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 |
|---|---|---|---|---|---|---|
| May 04, 2007 Filed May 7, 2007 19:54 UTC |
BURRITT DAVID BV.P./Chief Financial Officer
|
GiftCommon | 300 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000311 · 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: 23,990 F1 · balance_after: This amount includes 43 shares in dividend reinvestment. F3 · balance_after: The SEIP shares previously reported under Table I are now reported under Table II as derivative securities. Read SEC document |
| May 03, 2007 Filed May 7, 2007 19:54 UTC |
BURRITT DAVID BV.P./Chief Financial Officer
|
OtherPhantom Stock Units · Derivative | 863 | $0.00 Strike: $73.36 | $0.00 |
DisclosureSEC source: 0000018230-07-000311 · edgar.xml · derivative · entry 3 BURRITT DAVID B · CIK 0001204586 · V.P./Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,616 Underlying: Common · 863 shares Expires not disclosed F4 · kind: Transfer value of the phantom stock units into another fund within Caterpillar's deferred employee investment plan. F4 · derivative.exercise_date: Transfer value of the phantom stock units into another fund within Caterpillar's deferred employee investment plan. F4 · derivative.expiration_date: Transfer value of the phantom stock units into another fund within Caterpillar's deferred employee investment plan. F3 · balance_after: The SEIP shares previously reported under Table I are now reported under Table II as derivative securities. Read SEC document |
| April 30, 2007 Filed May 1, 2007 17:31 UTC |
OBERHELMAN DOUGLAS RGroup President
|
GrantPhantom Stock Units · Derivative | 100 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000287 · edgar.xml · derivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,585 Underlying: Common · 30,585 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, 2007 Filed May 1, 2007 20:35 UTC |
POWELL CHARLES DDirector
|
GrantCommon | 20 | $73.21 | $1,464.20 |
DisclosureSEC source: 0000018230-07-000293 · edgar.xml · nonDerivative · entry 1 POWELL CHARLES D · CIK 0001172570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,785 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 |
| April 30, 2007 Filed May 1, 2007 20:35 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 102 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000294 · edgar.xml · derivative · entry 2 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 102 Underlying: Common · 102 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 2007 at a price of $73.21 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 2007 at a price of $73.21 per share. Read SEC document |
| April 30, 2007 Filed May 1, 2007 20:36 UTC |
GOODE DAVID RDirector
|
GrantPhantom Stock Units · Derivative | 113 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000295 · edgar.xml · derivative · entry 2 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 113 Underlying: Common · 113 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 2007 at a price of $73.21 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 2007 at a price of $73.21 per share. Read SEC document |
| April 30, 2007 Filed May 1, 2007 20:37 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 102 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000296 · 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 April 2007 at a price of $73.21 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 April 2007 at a price of $73.21 per share. Read SEC document |
| April 30, 2007 Filed May 1, 2007 20:37 UTC |
MAGOWAN PETER ADirector
|
GrantPhantom Stock Units · Derivative | 102 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000297 · edgar.xml · derivative · entry 3 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 102 Underlying: Common · 102 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 April 2007 at a price of $73.21 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 April 2007 at a price of $73.21 per share. Read SEC document |
| April 30, 2007 Filed May 2, 2007 13:17 UTC |
SHAHEEN GERALD LGroup President
|
OtherPhantom Stock Units · Derivative | 49,580 | $0.00 Strike: $72.62 | $0.00 |
DisclosureSEC source: 0000018230-07-000300 · edgar.xml · derivative · entry 2 SHAHEEN GERALD L · CIK 0001159203 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,025 Underlying: Common · 49,580 shares Expires not disclosed F2 · kind: Transfer value of the phantom stock units into another fund within Caterpillar's deferred employee investment plan. F2 · derivative.exercise_date: Transfer value of the phantom stock units into another fund within Caterpillar's deferred employee investment plan. F2 · derivative.expiration_date: Transfer value of the phantom stock units into another fund within Caterpillar's deferred employee investment plan. Read SEC document |
| April 26, 2007 Filed Apr 27, 2007 16:16 UTC |
Smith Joshua IDirector
|
Exercise / conversionEmployee Stock Option · Derivative | 8,000 | $0.00 Strike: $27.19 | $0.00 |
DisclosureSEC source: 0000018230-07-000283 · edgar.xml · derivative · entry 3 SMITH JOSHUA T · CIK 0001173565 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 8,000 shares Expires 2008-04-08 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. 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 |
| April 26, 2007 Filed Apr 27, 2007 16:16 UTC |
