed May 7, 2008 17:43 UTC |
Smith Joshua IDirector
|
Exercise / conversionCommon | 3,000 | $28.78 | $86,343.90 |
DisclosureSEC source: 0000018230-08-000189 · edgar.xml · nonDerivative · entry 1 Smith Joshua I · CIK 0001173565 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,205 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 06, 2008 Filed Dec 1, 2008 17:26 UTC |
OWENS JAMES WDirector · Chairman of the Board/CEO
|
GiftCommon | 4,038 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000422 · 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: 121,044 Read SEC document |
| May 06, 2008 Filed Dec 1, 2008 17:26 UTC |
OWENS JAMES WDirector · Chairman of the Board/CEO
|
GiftCommon | 4,038 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000422 · 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: 183,916 F1 · balance_after: This amount includes 30,337 shares in 401K. Read SEC document |
| May 01, 2008 Filed May 2, 2008 17:45 UTC |
BRAZIL JOHN RDirector
|
Exercise / conversionEmployee Stock Option · Derivative | 8,000 | $0.00 Strike: $29.43 | $0.00 |
DisclosureSEC source: 0000018230-08-000185 · edgar.xml · derivative · entry 3 BRAZIL JOHN R · CIK 0001171802 · 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. F1 · security: (Right to buy) with tandem tax withholding rights. F2 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| May 01, 2008 Filed May 2, 2008 17:45 UTC |
BRAZIL JOHN RDirector
|
SaleCommon | 8,000 | $82.47 | $659,798.40 |
DisclosureSEC source: 0000018230-08-000185 · edgar.xml · nonDerivative · entry 2 BRAZIL JOHN R · CIK 0001171802 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,803 Read SEC document |
| May 01, 2008 Filed May 2, 2008 17:45 UTC |
BRAZIL JOHN RDirector
|
Exercise / conversionCommon | 8,000 | $29.43 | $235,460.00 |
DisclosureSEC source: 0000018230-08-000185 · edgar.xml · nonDerivative · entry 1 BRAZIL JOHN R · CIK 0001171802 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,803 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 30, 2008 Filed May 1, 2008 22:29 UTC |
POWELL CHARLES DDirector
|
GrantCommon | 17 | $82.51 | $1,402.67 |
DisclosureSEC source: 0000018230-08-000173 · edgar.xml · nonDerivative · entry 1 POWELL CHARLES D · CIK 0001172570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,085 F2 · kind: Stock received in lieu of director's fees. F1 · balance_after: Included in this amount are 345 shares in dividend reinvestment. Read SEC document |
| April 30, 2008 Filed May 1, 2008 22:30 UTC |
DICKINSON DANIEL MDirector
|
GrantPhantom Stock Units · Derivative | 90 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000174 · edgar.xml · derivative · entry 2 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,716 Underlying: Common · 90 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 2008 at a price of $82.51 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 2008 at a price of $82.51 per share. Read SEC document |
| April 30, 2008 Filed May 1, 2008 22:31 UTC |
MAGOWAN PETER ADirector
|
GrantPhantom Stock Units · Derivative | 90 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000175 · edgar.xml · derivative · entry 2 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,242 Underlying: Common · 90 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 2008 at a price of $82.51 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 2008 at a price of $82.51 per share. Read SEC document |
| April 30, 2008 Filed May 1, 2008 22:32 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 90 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000176 · edgar.xml · derivative · entry 2 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,308 Underlying: Common · 90 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 2008 at a price of $82.51 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 2008 at a price of $82.51 per share. Read SEC document |
| April 30, 2008 Filed May 1, 2008 22:32 UTC |
GOODE DAVID RDirector
|
GrantPhantom Stock Units · Derivative | 101 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000177 · edgar.xml · derivative · entry 2 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,632 Underlying: Common · 101 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 2008 at a price of $82.51 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 2008 at a price of $82.51 per share. Read SEC document |
| April 30, 2008 Filed May 1, 2008 22:33 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 90 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000178 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,013 Underlying: Common · 90 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 2008 at a price of $82.51 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 2008 at a price of $82.51 per share. Read SEC document |
| April 30, 2008 Filed May 1, 2008 22:39 UTC |
BUDA JAMES BVP, General Counsel, Secy.
