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 |
|---|---|---|---|---|---|---|
| March 02, 2007 Filed Mar 5, 2007 16:47 UTC |
RUST EDWARD B JRDirector
|
GrantStock Appreciation Rights · Derivative | 5,833 | $0.00 Strike: $63.04 | $0.00 |
DisclosureSEC source: 0000018230-07-000093 · edgar.xml · derivative · entry 2 RUST EDWARD B JR · CIK 0001196159 · 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 18:39 UTC |
OWENS JAMES WDirector · Chairman of the Board/CEO
|
GrantRestricted Stock Units · Derivative | 14,238 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000100 · edgar.xml · derivative · entry 4 OWENS JAMES W · CIK 0001171767 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,238 Underlying: Common · 14,238 shares Expires not disclosed F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Caterpillar common stock. F2 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 2, 2010. F2 · derivative.expiration_date: The restricted stock units and stock appreciation rights vest on March 2, 2010. Read SEC document |
| March 02, 2007 Filed Mar 5, 2007 18:39 UTC |
OWENS JAMES WDirector · Chairman of the Board/CEO
|
GrantStock Appreciation Right · Derivative | 344,198 | $0.00 Strike: $63.04 | $0.00 |
DisclosureSEC source: 0000018230-07-000100 · edgar.xml · derivative · entry 3 OWENS JAMES W · CIK 0001171767 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 344,198 Underlying: Common · 344,198 shares Expires 2017-03-02 F2 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 2, 2010. Read SEC document |
| March 02, 2007 Filed Mar 5, 2007 18:40 UTC |
WUNNING STEVEN HGroup President
|
GrantRestricted Stock Units · Derivative | 4,832 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000101 · edgar.xml · derivative · entry 5 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,832 Underlying: Common · 4,832 shares Expires not disclosed F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Caterpillar common stock. F3 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 2, 2010. F3 · derivative.expiration_date: The restricted stock units and stock appreciation rights vest on March 2, 2010. Read SEC document |
| March 02, 2007 Filed Mar 5, 2007 18:40 UTC |
WUNNING STEVEN HGroup President
|
GrantStock Appreciation Right · Derivative | 124,694 | $0.00 Strike: $63.04 | $0.00 |
DisclosureSEC source: 0000018230-07-000101 · edgar.xml · derivative · entry 4 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 124,694 Underlying: Common · 124,694 shares Expires 2017-03-02 F3 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 2, 2010. Read SEC document |
| March 02, 2007 Filed Mar 5, 2007 18:41 UTC |
LEVENICK STUART LGroup President
|
GrantRestricted Stock Units · Derivative | 4,832 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000103 · edgar.xml · derivative · entry 3 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,832 Underlying: Common · 4,832 shares Expires not disclosed F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Caterpillar common stock. F2 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 2, 2010. F2 · derivative.expiration_date: The restricted stock units and stock appreciation rights vest on March 2, 2010. Read SEC document |
| March 02, 2007 Filed Mar 5, 2007 18:41 UTC |
LEVENICK STUART LGroup President
|
GrantStock Appreciation Right · Derivative | 124,396 | $0.00 Strike: $63.04 | $0.00 |
DisclosureSEC source: 0000018230-07-000103 · edgar.xml · derivative · entry 2 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 124,396 Underlying: Common · 124,396 shares Expires 2017-03-02 F2 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 2, 2010. Read SEC document |
| March 02, 2007 Filed Mar 5, 2007 18:42 UTC |
Halverson Bradley MController
|
GrantRestricted Stock Units · Derivative | 828 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000104 · edgar.xml · derivative · entry 4 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 828 Underlying: Common · 828 shares Expires not disclosed F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Caterpillar common stock. F3 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 2, 2010. F3 · derivative.expiration_date: The restricted stock units and stock appreciation rights vest on March 2, 2010. Read SEC document |
| March 02, 2007 Filed Mar 5, 2007 18:42 UTC |
