Last 12 months
Inside the activity.
2 purchase rows · 91 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 1 | 16 |
| Dec 2025 | 0 | 14 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 21 |
| Mar 2026 | 0 | 5 |
| Apr 2026 | 0 | 0 |
| May 2026 | 1 | 21 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 14 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| August 06, 2007 Filed Aug 6, 2007 21:52 UTC |
BURRITT DAVID BV.P./Chief Financial Officer
|
GiftCommon | 3,825 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000417 · 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: 29,801 F1 · balance_after: This amount includes 9,636 shares in 401K and 43 shares in dividend reinvestment. Read SEC document |
| July 31, 2007 Filed Aug 1, 2007 18:16 UTC |
OBERHELMAN DOUGLAS RGroup President
|
GrantPhantom Stock Units · Derivative | 92 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000402 · edgar.xml · derivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,887 Underlying: Common · 30,887 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| July 31, 2007 Filed Aug 1, 2007 18:17 UTC |
BUDA JAMES BVP, General Counsel, Secy.
|
GrantPhantom Stock Units · Derivative | 68 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000403 · edgar.xml · derivative · entry 2 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,788 Underlying: Common · 8,788 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| July 31, 2007 Filed Aug 1, 2007 18:18 UTC |
POWELL CHARLES DDirector
|
GrantCommon | 18 | $78.79 | $1,418.13 |
DisclosureSEC source: 0000018230-07-000404 · edgar.xml · nonDerivative · entry 1 POWELL CHARLES D · CIK 0001172570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,838 F2 · kind: Stock received in lieu of director's fees. F1 · balance_after: Included in this amount are 267 shares in dividend reinvestment. Read SEC document |
| July 31, 2007 Filed Aug 1, 2007 18:18 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 95 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000405 · edgar.xml · derivative · entry 2 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95 Underlying: Common · 95 shares Expires not disclosed F1 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in July 2007 at a price of $78.785 per share. F2 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in July 2007 at a price of $78.785 per share. Read SEC document |
| July 31, 2007 Filed Aug 1, 2007 18:19 UTC |
MAGOWAN PETER ADirector
|
GrantPhantom Stock Units · Derivative | 95 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000406 · edgar.xml · derivative · entry 3 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95 Underlying: Common · 95 shares Expires not disclosed F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F4 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in July 2007 at a price of $78.785 per share. F4 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in July 2007 at a price of $78.785 per share. Read SEC document |
| July 31, 2007 Filed Aug 1, 2007 18:19 UTC |
GOODE DAVID RDirector
|
GrantPhantom Stock Units · Derivative | 105 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000407 · edgar.xml · derivative · entry 2 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 105 Underlying: Common · 105 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in July 2007 at a price of $78.785 per share. F3 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in July 2007 at a price of $78.785 per share. Read SEC document |
| July 31, 2007 Filed Aug 1, 2007 18:20 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 95 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000408 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95 Underlying: Common · 95 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F1 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in July 2007 at a price of $78.785 per share. F1 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in July 2007 at a price of $78.785 per share. Read SEC document |
| July 31, 2007 Filed Aug 1, 2007 18:21 UTC |
DICKINSON DANIEL MDirector
|
GrantPhantom Stock Units · Derivative | 95 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000409 · edgar.xml · derivative · entry 2 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95 Underlying: Common · 95 shares Expires not disclosed F1 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in July 2007 at a price of $78.785 per share. F2 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in July 2007 at a price of $78.785 per share. Read SEC document |
| July 31, 2007 Filed Jan 3, 2008 20:38 UTC |
Halverson Bradley MController
|
GiftCommon | 1,500 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000018 · 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: 10,768 F2 · ownership.nature: Beneficial ownership denied. Read SEC document |
| July 31, 2007 Filed Jan 3, 2008 20:38 UTC |
Halverson Bradley MController
|
GiftCommon | 1,500 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000018 · edgar.xml · nonDerivative · entry 1 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,074 F1 · balance_after: This amount includes 9,074 shares in 401K. Read SEC document |
| July 25, 2007 Filed Jul 26, 2007 13:22 UTC |
Halverson Bradley MController
|