Smith Joshua IDirector
|
Tax withholdingCommon | 2,980 | $72.98 | $217,465.50 |
DisclosureSEC source: 0000018230-07-000283 · edgar.xml · nonDerivative · entry 2 SMITH JOSHUA T · CIK 0001173565 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,875 Read SEC document |
| April 26, 2007 Filed Apr 27, 2007 16:16 UTC |
Smith Joshua IDirector
|
Exercise / conversionCommon | 8,000 | $27.19 | $217,500.00 |
DisclosureSEC source: 0000018230-07-000283 · edgar.xml · nonDerivative · entry 1 SMITH JOSHUA T · CIK 0001173565 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,855 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 26, 2007 Filed Apr 27, 2007 17:33 UTC |
OWENS JAMES WDirector · Chairman of the Board/CEO
|
Exercise / conversionEmployee Stock Option · Derivative | 3,590 | $0.00 Strike: $27.84 | $0.00 |
DisclosureSEC source: 0000018230-07-000285 · 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 · 3,590 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 26, 2007 Filed Apr 27, 2007 17:33 UTC |
OWENS JAMES WDirector · Chairman of the Board/CEO
|
Exercise / conversionEmployee Stock Option · Derivative | 96,410 | $0.00 Strike: $27.84 | $0.00 |
DisclosureSEC source: 0000018230-07-000285 · edgar.xml · derivative · entry 7 OWENS JAMES W · CIK 0001171767 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 96,410 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 26, 2007 Filed Apr 27, 2007 17:33 UTC |
OWENS JAMES WDirector · Chairman of the Board/CEO
|
Tax withholdingCommon | 1,369 | $72.98 | $99,902.78 |
DisclosureSEC source: 0000018230-07-000285 · 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: 195,100 F1 · balance_after: This amount includes 29,371 shares in 401K and 1 share in dividend reinvestment. Read SEC document |
| April 26, 2007 Filed Apr 27, 2007 17:33 UTC |
OWENS JAMES WDirector · Chairman of the Board/CEO
|
Exercise / conversionCommon | 3,590 | $27.84 | $99,959.24 |
DisclosureSEC source: 0000018230-07-000285 · 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: 196,469 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 26, 2007 Filed Apr 27, 2007 17:33 UTC |
OWENS JAMES WDirector · Chairman of the Board/CEO
|
Tax withholdingCommon | 60,306 | $72.98 | $4,400,830.35 |
DisclosureSEC source: 0000018230-07-000285 · 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: 192,879 Read SEC document |
| April 26, 2007 Filed Apr 27, 2007 17:33 UTC |
OWENS JAMES WDirector · Chairman of the Board/CEO
|
Exercise / conversionCommon | 96,410 | $27.84 | $2,684,420.76 |
DisclosureSEC source: 0000018230-07-000285 · 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: 253,185 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 04, 2007 Filed Apr 5, 2007 16:11 UTC |
MAGOWAN PETER ADirector
|
Exercise / conversionEmployee Stock Option · Derivative | 8,000 | $0.00 Strike: $19.59 | $0.00 |
DisclosureSEC source: 0000018230-07-000267 · edgar.xml · derivative · entry 4 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 8,000 shares Expires 2007-04-09 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. F3 · security: (Right to buy) with tandem tax withholding rights. F4 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| April 04, 2007 Filed Apr 5, 2007 16:11 UTC |
MAGOWAN PETER ADirector
|
Tax withholdingCommon | 2,327 | $67.35 | $156,723.45 |
DisclosureSEC source: 0000018230-07-000267 · edgar.xml · nonDerivative · entry 2 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 269,092 F1 · balance_after: This amount includes 2282 dividend reinvestment shares. Read SEC document |
| April 04, 2007 Filed Apr 5, 2007 16:11 UTC |
MAGOWAN PETER ADirector
|
Exercise / conversionCommon | 8,000 | $19.59 | $156,750.40 |
DisclosureSEC source: 0000018230-07-000267 · edgar.xml · nonDerivative · entry 1 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 271,419 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 02, 2007 Filed Apr 2, 2007 17:47 UTC |
VITTECOQ GERARD RGroup President
|
GrantPhantom Stock Units · Derivative | 2,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000259 · edgar.xml · derivative · entry 2 VITTECOQ GERARD R · CIK 0001171778 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,000 Underlying: Common · 2,000 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · kind: Restricted stock awarded pursuant to Caterpillar Inc. 2006 Long-Term Incentive Plan. F4 · derivative.exercise_date: The restriction on the stock will be lifted 1/3 after 3 yrs.; 1/3 after 4 yrs. and 1/3 after 5 yrs. F4 · derivative.expiration_date: The restriction on the stock will be lifted 1/3 after 3 yrs.; 1/3 after 4 yrs. and 1/3 after 5 yrs. Read SEC document |
| April 02, 2007 Filed Apr 3, 2007 17:39 UTC |
OBERHELMAN DOUGLAS RGroup President
|
Tax withholdingCommon | 590 | $66.59 | $39,285.15 |
DisclosureSEC source: 0000018230-07-000261 · edgar.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,988 F4 · kind: Amount reflects shares sold to satisfy tax withholding requirements upon the vesting of previously restricted stock. F1 · balance_after: This amount includes 22,659 shares in 401K and 511 shares in dividend reinvestment. F5 · balance_after: The SEIP shares previously reported under Table I are now reported under Table II as derivative securities. Read SEC document |
| April 02, 2007 Filed Apr 3, 2007 17:46 UTC |
BUDA JAMES BVP, General Counsel, Secy.
