Reported relationships
Latest disclosed role at each company.
No relationships currently tracked through insider filings.
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
No balances currently tracked through insider filings.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
CATERPILLAR INC
Report date May 01, 2017 · Filed May 03, 2017
Section 16 reporting ended · disclosed 2017-05-03. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 43,290 |
Reported balance
After 2017-05-01 transaction · row 1
1 source rowRow 1 · 2017-05-01 · Tax withholding · Disposed 519 · Balance 43,290 F1: Represents shares withheld from the reporting person solely to satisfy tax obligations arising from the vesting of restricted stock units granted on 5/01/12, of which one-third vested on 05/01/2017. |
| Common StockSEC Table I · non-derivative | IndirectHeld by 401(k) Plan | 2,206 |
Reported balance
Holding disclosure · report date 2017-05-01 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 2,206 F2: The information in this report is based on a 401(k) Plan statement dated as of 03/31/2017. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares withheld from the reporting person solely to satisfy tax obligations arising from the vesting of restricted stock units granted on 5/01/12, of which one-third vested on 05/01/2017.
F2: The information in this report is based on a 401(k) Plan statement dated as of 03/31/2017.
Transaction history
JSON APIPurchases/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 | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| March 03, 2011 Filed Mar 4, 2011 21:07 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,016 | $103.22 | $104,866.44 |
DisclosureSEC source: 0000018230-11-000102 · edgar.xml · nonDerivative · entry 2 BUDA JAMES B · CIK 0001171771 · Sr. VP & Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,594 F5 · kind: Amount reflects shares surrendered to satisfy tax withholding requirements upon the vesting of restricted stock. F1 · balance_after: This amount includes 16,254 shares in 401K and 4324 shares in dividend reinvestment. Read SEC document |
| March 03, 2011 Filed Mar 4, 2011 21:07 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 2,450 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-11-000102 · edgar.xml · nonDerivative · entry 1 BUDA JAMES B · CIK 0001171771 · Sr. VP & Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,610 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 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar common stock. On March 3, 2011, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar common stock. Read SEC document |
| December 31, 2010 Filed Jan 3, 2011 18:38 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 100 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000006 · edgar.xml · derivative · entry 2 BUDA JAMES B · CIK 0001171771 · VP & Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,765 Underlying: Common · 100 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| November 30, 2010 Filed Dec 1, 2010 16:11 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 63 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000542 · edgar.xml · derivative · entry 2 BUDA JAMES B · CIK 0001171771 · VP & Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,665 Underlying: Common · 63 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| October 29, 2010 Filed Nov 1, 2010 17:43 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 114 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000500 · edgar.xml · derivative · entry 2 BUDA JAMES B · CIK 0001171771 · VP & Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,602 Underlying: Common · 114 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 |
| September 30, 2010 Filed Oct 1, 2010 16:30 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 68 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000475 · edgar.xml · derivative · entry 2 BUDA JAMES B · CIK 0001171771 · VP, Chief Legal Officer, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,488 Underlying: Common · 68 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 |
| August 31, 2010 Filed Sep 1, 2010 17:53 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 82 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000427 · edgar.xml · derivative · entry 2 BUDA JAMES B · CIK 0001171771 · VP, Chief Legal Officer, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,420 Underlying: Common · 82 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 30, 2010 Filed Aug 2, 2010 17:55 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 188 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000368 · edgar.xml · derivative · entry 2 BUDA JAMES B · CIK 0001171771 · VP, Chief Legal Officer, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,338 Underlying: Common · 188 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| June 30, 2010 Filed Jul 2, 2010 15:02 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 130 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000329 · edgar.xml · derivative · entry 2 BUDA JAMES B · CIK 0001171771 · VP, Chief Legal Officer, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,150 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 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 |
| March 02, 2010 Filed Mar 4, 2010 18:58 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionRestricted Stock Units · Derivative | 2,594 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-10-000158 · edgar.xml · derivative · entry 4 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 2,594 shares Expires 2010-03-02 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 · derivative.exercise_price: Each restricted stock unit represents the equivalent of one share of Caterpillar common stock. On March 2, 2010, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar common stock. F4 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar common stock. On March 2, 2010, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar common stock. Read SEC document |
| March 02, 2010 Filed Mar 4, 2010 18:58 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 764 | $58.42 | $44,632.88 |
DisclosureSEC source: 0000018230-10-000158 · edgar.xml · nonDerivative · entry 2 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,635 F5 · kind: Amount reflects shares surrendered to satisfy tax withholding requirements upon the vesting of restricted stock units. F1 · balance_after: This amount includes 15,349 shares in 401K and 3704 shares in dividend reinvestment. Read SEC document |
| March 02, 2010 Filed Mar 4, 2010 18:58 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 2,594 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-10-000158 · edgar.xml · nonDerivative · entry 1 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,399 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 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar common stock. On March 2, 2010, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar common stock. Read SEC document |