Exercise / conversionEmployee Stock Option · Derivative | 1,500 | $0.00 Strike: $31.17 | $0.00 |
DisclosureSEC source: 0000018230-07-000385 · edgar.xml · derivative · entry 3 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 1,500 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 |
| July 25, 2007 Filed Jul 26, 2007 13:22 UTC |
Halverson Bradley MController
|
SaleCommon | 1,500 | $80.18 | $120,262.95 |
DisclosureSEC source: 0000018230-07-000385 · 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: 9,049 F2 · ownership.nature: Beneficial ownership denied. Read SEC document |
| July 25, 2007 Filed Jul 26, 2007 13:22 UTC |
Halverson Bradley MController
|
Exercise / conversionCommon | 1,500 | $31.17 | $46,757.85 |
DisclosureSEC source: 0000018230-07-000385 · edgar.xml · nonDerivative · entry 1 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,383 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 8883 shares in 401K. Read SEC document |
| July 25, 2007 Filed Jul 27, 2007 20:23 UTC |
SHAHEEN GERALD LGroup President
|
Exercise / conversionPhantom Stock Units · Derivative | 865 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000388 · edgar.xml · derivative · entry 2 SHAHEEN GERALD L · CIK 0001159203 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,884 Underlying: Common · 5,884 shares Expires not disclosed 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 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| July 25, 2007 Filed Jul 27, 2007 20:24 UTC |
OBERHELMAN DOUGLAS RGroup President
|
GrantPhantom Stock Units · Derivative | 40 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000389 · edgar.xml · derivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,795 Underlying: Common · 30,795 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 29, 2007 Filed Jul 2, 2007 20:47 UTC |
POWELL CHARLES DDirector
|
GrantCommon | 18 | $78.45 | $1,412.01 |
DisclosureSEC source: 0000018230-07-000364 · edgar.xml · nonDerivative · entry 1 POWELL CHARLES D · CIK 0001172570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,820 F2 · kind: Stock received in lieu of director's fees. F1 · balance_after: Included in this amount are 267 shares in dividend reinvestment. Read SEC document |
| June 29, 2007 Filed Jul 2, 2007 20:52 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 95 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000365 · edgar.xml · derivative · entry 2 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95 Underlying: Common · 95 shares Expires not disclosed F1 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in June 2007 at a price of $78.445 per share. F2 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in June 2007 at a price of $78.445 per share. Read SEC document |
| June 29, 2007 Filed Jul 2, 2007 20:52 UTC |
MAGOWAN PETER ADirector
|
GrantPhantom Stock Units · Derivative | 95 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000366 · edgar.xml · derivative · entry 3 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95 Underlying: Common · 95 shares Expires not disclosed F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F4 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in June 2007 at a price of $78.445 per share. F4 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in June 2007 at a price of $78.445 per share. Read SEC document |
| June 29, 2007 Filed Jul 2, 2007 20:53 UTC |
GOODE DAVID RDirector
|
GrantPhantom Stock Units · Derivative | 106 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000367 · edgar.xml · derivative · entry 2 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 106 Underlying: Common · 106 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in June 2007 at a price of $78.445 per share. F3 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in June 2007 at a price of $78.445 per share. Read SEC document |
| June 29, 2007 Filed Jul 2, 2007 20:54 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 95 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000368 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95 Underlying: Common · 95 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F1 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in June 2007 at a price of $78.445 per share. F1 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in June 2007 at a price of $78.445 per share. Read SEC document |
| June 29, 2007 Filed Jul 2, 2007 20:54 UTC |
DICKINSON DANIEL MDirector
|
GrantPhantom Stock Units · Derivative | 95 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000369 · edgar.xml · derivative · entry 2 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95 Underlying: Common · 95 shares Expires not disclosed F1 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in June 2007 at a price of $78.445 per share. F2 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in June 2007 at a price of $78.445 per share. Read SEC document |
| June 29, 2007 Filed Jul 2, 2007 21:16 UTC |
OBERHELMAN DOUGLAS RGroup President
|
GrantPhantom Stock Units · Derivative | 93 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000372 · edgar.xml · derivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,835 Underlying: Common · 30,835 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 29, 2007 Filed Jul 2, 2007 21:17 UTC |
BUDA JAMES BVP, General Counsel, Secy.