Halverson Bradley MController
|
GrantStock Appreciation Right · Derivative | 9,935 | $0.00 Strike: $63.04 | $0.00 |
DisclosureSEC source: 0000018230-07-000104 · edgar.xml · derivative · entry 3 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,935 Underlying: Common · 9,935 shares Expires 2017-03-02 F3 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 2, 2010. Read SEC document |
| March 02, 2007 Filed Mar 5, 2007 18:42 UTC |
BURRITT DAVID BV.P./Chief Financial Officer
|
GrantRestricted Stock Units · Derivative | 2,594 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000105 · edgar.xml · derivative · entry 4 BURRITT DAVID B · CIK 0001204586 · V.P./Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,594 Underlying: Common · 2,594 shares Expires not disclosed F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Caterpillar common stock. F3 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 2, 2010. F3 · derivative.expiration_date: The restricted stock units and stock appreciation rights vest on March 2, 2010. Read SEC document |
| March 02, 2007 Filed Mar 5, 2007 18:42 UTC |
BURRITT DAVID BV.P./Chief Financial Officer
|
GrantStock Appreciation Right · Derivative | 47,342 | $0.00 Strike: $63.04 | $0.00 |
DisclosureSEC source: 0000018230-07-000105 · 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: 47,342 Underlying: Common · 47,342 shares Expires 2017-03-02 F3 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 2, 2010. Read SEC document |
| March 02, 2007 Filed Mar 5, 2007 18:43 UTC |
VITTECOQ GERARD RGroup President
|
GrantRestricted Stock Units · Derivative | 4,832 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000106 · edgar.xml · derivative · entry 3 VITTECOQ GERARD R · CIK 0001171778 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,832 Underlying: Common · 4,832 shares Expires not disclosed F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Caterpillar common stock. F2 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 2, 2010. F2 · derivative.expiration_date: The restricted stock units and stock appreciation rights vest on March 2, 2010. Read SEC document |
| March 02, 2007 Filed Mar 5, 2007 18:43 UTC |
VITTECOQ GERARD RGroup President
|
GrantStock Appreciation Right · Derivative | 109,516 | $0.00 Strike: $63.04 | $0.00 |
DisclosureSEC source: 0000018230-07-000106 · edgar.xml · derivative · entry 2 VITTECOQ GERARD R · CIK 0001171778 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 109,516 Underlying: Common · 109,516 shares Expires 2017-03-02 F2 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 2, 2010. Read SEC document |
| March 02, 2007 Filed Mar 5, 2007 19:12 UTC |
OBERHELMAN DOUGLAS RGroup President
|
GrantPhantom Stock Units · Derivative | 1,227 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000110 · edgar.xml · derivative · entry 4 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,227 Underlying: Common · 1,227 shares Expires not disclosed F4 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F5 · 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 other termination of service. F5 · 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 other termination of service. Read SEC document |
| March 02, 2007 Filed Mar 5, 2007 19:12 UTC |
OBERHELMAN DOUGLAS RGroup President
|
GrantRestricted Stock Units · Derivative | 4,832 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000110 · edgar.xml · derivative · entry 3 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,832 Underlying: Common · 4,832 shares Expires not disclosed F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Caterpillar common stock. F2 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 2, 2010. F2 · derivative.expiration_date: The restricted stock units and stock appreciation rights vest on March 2, 2010. Read SEC document |
| March 02, 2007 Filed Mar 5, 2007 19:12 UTC |
OBERHELMAN DOUGLAS RGroup President
|
GrantStock Appreciation Rights · Derivative | 125,884 | $0.00 Strike: $63.04 | $0.00 |
DisclosureSEC source: 0000018230-07-000110 · edgar.xml · derivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 125,884 Underlying: Common · 125,884 shares Expires 2017-03-02 F2 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 2, 2010. Read SEC document |
| March 02, 2007 Filed Mar 5, 2007 19:14 UTC |
BUDA JAMES BVP, General Counsel, Secy.