|
Tax withholdingCommon | 197 | $66.59 | $13,117.25 |
DisclosureSEC source: 0000018230-07-000263 · edgar.xml · nonDerivative · entry 1 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,008 F4 · kind: Amount reflects shares sold to satisfy tax withholding requirements upon the vesting of previously restricted stock. F1 · balance_after: This amount includes 12,001 shares in 401K and 1795 shares in dividend reinvestment. F5 · balance_after: The SEIP shares previously reported under Table I are now reported under Table II as derivative securities. Read SEC document |
| April 02, 2007 Filed Apr 3, 2007 17:55 UTC |
OWENS JAMES WDirector · Chairman of the Board/CEO
|
GrantCommon | 5,000 | $66.59 | $332,925.00 |
DisclosureSEC source: 0000018230-07-000265 · 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: 156,775 F2 · kind: Restricted stock awarded pursuant to Caterpillar Inc. 2006 Long-Term Incentive Plan. F1 · balance_after: This amount includes 29,371 shares in 401K and 1 share in dividend reinvestment. F5 · balance_after: The SEIP shares previously reported under Table I are now reported under Table II as derivative securities. Read SEC document |
| March 30, 2007 Filed Apr 2, 2007 13:10 UTC |
POWELL CHARLES DDirector
|
GrantCommon | 20 | $67.17 | $1,343.40 |
DisclosureSEC source: 0000018230-07-000251 · edgar.xml · nonDerivative · entry 1 POWELL CHARLES D · CIK 0001172570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,765 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 |
| March 30, 2007 Filed Apr 2, 2007 13:11 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 111 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000252 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 111 Underlying: Common · 111 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 March 2007 at a price of $67.17 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 March 2007 at a price of $67.17 per share. Read SEC document |
| March 30, 2007 Filed Apr 2, 2007 13:11 UTC |
GOODE DAVID RDirector
|
GrantPhantom Stock Units · Derivative | 124 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000253 · edgar.xml · derivative · entry 2 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 124 Underlying: Common · 124 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in March 2007 at a price of $67.17 per share. F3 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in March 2007 at a price of $67.17 per share. Read SEC document |
| March 30, 2007 Filed Apr 2, 2007 13:12 UTC |
MAGOWAN PETER ADirector
|
GrantPhantom Stock Units · Derivative | 111 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000254 · edgar.xml · derivative · entry 3 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 111 Underlying: Common · 111 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 March 2007 at a price of $67.17 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 March 2007 at a price of $67.17 per share. Read SEC document |
| March 30, 2007 Filed Apr 2, 2007 13:13 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 111 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000255 · edgar.xml · derivative · entry 2 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 111 Underlying: Common · 111 shares Expires not disclosed F1 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in March 2007 at a price of $67.17 per share. F2 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in March 2007 at a price of $67.17 per share. Read SEC document |
| March 30, 2007 Filed Apr 2, 2007 16:31 UTC |
SHAHEEN GERALD LGroup President
|
GrantPhantom Stock Units · Derivative | 302 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000257 · edgar.xml · derivative · entry 2 SHAHEEN GERALD L · CIK 0001159203 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,427 Underlying: Common · 54,427 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. F4 · derivative.underlying_shares: The SEIP shares previously reported under Table I are now reported under Table II as derivative securities. F4 · balance_after: The SEIP shares previously reported under Table I are now reported under Table II as derivative securities. Read SEC document |
| March 30, 2007 Filed Apr 3, 2007 17:39 UTC |