|
GrantPhantom Stock Units · Derivative | 63 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000373 · edgar.xml · derivative · entry 2 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,720 Underlying: Common · 8,720 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 20, 2007 Filed Jun 21, 2007 17:25 UTC |
VITTECOQ GERARD RGroup President
|
Exercise / conversionEmployee Stock Option · Derivative | 19,360 | $0.00 Strike: $31.17 | $0.00 |
DisclosureSEC source: 0000018230-07-000346 · edgar.xml · derivative · entry 3 VITTECOQ GERARD R · CIK 0001171778 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 19,360 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. 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 |
| June 20, 2007 Filed Jun 21, 2007 17:25 UTC |
VITTECOQ GERARD RGroup President
|
Tax withholdingCommon | 7,353 | $82.07 | $603,460.71 |
DisclosureSEC source: 0000018230-07-000346 · edgar.xml · nonDerivative · entry 2 VITTECOQ GERARD R · CIK 0001171778 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,310 F1 · balance_after: Included in this amount are 31,312 shares in EIP. Read SEC document |
| June 20, 2007 Filed Jun 21, 2007 17:25 UTC |
VITTECOQ GERARD RGroup President
|
Exercise / conversionCommon | 19,360 | $31.17 | $603,487.98 |
DisclosureSEC source: 0000018230-07-000346 · edgar.xml · nonDerivative · entry 1 VITTECOQ GERARD R · CIK 0001171778 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,663 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 |
| June 01, 2007 Filed Jun 5, 2007 13:00 UTC |
OBERHELMAN DOUGLAS RGroup President
|
Exercise / conversionEmployee Stock Option · Derivative | 18,132 | $0.00 Strike: $25.83 | $0.00 |
DisclosureSEC source: 0000018230-07-000335 · edgar.xml · derivative · entry 4 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,132 Underlying: Common · 18,132 shares Expires 2007-06-10 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · security: (Right to buy) with tandem tax withholding rights. F5 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| June 01, 2007 Filed Jun 5, 2007 13:00 UTC |
OBERHELMAN DOUGLAS RGroup President
|
Tax withholdingCommon | 10,760 | $78.60 | $845,736.00 |
DisclosureSEC source: 0000018230-07-000335 · edgar.xml · nonDerivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,934 F1 · balance_after: This amount includes 23,254 shares in 401K and 511 shares in dividend reinvestment. Read SEC document |
| June 01, 2007 Filed Jun 5, 2007 13:00 UTC |
OBERHELMAN DOUGLAS RGroup President
|
Exercise / conversionCommon | 18,132 | $25.83 | $468,315.11 |
DisclosureSEC source: 0000018230-07-000335 · edgar.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,694 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 31, 2007 Filed Jun 1, 2007 17:34 UTC |
POWELL CHARLES DDirector
|
GrantCommon | 17 | $78.39 | $1,332.63 |
DisclosureSEC source: 0000018230-07-000325 · edgar.xml · nonDerivative · entry 1 POWELL CHARLES D · CIK 0001172570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,802 F2 · kind: Stock received in lieu of director's fees. F1 · balance_after: Included in this amount are 267 shares in dividend reinvestment. Read SEC document |
| May 31, 2007 Filed Jun 1, 2007 17:35 UTC |
MAGOWAN PETER ADirector
|
GrantPhantom Stock Units · Derivative | 142 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000326 · edgar.xml · derivative · entry 3 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 142 Underlying: Common · 142 shares Expires not disclosed F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F4 · 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 2007 at a price between $74.79 and $78.39 per share. F4 · 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 2007 at a price between $74.79 and $78.39 per share. Read SEC document |
| May 31, 2007 Filed Jun 1, 2007 17:35 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 102 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000327 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 102 Underlying: Common · 102 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F1 · 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 2007 at a price between $74.79 and $78.39 per share. F1 · 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 2007 at a price between $74.79 and $78.39 per share. Read SEC document |
| May 31, 2007 Filed Jun 1, 2007 17:36 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 119 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000328 · edgar.xml · derivative · entry 2 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 119 Underlying: Common · 119 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 2007 at a price between $74.79 and $78.39 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 2007 at a price between $74.79 and $78.39 per share. Read SEC document |
| May 31, 2007 Filed Jun 1, 2007 17:36 UTC |
GOODE DAVID RDirector
|
GrantPhantom Stock Units · Derivative | 240 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000329 · edgar.xml · derivative · entry 2 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 240 Underlying: Common · 240 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 2007 at a price between $74.79 and $78.39 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 2007 at a price between $74.79 and $78.39 per share. Read SEC document |
| May 31, 2007 Filed Jun 1, 2007 21:54 UTC |
OBERHELMAN DOUGLAS RGroup President
|
GrantPhantom Stock Units · Derivative | 92 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000331 · edgar.xml · derivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,677 Underlying: Common · 30,677 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 31, 2007 Filed Jun 4, 2007 15:28 UTC |
DICKINSON DANIEL MDirector