|
GrantPhantom Stock Units · Derivative | 962 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000111 · edgar.xml · derivative · entry 4 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 962 Underlying: Common · 962 shares Expires not disclosed F4 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F5 · 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 other termination of service. F5 · 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 other termination of service. Read SEC document |
| March 02, 2007 Filed Mar 5, 2007 19:14 UTC |
BUDA JAMES BVP, General Counsel, Secy.
|
GrantRestricted Stock Units · Derivative | 2,594 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000111 · edgar.xml · derivative · entry 3 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,594 Underlying: Common · 2,594 shares Expires not disclosed F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Caterpillar common stock. F2 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 2, 2010. F2 · derivative.expiration_date: The restricted stock units and stock appreciation rights vest on March 2, 2010. Read SEC document |
| March 02, 2007 Filed Mar 5, 2007 19:14 UTC |
BUDA JAMES BVP, General Counsel, Secy.
|
GrantStock Appreciation Right · Derivative | 47,342 | $0.00 Strike: $63.04 | $0.00 |
DisclosureSEC source: 0000018230-07-000111 · edgar.xml · derivative · entry 2 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,342 Underlying: Common · 47,342 shares Expires 2017-03-02 F2 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 2, 2010. Read SEC document |
| March 02, 2007 Filed Mar 5, 2007 20:16 UTC |
SHAHEEN GERALD LGroup President
|
GrantPhantom Stock Units · Derivative | 5,835 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000114 · edgar.xml · derivative · entry 4 SHAHEEN GERALD L · CIK 0001159203 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,835 Underlying: Common · 5,835 shares Expires not disclosed F4 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F5 · 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 other termination of service. F5 · 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 other termination of service. Read SEC document |
| March 02, 2007 Filed Mar 5, 2007 20:16 UTC |
SHAHEEN GERALD LGroup President
|
GrantRestricted Stock Units · Derivative | 4,832 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000114 · edgar.xml · derivative · entry 3 SHAHEEN GERALD L · CIK 0001159203 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,832 Underlying: Common · 4,832 shares Expires not disclosed F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Caterpillar common stock. F2 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 2, 2010. F2 · derivative.expiration_date: The restricted stock units and stock appreciation rights vest on March 2, 2010. Read SEC document |
| March 02, 2007 Filed Mar 5, 2007 20:16 UTC |
SHAHEEN GERALD LGroup President
|
GrantStock Appreciation Right · Derivative | 109,516 | $0.00 Strike: $63.04 | $0.00 |
DisclosureSEC source: 0000018230-07-000114 · edgar.xml · derivative · entry 2 SHAHEEN GERALD L · CIK 0001159203 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 109,516 Underlying: Common · 109,516 shares Expires 2017-03-02 F2 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 2, 2010. Read SEC document |
| February 28, 2007 Filed Mar 2, 2007 14:12 UTC |
POWELL CHARLES DDirector
|
GrantCommon | 22 | $64.04 | $1,408.77 |
DisclosureSEC source: 0000018230-07-000063 · edgar.xml · nonDerivative · entry 1 POWELL CHARLES D · CIK 0001172570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,745 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 |
| February 28, 2007 Filed Mar 2, 2007 14:13 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 141 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000064 · edgar.xml · derivative · entry 2 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 141 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 February 2007 at a price between $64.035 and $67.505 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 February 2007 at a price between $64.035 and $67.505 per share. Read SEC document |
| February 28, 2007 Filed Mar 2, 2007 14:20 UTC |
MAGOWAN PETER ADirector
|
GrantPhantom Stock Units · Derivative | 167 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000065 · edgar.xml · derivative · entry 3 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 167 shares Expires not disclosed F3 · 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 February 2007 at a price between $64.035 and $67.505 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 February 2007 at a price between $64.035 and $67.505 per share. Read SEC document |
| February 28, 2007 Filed Mar 2, 2007 14:20 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 123 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000066 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 123 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 February 2007 at a price between $64.035 and $67.505 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 February 2007 at a price between $64.035 and $67.505 per share. Read SEC document |
| February 28, 2007 Filed Mar 2, 2007 14:21 UTC |
