person · Reporting owner

LAVIN RICHARD P

Disclosed activity across 4 companies

Tapewire entity: 12774
SEC CIK: 0001171774

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
CATERPILLAR INCCAT · Entity 2808	Group President	December 17, 2012	December 18, 2012
ITT INC.ITT · Entity 8806	Director	May 10, 2023	May 12, 2023

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.

CATERPILLAR INC

Report date December 17, 2012 · Filed December 18, 2012

Security / award	Ownership account	Disclosed shares / units	Disclosure context
CommonSEC Table I · non-derivative	Direct	82,609	Reported balance After 2012-12-17 transaction · row 1 Account or security details depend on footnotes; rows are not merged. 1 source row Row 1 · 2012-12-17 · Sale · Disposed 3,784 · Balance 82,609 F1: Pursuant to a previously enacted 10b5-1 plan. F2: This amount includes 284 shares in 401K and 386 shares in dividend reinvestment.
CommonSEC Table I · non-derivative	IndirectOwned by Daughter	405	Reported balance Holding disclosure · report date 2012-12-17 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 405

Filing footnotes · ownership attribution and instrument terms

F1: Pursuant to a previously enacted 10b5-1 plan.

F2: This amount includes 284 shares in 401K and 386 shares in dividend reinvestment.

ITT INC.

Report date May 10, 2023 · Filed May 12, 2023

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	26,490.5695	Reported balance After 2023-05-10 transaction · row 1 Account or security details depend on footnotes; rows are not merged. 1 source row Row 1 · 2023-05-10 · Grant · Acquired 1,704 · Balance 26,490.5695 F1: Reflects an award of restricted stock units, all of which are scheduled to vest on the business day immediately prior to the ITT 2024 Annual Meeting of Shareholders. F2: Includes 222.5695 shares under a dividend reinvestment plan.

Filing footnotes · ownership attribution and instrument terms

F1: Reflects an award of restricted stock units, all of which are scheduled to vest on the business day immediately prior to the ITT 2024 Annual Meeting of Shareholders.

F2: Includes 222.5695 shares under a dividend reinvestment plan.

Past disclosures · reporting ended (2)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