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GrantPhantom Stock Units · Derivative | 95 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000333 · edgar.xml · derivative · entry 2 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95 Underlying: Common · 95 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 2007 at a price of $78.39 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 2007 at a price of $78.39 per share. Read SEC document |
| May 24, 2007 Filed May 25, 2007 14:30 UTC |
OWENS JAMES WDirector · Chairman of the Board/CEO
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GiftCommon | 2,069 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000319 · 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: 193,031 F1 · balance_after: This amount includes 29,371 shares in 401K and 1 share in dividend reinvestment. Read SEC document |
| May 14, 2007 Filed May 15, 2007 17:50 UTC |
OBERHELMAN DOUGLAS RGroup President
|
Exercise / conversionEmployee Stock Option · Derivative | 20,000 | $0.00 Strike: $25.83 | $0.00 |
DisclosureSEC source: 0000018230-07-000313 · 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 · 20,000 shares Expires not disclosed 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.expiration_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| May 14, 2007 Filed May 15, 2007 17:50 UTC |
OBERHELMAN DOUGLAS RGroup President
|
Tax withholdingCommon | 12,021 | $75.71 | $910,049.81 |
DisclosureSEC source: 0000018230-07-000313 · edgar.xml · nonDerivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,562 F1 · balance_after: This amount includes 23,254 shares in 401K and 511 shares in dividend reinvestment. Read SEC document |
| May 14, 2007 Filed May 15, 2007 17:50 UTC |
OBERHELMAN DOUGLAS RGroup President
|
Exercise / conversionCommon | 20,000 | $25.83 | $516,562.00 |
DisclosureSEC source: 0000018230-07-000313 · edgar.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,583 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 14, 2007 Filed May 15, 2007 18:17 UTC |
LEVENICK STUART LGroup President
|
Exercise / conversionEmployee Stock Option · Derivative | 13,330 | $0.00 Strike: $27.84 | $0.00 |
DisclosureSEC source: 0000018230-07-000315 · edgar.xml · derivative · entry 7 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 13,330 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. 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 |
| May 14, 2007 Filed May 15, 2007 18:17 UTC |
LEVENICK STUART LGroup President
|
Exercise / conversionEmployee Stock Option · Derivative | 13,712 | $0.00 Strike: $31.17 | $0.00 |
DisclosureSEC source: 0000018230-07-000315 · edgar.xml · derivative · entry 6 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 13,712 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. 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 |
| May 14, 2007 Filed May 15, 2007 18:17 UTC |
LEVENICK STUART LGroup President
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GiftCommon | 1,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000315 · edgar.xml · nonDerivative · entry 5 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,014 F1 · balance_after: This amount includes 3710 shares in 401K and 62 shares in dividend reinvestment. Read SEC document |
| May 14, 2007 Filed May 15, 2007 18:17 UTC |
LEVENICK STUART LGroup President
|
Tax withholdingCommon | 8,226 | $75.71 | $622,749.33 |
DisclosureSEC source: 0000018230-07-000315 · edgar.xml · nonDerivative · entry 4 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,014 Read SEC document |
| May 14, 2007 Filed May 15, 2007 18:17 UTC |
LEVENICK STUART LGroup President
|
Exercise / conversionCommon | 13,330 | $27.84 | $371,157.85 |
DisclosureSEC source: 0000018230-07-000315 · edgar.xml · nonDerivative · entry 3 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,240 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 14, 2007 Filed May 15, 2007 18:17 UTC |
LEVENICK STUART LGroup President
|
Tax withholdingCommon | 8,827 | $75.71 | $668,248.04 |
DisclosureSEC source: 0000018230-07-000315 · edgar.xml · nonDerivative · entry 2 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,910 Read SEC document |
| May 14, 2007 Filed May 15, 2007 18:17 UTC |
LEVENICK STUART LGroup President
|
Exercise / conversionCommon | 13,712 | $31.17 | $427,429.09 |
DisclosureSEC source: 0000018230-07-000315 · edgar.xml · nonDerivative · entry 1 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,737 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 07, 2007 Filed May 7, 2007 19:54 UTC |
BURRITT DAVID BV.P./Chief Financial Officer
|
SaleCommon | 3,825 | $72.68 | $278,001.00 |
DisclosureSEC source: 0000018230-07-000311 · 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: 2,989 F2 · ownership.nature: Reporting person disclaims beneficial ownership. Read SEC document |
| May 04, 2007 Filed May 7, 2007 19:34 UTC |
DICKINSON DANIEL MDirector
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OtherPhantom Stock Units · Derivative | 514 | $0.00 Strike: $73.38 | $0.00 |
DisclosureSEC source: 0000018230-07-000309 · edgar.xml · derivative · entry 2 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 514 Underlying: Common · 514 shares Expires not disclosed F1 · kind: Transfer value of phantom stock units from interest bearing account into the stock equivalent account within Caterpillar Inc.'s director's deferred compensation plan. F2 · derivative.exercise_date: The phantom stock units are to be settled 100% in cash upon the reporting person's retirement. F2 · derivative.expiration_date: The phantom stock units are to be settled 100% in cash upon the reporting person's retirement. 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.