OBERHELMAN DOUGLAS RGroup President
|
GrantPhantom Stock Units · Derivative | 443 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000261 · edgar.xml · derivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,619 Underlying: Common · 30,619 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. F5 · derivative.underlying_shares: The SEIP shares previously reported under Table I are now reported under Table II as derivative securities. F5 · balance_after: The SEIP shares previously reported under Table I are now reported under Table II as derivative securities. Read SEC document |
| March 27, 2007 Filed Mar 28, 2007 20:52 UTC |
DILLON JOHN TDirector
|
Exercise / conversionEmployee Stock Option · Derivative | 8,000 | $0.00 Strike: $19.59 | $0.00 |
DisclosureSEC source: 0000018230-07-000245 · edgar.xml · derivative · entry 3 DILLON JOHN T · CIK 0001171804 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 8,000 shares Expires 2007-04-09 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 |
| March 27, 2007 Filed Mar 28, 2007 20:52 UTC |
DILLON JOHN TDirector
|
Tax withholdingCommon | 2,353 | $66.59 | $156,686.27 |
DisclosureSEC source: 0000018230-07-000245 · edgar.xml · nonDerivative · entry 2 DILLON JOHN T · CIK 0001171804 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,960 F1 · balance_after: This amount includes 313 dividend reinvestment shares. Read SEC document |
| March 27, 2007 Filed Mar 28, 2007 20:52 UTC |
DILLON JOHN TDirector
|
Exercise / conversionCommon | 8,000 | $19.59 | $156,750.40 |
DisclosureSEC source: 0000018230-07-000245 · edgar.xml · nonDerivative · entry 1 DILLON JOHN T · CIK 0001171804 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,313 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 |
| March 21, 2007 Filed Mar 21, 2007 16:09 UTC |
WUNNING STEVEN HGroup President
|
GiftCommon | 450 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000238 · edgar.xml · nonDerivative · entry 2 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,387 F1 · balance_after: This amount includes 21,954 shares in 401K, and 5185 shares in SEIP. Read SEC document |
| March 21, 2007 Filed Jul 30, 2007 21:07 UTC |
WUNNING STEVEN HGroup President
|
GiftCommon | 150 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000391 · edgar.xml · nonDerivative · entry 3 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Indirect · Owned by Son Disclosed balance after: 475 F2 · ownership.nature: Reporting person disclaims beneficial ownership. Read SEC document |
| March 06, 2007 Filed Mar 21, 2007 16:09 UTC |
WUNNING STEVEN HGroup President
|
GiftCommon | 319 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000238 · edgar.xml · nonDerivative · entry 1 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,837 Read SEC document |
| March 02, 2007 Filed Mar 5, 2007 14:53 UTC |
BLOUNT W FRANKDirector
|
GrantStock Appreciation Right · Derivative | 5,833 | $0.00 Strike: $63.04 | $0.00 |
DisclosureSEC source: 0000018230-07-000081 · edgar.xml · derivative · entry 2 BLOUNT W FRANK · CIK 0001057580 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,833 Underlying: Common · 5,833 shares Expires 2017-03-02 F2 · derivative.exercise_date: The stock apreciation rights vest on March 2, 2010. Read SEC document |
| March 02, 2007 Filed Mar 5, 2007 14:54 UTC |
BRAZIL JOHN RDirector
|
GrantStock Appreciation Right · Derivative | 5,833 | $0.00 Strike: $63.04 | $0.00 |
DisclosureSEC source: 0000018230-07-000082 · edgar.xml · derivative · entry 2 BRAZIL JOHN R · CIK 0001171802 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,833 Underlying: Common · 5,833 shares Expires 2017-03-02 F1 · derivative.exercise_date: The stock apreciation rights vest on March 2, 2010. Read SEC document |
| March 02, 2007 Filed Mar 5, 2007 16:40 UTC |
DICKINSON DANIEL MDirector
|
GrantStock Appreciation Right · Derivative | 5,833 | $0.00 Strike: $63.04 | $0.00 |
DisclosureSEC source: 0000018230-07-000083 · edgar.xml · derivative · entry 2 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,833 Underlying: Common · 5,833 shares Expires 2017-03-02 F1 · derivative.exercise_date: The stock apreciation rights vest on March 2, 2010. Read SEC document |