|
GrantPhantom Stock Units · Derivative | 5 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000181 · edgar.xml · derivative · entry 2 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,282 Underlying: Common · 5 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 30, 2008 Filed May 1, 2008 22:40 UTC |
OBERHELMAN DOUGLAS RGroup President
|
GrantPhantom Stock Units · Derivative | 89 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000182 · edgar.xml · derivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,341 Underlying: Common · 89 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 29, 2008 Filed Apr 29, 2008 20:40 UTC |
LAVIN RICHARD PGroup President
|
Exercise / conversionEmployee Stock Option · Derivative | 3,208 | $0.00 Strike: $31.17 | $0.00 |
DisclosureSEC source: 0000018230-08-000165 · edgar.xml · derivative · entry 7 LAVIN RICHARD P · CIK 0001171774 · 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 |
| April 29, 2008 Filed Apr 29, 2008 20:40 UTC |
LAVIN RICHARD PGroup President
|
Exercise / conversionEmployee Stock Option · Derivative | 3,500 | $0.00 Strike: $31.17 | $0.00 |
DisclosureSEC source: 0000018230-08-000165 · edgar.xml · derivative · entry 6 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 3,500 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 |
| April 29, 2008 Filed Apr 29, 2008 20:40 UTC |
LAVIN RICHARD PGroup President
|
Exercise / conversionCommon | 3,208 | $31.17 | $99,999.46 |
DisclosureSEC source: 0000018230-08-000165 · edgar.xml · nonDerivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,081 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 10,687 shares in 401K and 26 shares in dividend reinvestment. Read SEC document |
| April 29, 2008 Filed Apr 29, 2008 20:40 UTC |
LAVIN RICHARD PGroup President
|
SaleCommon | 3,500 | $81.94 | $286,773.20 |
DisclosureSEC source: 0000018230-08-000165 · edgar.xml · nonDerivative · entry 2 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,873 Read SEC document |
| April 29, 2008 Filed Apr 29, 2008 20:40 UTC |
LAVIN RICHARD PGroup President
|
Exercise / conversionCommon | 3,500 | $31.17 | $109,101.65 |
DisclosureSEC source: 0000018230-08-000165 · edgar.xml · nonDerivative · entry 1 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,373 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 28, 2008 Filed Apr 29, 2008 16:19 UTC |
OBERHELMAN DOUGLAS RGroup President
|
Exercise / conversionEmployee Stock Option · Derivative | 19,410 | $0.00 Strike: $27.84 | $0.00 |
DisclosureSEC source: 0000018230-08-000163 · edgar.xml · derivative · entry 4 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 19,410 shares Expires 2008-06-09 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · security: (Right to buy) with tandem tax withholding rights. F5 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| April 28, 2008 Filed Apr 29, 2008 16:19 UTC |
OBERHELMAN DOUGLAS RGroup President
|
Tax withholdingCommon | 11,601 | $82.95 | $962,302.95 |
DisclosureSEC source: 0000018230-08-000163 · edgar.xml · nonDerivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,294 F1 · balance_after: This amount includes 24,102 shares in 401K and 2702 shares in dividend reinvestment. Read SEC document |
| April 28, 2008 Filed Apr 29, 2008 16:19 UTC |
OBERHELMAN DOUGLAS RGroup President
|
Exercise / conversionCommon | 19,410 | $27.84 | $540,448.16 |
DisclosureSEC source: 0000018230-08-000163 · edgar.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 103,895 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 23, 2008 Filed Apr 24, 2008 18:15 UTC |
WUNNING STEVEN HGroup President
|
Exercise / conversionEmployee Stock Option · Derivative | 5,202 | $0.00 Strike: $19.20 | $0.00 |
DisclosureSEC source: 0000018230-08-000161 · edgar.xml · derivative · entry 6 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 5,202 shares Expires 2010-06-12 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · security: (Right to buy) with tandem tax withholding rights. F6 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| April 23, 2008 Filed Apr 24, 2008 18:15 UTC |
WUNNING STEVEN HGroup President
|
Tax withholdingCommon | 1,217 | $82.06 | $99,867.02 |
DisclosureSEC source: 0000018230-08-000161 · edgar.xml · nonDerivative · entry 2 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,554 F1 · balance_after: This amount includes 22,392 shares in 401K. Read SEC document |
| April 23, 2008 Filed Apr 24, 2008 18:15 UTC |
WUNNING STEVEN HGroup President
|
Exercise / conversionCommon | 5,202 | $19.20 | $99,895.05 |
DisclosureSEC source: 0000018230-08-000161 · edgar.xml · nonDerivative · entry 1 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,771 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| April 18, 2008 Filed Apr 18, 2008 21:12 UTC |
WUNNING STEVEN HGroup President
|
Exercise / conversionEmployee Stock Option · Derivative | 2,798 | $0.00 Strike: $19.20 | $0.00 |
DisclosureSEC source: 0000018230-08-000153 · edgar.xml · derivative · entry 6 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 2,798 shares Expires 2010-06-12 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. 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 |
| April 18, 2008 Filed Apr 18, 2008 21:12 UTC |
WUNNING STEVEN HGroup President
|
SaleCommon | 2,798 | $82.00 | $229,436.00 |
DisclosureSEC source: 0000018230-08-000153 · edgar.xml · nonDerivative · entry 2 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,569 F1 · balance_after: This amount includes 22,392 shares in 401K. Read SEC document |
| April 18, 2008 Filed Apr 18, 2008 21:12 UTC |
WUNNING STEVEN HGroup President
|
Exercise / conversionCommon | 2,798 | $19.20 | $53,730.55 |
DisclosureSEC source: 0000018230-08-000153 · edgar.xml · nonDerivative · entry 1 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,367 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 17, 2008 Filed Apr 18, 2008 13:12 UTC |
WUNNING STEVEN HGroup President
|
Exercise / conversionEmployee Stock Option · Derivative | 40,000 | $0.00 Strike: $19.20 | $0.00 |
DisclosureSEC source: 0000018230-08-000147 · edgar.xml · derivative · entry 6 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 40,000 shares Expires 2010-06-12 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. 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 |
| April 17, 2008 Filed Apr 18, 2008 13:12 UTC |
WUNNING STEVEN HGroup President
|
SaleCommon | 40,000 | $80.00 | $3,200,000.00 |
DisclosureSEC source: 0000018230-08-000147 · edgar.xml · nonDerivative · entry 2 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,569 F1 · balance_after: This amount includes 22,392 shares in 401K. Read SEC document |
| April 17, 2008 Filed Apr 18, 2008 13:12 UTC |
WUNNING STEVEN HGroup President
|
Exercise / conversionCommon | 40,000 | $19.20 | $768,128.00 |
DisclosureSEC source: 0000018230-08-000147 · edgar.xml · nonDerivative · entry 1 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,569 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.