GOODE DAVID RDirector
|
GrantPhantom Stock Units · Derivative | 276 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000067 · edgar.xml · derivative · entry 2 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 276 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 February 2007 at a price between $64.035 and $67.505 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 February 2007 at a price between $64.035 and $67.505 per share. Read SEC document |
| February 23, 2007 Filed Feb 26, 2007 19:58 UTC |
OBERHELMAN DOUGLAS RGroup President
|
GrantPhantom Stock Units · Derivative | 1,709 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000057 · edgar.xml · derivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 1,709 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 other termination of 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 other termination of service. Read SEC document |
| February 22, 2007 Filed Feb 26, 2007 18:30 UTC |
GOODE DAVID RDirector
|
Exercise / conversionEmployee Stock Option · Derivative | 8,000 | $0.00 Strike: $19.59 | $0.00 |
DisclosureSEC source: 0000018230-07-000055 · edgar.xml · derivative · entry 3 GOODE DAVID R · CIK 0001171794 · 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 |
| February 22, 2007 Filed Feb 26, 2007 18:30 UTC |
GOODE DAVID RDirector
|
Tax withholdingCommon | 2,309 | $67.88 | $156,734.92 |
DisclosureSEC source: 0000018230-07-000055 · edgar.xml · nonDerivative · entry 2 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,274 F1 · balance_after: Included in this amount are 1392 shares in dividend reinvestment. Read SEC document |
| February 22, 2007 Filed Feb 26, 2007 18:30 UTC |
GOODE DAVID RDirector
|
Exercise / conversionCommon | 8,000 | $19.59 | $156,750.40 |
DisclosureSEC source: 0000018230-07-000055 · edgar.xml · nonDerivative · entry 1 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,583 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 |
| January 31, 2007 Filed Feb 1, 2007 18:29 UTC |
POWELL CHARLES DDirector
|
GrantCommon | 22 | $63.66 | $1,400.52 |
DisclosureSEC source: 0000018230-07-000033 · edgar.xml · nonDerivative · entry 1 POWELL CHARLES D · CIK 0001172570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,723 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 |
| January 31, 2007 Filed Feb 1, 2007 18:30 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 117 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000034 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 117 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 January 2007 at a price of $63.66 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 January 2007 at a price of $63.66 per share. Read SEC document |
| January 31, 2007 Filed Feb 1, 2007 18:32 UTC |
GOODE DAVID RDirector
|
GrantPhantom Stock Units · Derivative | 130 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000035 · edgar.xml · derivative · entry 2 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 130 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 January 2007 at a price of $63.66 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 January 2007 at a price of $63.66 per share. Read SEC document |
| January 31, 2007 Filed Feb 1, 2007 18:32 UTC |
MAGOWAN PETER ADirector
|
GrantPhantom Stock Units · Derivative | 117 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000036 · edgar.xml · derivative · entry 3 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 117 shares Expires not disclosed F3 · 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 January 2007 at a price of $63.66 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 January 2007 at a price of $63.66 per share. Read SEC document |
| January 31, 2007 Filed Feb 1, 2007 18:33 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 117 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000037 · edgar.xml · derivative · entry 2 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 117 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 January 2007 at a price of $63.66 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 January 2007 at a price of $63.66 per share. Read SEC document |
| December 29, 2006 Filed Jan 4, 2007 14:07 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 122 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000009 · edgar.xml · derivative · entry 2 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 122 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 December 2006 at a price of $61.355 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 December 2006 at a price of $61.355 per share. Read SEC document |
| December 29, 2006 Filed Jan 4, 2007 14:08 UTC |
GOODE DAVID RDirector
|
GrantPhantom Stock Units · Derivative | 135 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000010 · edgar.xml · derivative · entry 2 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 135 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 December 2006 at a price of $61.355 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 December 2006 at a price of $61.355 per share. Read SEC document |