Allison Transmission Holdings Inc

Report date May 07, 2025 · Filed May 09, 2025

Section 16 reporting ended · disclosed 2025-05-09. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	45,134	Reported balance After 2025-05-07 transaction · row 1 Account or security details depend on footnotes; rows are not merged. 1 source row Row 1 · 2025-05-07 · Exercise / conversion · Acquired 3,724 · Balance 45,134 F1: Represents the deferred stock units ("DSUs") and dividend equivalents payable upon the reporting person's separation from service. The reporting person did not stand for re-election at Allison Transmission Holdings, Inc.'s (the "Company") 2025 annual meeting of stockholders and his term ended on May 7, 2025. F2: Includes 3,699 DSUs and 25 related dividend equivalents.
Deferred Stock UnitsSEC Table II · derivative / convertible security	Direct	0	Reported balance After 2025-05-07 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2025-05-07 · Exercise / conversion · Disposed 425 · Balance 0 F3: Each DSU is the economic equivalent of one share of the Company's common stock. The DSUs become payable, in common stock, or at the Company's election cash, at the earlier of the reporting person's separation from service or change in control. DSUs earn dividend equivalents when dividends are declared on the Company's common stock. F4: On May 8, 2024, the reporting person was granted 425 DSUs that vested on May 8, 2024.
Deferred Stock UnitsSEC Table II · derivative / convertible security	Direct	0	Reported balance After 2025-05-07 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2025-05-07 · Exercise / conversion · Disposed 2,017 · Balance 0 F3: Each DSU is the economic equivalent of one share of the Company's common stock. The DSUs become payable, in common stock, or at the Company's election cash, at the earlier of the reporting person's separation from service or change in control. DSUs earn dividend equivalents when dividends are declared on the Company's common stock. F5: On May 9, 2024, the reporting person was granted 2,017 DSUs that vested on May 7, 2025.
Deferred Stock UnitsSEC Table II · derivative / convertible security	Direct	0	Reported balance After 2025-05-07 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2025-05-07 · Exercise / conversion · Disposed 433 · Balance 0 F3: Each DSU is the economic equivalent of one share of the Company's common stock. The DSUs become payable, in common stock, or at the Company's election cash, at the earlier of the reporting person's separation from service or change in control. DSUs earn dividend equivalents when dividends are declared on the Company's common stock. F6: On August 8, 2024, the reporting person was granted 433 DSUs that vested on August 8, 2024.
Deferred Stock UnitsSEC Table II · derivative / convertible security	Direct	0	Reported balance After 2025-05-07 transaction · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · 2025-05-07 · Exercise / conversion · Disposed 309 · Balance 0 F3: Each DSU is the economic equivalent of one share of the Company's common stock. The DSUs become payable, in common stock, or at the Company's election cash, at the earlier of the reporting person's separation from service or change in control. DSUs earn dividend equivalents when dividends are declared on the Company's common stock. F7: On November 8, 2024, the reporting person was granted 309 DSUs that vested on November 8, 2024.
Deferred Stock UnitsSEC Table II · derivative / convertible security	Direct	0	Reported balance After 2025-05-07 transaction · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 6 · 2025-05-07 · Exercise / conversion · Disposed 235 · Balance 0 F3: Each DSU is the economic equivalent of one share of the Company's common stock. The DSUs become payable, in common stock, or at the Company's election cash, at the earlier of the reporting person's separation from service or change in control. DSUs earn dividend equivalents when dividends are declared on the Company's common stock. F8: On February 7, 2025, the reporting person was granted 235 DSUs that vested on February 7, 2025.
Deferred Stock UnitsSEC Table II · derivative / convertible security	Direct	280	Reported balance After 2025-05-07 transaction · row 7 Instrument identity requires review; Table II rows are not merged. 1 source row Row 7 · 2025-05-07 · Grant · Acquired 280 · Balance 280 F9: These DSUs represent a quarterly payment of the portion of the reporting person's annual retainer and other fees under the Company's Eighth Amended and Restated Non-Employee Director Compensation Policy deferred pursuant to the Company's Amended and Restated Non-Employee Director Deferred Compensation Plan. The annual retainer and other fees are payable quarterly in arrears. F3: Each DSU is the economic equivalent of one share of the Company's common stock. The DSUs become payable, in common stock, or at the Company's election cash, at the earlier of the reporting person's separation from service or change in control. DSUs earn dividend equivalents when dividends are declared on the Company's common stock. F11: The number of DSUs received was calculated based on $97.23, which was the closing price of the Company's common stock on the date of grant.
Deferred Stock UnitsSEC Table II · derivative / convertible security	Direct	0	Reported balance After 2025-05-07 transaction · row 8 Instrument identity requires review; Table II rows are not merged. 1 source row Row 8 · 2025-05-07 · Exercise / conversion · Disposed 280 · Balance 0 F3: Each DSU is the economic equivalent of one share of the Company's common stock. The DSUs become payable, in common stock, or at the Company's election cash, at the earlier of the reporting person's separation from service or change in control. DSUs earn dividend equivalents when dividends are declared on the Company's common stock. F10: On May 7, 2025, the reporting person was granted 280 DSUs that vested on May 7, 2025.
Dividend Equivalent RightsSEC Table II · derivative / convertible security	Direct	0	Reported balance After 2025-05-07 transaction · row 9 Instrument identity requires review; Table II rows are not merged. 1 source row Row 9 · 2025-05-07 · Exercise / conversion · Disposed 25 · Balance 0 F12: Each dividend equivalent right is the economic equivalent of one share of the Company's common stock. F13: The dividend equivalent rights accrued on previously awarded DSUs and were payable on May 7, 2025, the date of the reporting person's separation from service.

Filing footnotes · ownership attribution and instrument terms

F1: Represents the deferred stock units ("DSUs") and dividend equivalents payable upon the reporting person's separation from service. The reporting person did not stand for re-election at Allison Transmission Holdings, Inc.'s (the "Company") 2025 annual meeting of stockholders and his term ended on May 7, 2025.

F2: Includes 3,699 DSUs and 25 related dividend equivalents.

F3: Each DSU is the economic equivalent of one share of the Company's common stock. The DSUs become payable, in common stock, or at the Company's election cash, at the earlier of the reporting person's separation from service or change in control. DSUs earn dividend equivalents when dividends are declared on the Company's common stock.

F4: On May 8, 2024, the reporting person was granted 425 DSUs that vested on May 8, 2024.

F5: On May 9, 2024, the reporting person was granted 2,017 DSUs that vested on May 7, 2025.

F6: On August 8, 2024, the reporting person was granted 433 DSUs that vested on August 8, 2024.

F7: On November 8, 2024, the reporting person was granted 309 DSUs that vested on November 8, 2024.