| March 02, 2007 Filed Mar 5, 2007 16:41 UTC |
DILLON JOHN TDirector
|
GrantStock Appreciation Right · Derivative | 5,833 | $0.00 Strike: $63.04 | $0.00 |
DisclosureSEC source: 0000018230-07-000084 · edgar.xml · derivative · entry 2 DILLON JOHN T · CIK 0001171804 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,833 Underlying: Common · 5,833 shares Expires 2017-03-02 F2 · derivative.exercise_date: The stock apreciation rights vest on March 2, 2010. Read SEC document |
| March 02, 2007 Filed Mar 5, 2007 16:42 UTC |
FIFE EUGENE VDirector
|
GrantStock Appreciation Right · Derivative | 5,833 | $0.00 Strike: $63.04 | $0.00 |
DisclosureSEC source: 0000018230-07-000085 · edgar.xml · derivative · entry 3 FIFE EUGENE V · CIK 0001029606 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,833 Underlying: Common · 5,833 shares Expires 2017-03-02 F2 · derivative.exercise_date: The stock apreciation rights vest on March 2, 2010. Read SEC document |
| March 02, 2007 Filed Mar 5, 2007 16:42 UTC |
FOSLER GAIL DDirector
|
GrantStock Appreciation Right · Derivative | 5,833 | $0.00 Strike: $63.04 | $0.00 |
DisclosureSEC source: 0000018230-07-000086 · edgar.xml · derivative · entry 2 FOSLER GAIL D · CIK 0001161659 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,833 Underlying: Common · 5,833 shares Expires 2017-03-02 F1 · derivative.exercise_date: The stock apreciation rights vest on March 2, 2010. Read SEC document |
| March 02, 2007 Filed Mar 5, 2007 16:43 UTC |
GALLARDO JUANDirector
|
GrantStock Appreciation Rights · Derivative | 5,833 | $0.00 Strike: $63.04 | $0.00 |
DisclosureSEC source: 0000018230-07-000087 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,833 Underlying: Common · 5,833 shares Expires 2017-03-02 F1 · derivative.exercise_date: The stock apreciation rights vest on March 2, 2010. Read SEC document |
| March 02, 2007 Filed Mar 5, 2007 16:44 UTC |
GOODE DAVID RDirector
|
GrantStock Appreciation Rights · Derivative | 5,833 | $0.00 Strike: $63.04 | $0.00 |
DisclosureSEC source: 0000018230-07-000088 · edgar.xml · derivative · entry 2 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,833 Underlying: Common · 5,833 shares Expires 2017-03-02 F2 · derivative.exercise_date: The stock apreciation rights vest on March 2, 2010. Read SEC document |
| March 02, 2007 Filed Mar 5, 2007 16:44 UTC |
MAGOWAN PETER ADirector
|
GrantStock Appreciation Rights · Derivative | 5,833 | $0.00 Strike: $63.04 | $0.00 |
DisclosureSEC source: 0000018230-07-000089 · edgar.xml · derivative · entry 3 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,833 Underlying: Common · 5,833 shares Expires 2017-03-02 F3 · derivative.exercise_date: The stock apreciation rights vest on March 2, 2010. Read SEC document |
| March 02, 2007 Filed Mar 5, 2007 16:45 UTC |
OSBORN WILLIAM ADirector
|
GrantStock Appreciation Right · Derivative | 5,833 | $0.00 Strike: $63.04 | $0.00 |
DisclosureSEC source: 0000018230-07-000090 · edgar.xml · derivative · entry 2 OSBORN WILLIAM A · CIK 0001171797 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,833 Underlying: Common · 5,833 shares Expires 2017-03-02 F2 · derivative.exercise_date: The stock apreciation rights vest on March 2, 2010. Read SEC document |
| March 02, 2007 Filed Mar 5, 2007 16:46 UTC |
POWELL CHARLES DDirector
|
GrantStock Appreciation Rights · Derivative | 5,833 | $0.00 Strike: $63.04 | $0.00 |
DisclosureSEC source: 0000018230-07-000091 · edgar.xml · derivative · entry 2 POWELL CHARLES D · CIK 0001172570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,833 Underlying: Common · 5,833 shares Expires 2017-03-02 F2 · derivative.exercise_date: The stock apreciation rights vest on March 2, 2010. Read SEC document |
| March 02, 2007 Filed Mar 5, 2007 16:46 UTC |
Smith Joshua IDirector
|
GrantStock Appreciation Rights · Derivative | 5,833 | $0.00 Strike: $63.04 | $0.00 |
DisclosureSEC source: 0000018230-07-000092 · edgar.xml · derivative · entry 2 SMITH JOSHUA T · CIK 0001173565 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,833 Underlying: Common · 5,833 shares Expires 2017-03-02 F1 · derivative.exercise_date: The stock apreciation rights vest on March 2, 2010. 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.