| December 29, 2006 Filed Jan 4, 2007 14:09 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 122 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000011 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 122 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 December 2006 at a price of $61.355 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 December 2006 at a price of $61.355 per share. Read SEC document |
| December 29, 2006 Filed Jan 4, 2007 15:54 UTC |
MAGOWAN PETER ADirector
|
GrantPhantom Stock Units · Derivative | 122 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000012 · edgar.xml · derivative · entry 3 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 122 shares Expires not disclosed F3 · 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 December 2006 at a price of $61.355 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 December 2006 at a price of $61.355 per share. Read SEC document |
| December 29, 2006 Filed Jan 4, 2007 15:55 UTC |
POWELL CHARLES DDirector
|
GrantCommon | 23 | $61.36 | $1,411.17 |
DisclosureSEC source: 0000018230-07-000013 · edgar.xml · nonDerivative · entry 1 POWELL CHARLES D · CIK 0001172570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,701 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 |
| December 21, 2006 Filed Dec 22, 2006 14:21 UTC |
OBERHELMAN DOUGLAS RGroup President
|
Exercise / conversionEmployee Stock Option · Derivative | 3,868 | $0.00 Strike: $25.83 | $0.00 |
DisclosureSEC source: 0000018230-06-000492 · edgar.xml · derivative · entry 3 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 3,868 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. 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 |
| December 21, 2006 Filed Dec 22, 2006 14:21 UTC |
OBERHELMAN DOUGLAS RGroup President
|
Tax withholdingCommon | 1,638 | $60.96 | $99,852.48 |
DisclosureSEC source: 0000018230-06-000492 · edgar.xml · nonDerivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,345 F1 · balance_after: This amount includes 22,542 shares in 401K, 9808 shares in SEIP and 1587 shares in dividend reinvestment. Read SEC document |
| December 21, 2006 Filed Dec 22, 2006 14:21 UTC |
OBERHELMAN DOUGLAS RGroup President
|
Exercise / conversionCommon | 3,868 | $25.83 | $99,903.09 |
DisclosureSEC source: 0000018230-06-000492 · edgar.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,983 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| December 05, 2006 Filed Dec 6, 2006 15:19 UTC |
OWENS JAMES WDirector · Chairman of the Board/CEO
|
GiftCommon | 1,284 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-06-000474 · 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: 156,219 F1 · balance_after: This amount includes 29,219 shares in 401K, 4,596 shares in SEIP and 1 share in dividend reinvestment. Read SEC document |
| December 04, 2006 Filed Dec 6, 2006 15:17 UTC |
OBERHELMAN DOUGLAS RGroup President
|
GiftCommon | 600 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-06-000473 · edgar.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,115 F1 · balance_after: This amount includes 22,542 shares in 401K, 9808 shares in SEIP and 1587 shares in dividend reinvestment. Read SEC document |
| November 30, 2006 Filed Dec 4, 2006 18:26 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 125 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-06-000466 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 125 shares Expires not disclosed F1 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in November 2006 at a price between $60.795 and $62.16 per share. F2 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in November 2006 at a price between $60.795 and $62.16 per share. Read SEC document |
| November 30, 2006 Filed Dec 4, 2006 18:26 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 145 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-06-000467 · edgar.xml · derivative · entry 2 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 145 shares Expires not disclosed F1 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in November 2006 at a price between $60.795 and $62.16 per share. F2 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in November 2006 at a price between $60.795 and $62.16 per share. Read SEC document |
| November 30, 2006 Filed Dec 4, 2006 18:27 UTC |
GOODE DAVID RDirector
|
GrantPhantom Stock Units · Derivative | 294 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-06-000468 · edgar.xml · derivative · entry 2 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 294 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in November 2006 at a price between $60.795 and $62.16 per share. F3 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in November 2006 at a price between $60.795 and $62.16 per share. Read SEC document |
| November 30, 2006 Filed Dec 4, 2006 18:28 UTC |
MAGOWAN PETER ADirector
|
GrantPhantom Stock Units · Derivative | 174 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-06-000469 · edgar.xml · derivative · entry 3 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 174 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 November 2006 at a price between $60.795 and $62.16 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 November 2006 at a price between $60.795 and $62.16 per share. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.