F8: On February 7, 2025, the reporting person was granted 235 DSUs that vested on February 7, 2025.

F9: These DSUs represent a quarterly payment of the portion of the reporting person's annual retainer and other fees under the Company's Eighth Amended and Restated Non-Employee Director Compensation Policy deferred pursuant to the Company's Amended and Restated Non-Employee Director Deferred Compensation Plan. The annual retainer and other fees are payable quarterly in arrears.

F10: On May 7, 2025, the reporting person was granted 280 DSUs that vested on May 7, 2025.

F11: The number of DSUs received was calculated based on $97.23, which was the closing price of the Company's common stock on the date of grant.

F12: Each dividend equivalent right is the economic equivalent of one share of the Company's common stock.

F13: The dividend equivalent rights accrued on previously awarded DSUs and were payable on May 7, 2025, the date of the reporting person's separation from service.

USG CORP

Report date April 24, 2019 · Filed April 24, 2019

Section 16 reporting ended · disclosed 2019-04-24. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	0	Reported balance After 2019-04-24 transaction · row 1 1 source row Row 1 · 2019-04-24 · Disposition to issuer · Disposed 36,657 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of June 10, 2018, by and among USG Corporation (the "Company"), Gebr. Knauf KG and World Cup Acquisition Corporation, at the effective time of the merger, each share of the Company's common stock held by the reporting person was converted into the right to receive $43.50 in cash, without interest (the "closing consideration").
Deferred Stock UnitsSEC Table II · derivative / convertible security	Direct	0	Reported balance After 2019-04-24 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2019-04-24 · Disposition to issuer · Disposed 5,063.7003 · Balance 0 F2: Each deferred stock unit represented the right to receive one share of common stock. The deferred stock units became payable in shares of common stock following termination of service as a director. Pursuant to the Merger Agreement, at the effective time of the merger, each deferred stock unit held by the reporting person was converted into the right to receive the closing consideration.

Filing footnotes · ownership attribution and instrument terms

F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of June 10, 2018, by and among USG Corporation (the "Company"), Gebr. Knauf KG and World Cup Acquisition Corporation, at the effective time of the merger, each share of the Company's common stock held by the reporting person was converted into the right to receive $43.50 in cash, without interest (the "closing consideration").

F2: Each deferred stock unit represented the right to receive one share of common stock. The deferred stock units became payable in shares of common stock following termination of service as a director. Pursuant to the Merger Agreement, at the effective time of the merger, each deferred stock unit held by the reporting person was converted into the right to receive the closing consideration.