| March 01, 2010 Filed Mar 3, 2010 21:13 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantRestricted Stock Units · Derivative | 3,261 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000133 · edgar.xml · derivative · entry 4 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,261 Underlying: Common · 3,261 shares Expires not disclosed F5 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Caterpillar common stock. F4 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 1, 2013. F4 · derivative.expiration_date: The restricted stock units and stock appreciation rights vest on March 1, 2013. Read SEC document |
| March 01, 2010 Filed Mar 3, 2010 21:13 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantStock Appreciation Rights · Derivative | 77,927 | $0.00 Strike: $57.85 | $0.00 |
DisclosureSEC source: 0000018230-10-000133 · edgar.xml · derivative · entry 3 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,927 Underlying: Common · 77,927 shares Expires 2020-03-01 F4 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 1, 2013. Read SEC document |
| December 31, 2009 Filed Jan 4, 2010 21:52 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 178 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000036 · edgar.xml · derivative · entry 2 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,020 Underlying: Common · 178 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| November 30, 2009 Filed Dec 1, 2009 17:35 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 92 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000549 · edgar.xml · derivative · entry 2 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,842 Underlying: Common · 92 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| October 30, 2009 Filed Nov 2, 2009 20:00 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 159 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000501 · edgar.xml · derivative · entry 2 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,750 Underlying: Common · 159 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 |
| September 30, 2009 Filed Oct 1, 2009 19:40 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 105 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000416 · edgar.xml · derivative · entry 2 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,591 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 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 |
| August 31, 2009 Filed Sep 1, 2009 18:48 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 119 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000369 · edgar.xml · derivative · entry 2 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,486 Underlying: Common · 119 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, 2009 Filed Aug 3, 2009 19:52 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 122 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000311 · edgar.xml · derivative · entry 2 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,367 Underlying: Common · 122 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| June 30, 2009 Filed Jul 2, 2009 14:14 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 186 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000261 · edgar.xml · derivative · entry 2 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,245 Underlying: Common · 186 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 01, 2009 Filed Apr 14, 2009 19:33 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 196 | $28.50 | $5,586.00 |
DisclosureSEC source: 0000018230-09-000150 · edgar.xml · nonDerivative · entry 1 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,192 F4 · kind: Amount reflects shares sold to satisfy tax withholding requirements upon the vesting of previously restricted stock. F1 · balance_after: This amount includes 14,671 shares in 401K and 2769 shares in dividend reinvestment. Read SEC document |
| March 06, 2009 Filed Mar 10, 2009 15:53 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 2,452 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000107 · edgar.xml · derivative · entry 2 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,825 Underlying: Common · 2,452 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 |
| March 02, 2009 Filed Mar 4, 2009 18:18 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantRestricted Stock Units · Derivative | 4,449 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000096 · edgar.xml · derivative · entry 4 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,449 Underlying: Common · 4,449 shares Expires not disclosed F5 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Caterpillar common stock. F4 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 2, 2012. F4 · derivative.expiration_date: The restricted stock units and stock appreciation rights vest on March 2, 2012. Read SEC document |
| March 02, 2009 Filed Mar 4, 2009 18:18 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantStock Appreciation Rights · Derivative | 71,176 | $0.00 Strike: $22.17 | $0.00 |
DisclosureSEC source: 0000018230-09-000096 · edgar.xml · derivative · entry 3 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,176 Underlying: Common · 71,176 shares Expires 2019-03-02 F4 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 2, 2012. Read SEC document |
| December 31, 2008 Filed Jan 5, 2009 17:25 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 310 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000017 · edgar.xml · derivative · entry 2 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,373 Underlying: Common · 310 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| November 28, 2008 Filed Dec 1, 2008 16:18 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 131 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000419 · edgar.xml · derivative · entry 2 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,063 Underlying: Common · 131 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| October 31, 2008 Filed Nov 3, 2008 17:17 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 141 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000394 · edgar.xml · derivative · entry 2 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,932 Underlying: Common · 141 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| September 30, 2008 Filed Oct 1, 2008 16:01 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 83 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000348 · edgar.xml · derivative · entry 2 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,699 Underlying: Common · 83 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 |
| September 19, 2008 Filed Sep 19, 2008 21:41 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 54,000 | $0.00 Strike: $25.36 | $0.00 |
DisclosureSEC source: 0000018230-08-000324 · edgar.xml · derivative · entry 6 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 54,000 shares Expires 2012-06-11 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 |
| September 19, 2008 Filed Sep 19, 2008 21:41 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 3,750 | $0.00 Strike: $26.77 | $0.00 |
DisclosureSEC source: 0000018230-08-000324 · edgar.xml · derivative · entry 5 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 3,750 shares Expires 2011-06-12 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. 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 |
| September 19, 2008 Filed Sep 19, 2008 21:41 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 57,750 | $74.50 | $4,302,375.00 |
DisclosureSEC source: 0000018230-08-000324 · edgar.xml · nonDerivative · entry 3 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,572 F1 · balance_after: This amount includes 13,250 shares in 401K and 2374 shares in dividend reinvestment. Read SEC document |
| September 19, 2008 Filed Sep 19, 2008 21:41 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 54,000 | $25.36 | $1,369,305.00 |
DisclosureSEC source: 0000018230-08-000324 · edgar.xml · nonDerivative · entry 2 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,322 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 |
| September 19, 2008 Filed Sep 19, 2008 21:41 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 3,750 | $26.77 | $100,368.75 |
DisclosureSEC source: 0000018230-08-000324 · edgar.xml · nonDerivative · entry 1 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,322 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 |
| August 29, 2008 Filed Sep 2, 2008 21:49 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 76 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000320 · edgar.xml · derivative · entry 2 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,616 Underlying: Common · 76 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, 2008 Filed Aug 1, 2008 18:07 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 77 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000293 · edgar.xml · derivative · entry 2 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,540 Underlying: Common · 77 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| June 30, 2008 Filed Jul 1, 2008 16:31 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 116 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000256 · edgar.xml · derivative · entry 2 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,463 Underlying: Common · 116 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| May 30, 2008 Filed Jun 2, 2008 18:52 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 65 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000212 · edgar.xml · derivative · entry 2 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,347 Underlying: Common · 65 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| April 30, 2008 Filed May 1, 2008 22:39 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 5 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000181 · edgar.xml · derivative · entry 2 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,282 Underlying: Common · 5 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| April 01, 2008 Filed Apr 2, 2008 19:25 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 264 | $79.40 | $20,960.28 |
DisclosureSEC source: 0000018230-08-000136 · edgar.xml · nonDerivative · entry 1 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,270 F4 · kind: Amount reflects shares sold to satisfy tax withholding requirements upon the vesting of previously restricted stock. F1 · balance_after: This amount includes 13,147 shares in 401K and 2175 shares in dividend reinvestment. Read SEC document |
| March 07, 2008 Filed Mar 10, 2008 23:01 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 998 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000107 · edgar.xml · derivative · entry 2 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,240 Underlying: Common · 998 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 |
| March 03, 2008 Filed Mar 4, 2008 20:45 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantRestricted Stock Units · Derivative | 2,450 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000101 · edgar.xml · derivative · entry 4 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,450 Underlying: Common · 2,450 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 3, 2011. F2 · derivative.expiration_date: The restricted stock units and stock appreciation rights vest on March 3, 2011. Read SEC document |
| March 03, 2008 Filed Mar 4, 2008 20:45 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantStock Appreciation Rights · Derivative | 48,144 | $0.00 Strike: $73.20 | $0.00 |
DisclosureSEC source: 0000018230-08-000101 · edgar.xml · derivative · entry 3 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,144 Underlying: Common · 48,144 shares Expires 2018-03-03 F2 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 3, 2011. Read SEC document |
| December 31, 2007 Filed Jan 2, 2008 17:31 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 132 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000014 · edgar.xml · derivative · entry 2 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,242 Underlying: Common · 132 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| November 30, 2007 Filed Dec 3, 2007 17:31 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 75 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000522 · edgar.xml · derivative · entry 2 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,110 Underlying: Common · 75 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| October 31, 2007 Filed Nov 1, 2007 16:33 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 72 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000504 · edgar.xml · derivative · entry 2 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,035 Underlying: Common · 72 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 |
| September 28, 2007 Filed Oct 2, 2007 19:27 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 104 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000468 · edgar.xml · derivative · entry 2 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,963 Underlying: Common · 8,963 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 |
| August 31, 2007 Filed Sep 4, 2007 16:32 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 71 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000438 · edgar.xml · derivative · entry 2 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,859 Underlying: Common · 8,859 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 | CATERPILLAR INC CAT · Entity 2808 | 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 |
| June 29, 2007 Filed Jul 2, 2007 21:17 UTC | CATERPILLAR INC CAT · Entity 2808 | 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.