Transaction history

JSON API

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	Company	Activity / security	Shares / units	Reported price	Reported value	Details
October 31, 2012 Filed Nov 2, 2012 20:51 UTC	CATERPILLAR INC CAT · Entity 2808	GrantPhantom Stock Units · Derivative	249	$0.00	$0.00	Disclosure SEC source: 0000018230-12-000518 · edgar.xml · derivative · entry 5 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,620 Underlying: Common · 249 shares Expires not disclosed F2 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document
September 28, 2012 Filed Oct 2, 2012 15:25 UTC	CATERPILLAR INC CAT · Entity 2808	GrantPhantom Stock Units · Derivative	118	$0.00	$0.00	Disclosure SEC source: 0000018230-12-000475 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,371 Underlying: Common · 118 shares Expires not disclosed F2 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document
August 31, 2012 Filed Sep 5, 2012 19:01 UTC	CATERPILLAR INC CAT · Entity 2808	GrantPhantom Stock Units · Derivative	119	$0.00	$0.00	Disclosure SEC source: 0000018230-12-000439 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,253 Underlying: Common · 119 shares Expires not disclosed F2 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes 185 units acquired under Tax-Conditioned Plans. Read SEC document
August 01, 2012 Filed Aug 2, 2012 13:52 UTC	CATERPILLAR INC CAT · Entity 2808	SaleCommon	2,000	$84.92	$169,840.00	Disclosure SEC source: 0000018230-12-000400 · edgar.xml · nonDerivative · entry 1 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,257 F1 · balance_after: This amount includes 283 shares in 401K and 386 shares in dividend reinvestment. Read SEC document
July 31, 2012 Filed Aug 2, 2012 13:52 UTC	CATERPILLAR INC CAT · Entity 2808	GrantPhantom Stock Units · Derivative	120	$0.00	$0.00	Disclosure SEC source: 0000018230-12-000400 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,134 Underlying: Common · 120 shares Expires not disclosed F2 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes 185 units acquired under Tax-Conditioned Plans. Read SEC document
July 02, 2012 Filed Jul 3, 2012 17:46 UTC	CATERPILLAR INC CAT · Entity 2808	SaleCommon	2,000	$85.28	$170,560.00	Disclosure SEC source: 0000018230-12-000370 · edgar.xml · nonDerivative · entry 1 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,217 F1 · balance_after: This amount includes 243 shares in 401K and 386 shares in dividend reinvestment. Read SEC document
June 29, 2012 Filed Jul 3, 2012 17:46 UTC	CATERPILLAR INC CAT · Entity 2808	GrantPhantom Stock Units · Derivative	119	$0.00	$0.00	Disclosure SEC source: 0000018230-12-000370 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,829 Underlying: Common · 119 shares Expires not disclosed F2 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document
June 01, 2012 Filed Jun 4, 2012 20:55 UTC	CATERPILLAR INC CAT · Entity 2808	SaleCommon	2,000	$85.26	$170,520.00	Disclosure SEC source: 0000018230-12-000312 · edgar.xml · nonDerivative · entry 1 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,217 F1 · balance_after: This amount includes 243 shares in 401K and 386 shares in dividend reinvestment. Read SEC document
May 31, 2012 Filed Jun 4, 2012 20:55 UTC	CATERPILLAR INC CAT · Entity 2808	GrantPhantom Stock Units · Derivative	112	$0.00	$0.00	Disclosure SEC source: 0000018230-12-000312 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,710 Underlying: Common · 112 shares Expires not disclosed F2 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document
May 01, 2012 Filed May 2, 2012 20:17 UTC	CATERPILLAR INC CAT · Entity 2808	GrantCommon	1,250	$0.00	$0.00	Disclosure SEC source: 0000018230-12-000259 · edgar.xml · nonDerivative · entry 2 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 79,217 F4 · shares: Represents restricted stock units (RSU) awarded pursuant to the Caterpillar Inc. 2006 Long -Term Incentive Plan. Each RSU represents the right to receive one share of Caterpillar Inc. common stock and vest in thirds beginning 2 years after the initial grant date. (1/3 after three years; 1/3 after four years; 1/3 after five years). F1 · balance_after: This amount includes 243 shares in 401K and 386 shares in dividend reinvestment. Read SEC document
May 01, 2012 Filed May 2, 2012 20:17 UTC	CATERPILLAR INC CAT · Entity 2808	SaleCommon	2,000	$102.73	$205,460.00	Disclosure SEC source: 0000018230-12-000259 · edgar.xml · nonDerivative · entry 1 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,967 F1 · balance_after: This amount includes 243 shares in 401K and 386 shares in dividend reinvestment. Read SEC document
April 30, 2012 Filed May 2, 2012 20:17 UTC	CATERPILLAR INC CAT · Entity 2808	GrantPhantom Stock Units · Derivative	43	$0.00	$0.00	Disclosure SEC source: 0000018230-12-000259 · edgar.xml · derivative · entry 4 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,598 Underlying: Common · 43 shares Expires not disclosed F2 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document
April 02, 2012 Filed Apr 3, 2012 21:17 UTC	CATERPILLAR INC CAT · Entity 2808	SaleCommon	2,000	$105.80	$211,600.00	Disclosure SEC source: 0000018230-12-000194 · edgar.xml · nonDerivative · entry 1 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,244 F1 · balance_after: This amount includes 243 shares in 401K and 386 shares in dividend reinvestment. Read SEC document
April 02, 2012 Filed Apr 4, 2012 20:18 UTC	CATERPILLAR INC CAT · Entity 2808	Tax withholdingCommon	277	$106.49	$29,497.73	Disclosure SEC source: 0000018230-12-000200 · edgar.xml · nonDerivative · entry 1 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 79,967 F1 · kind: Amount reflects shares surrendered to satisfy tax withholding requirements upon the vesting of restricted stock. F2 · balance_after: This amount includes 243 shares in 401K and 386 shares in dividend reinvestment. Read SEC document
March 30, 2012 Filed Apr 3, 2012 21:17 UTC	CATERPILLAR INC CAT · Entity 2808	GrantPhantom Stock Units · Derivative	37	$0.00	$0.00	Disclosure SEC source: 0000018230-12-000194 · edgar.xml · derivative · entry 2 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,555 Underlying: Common · 37 shares Expires not disclosed F2 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes 918 units acquired under Tax-Conditioned Plans. Read SEC document
March 05, 2012 Filed Mar 7, 2012 21:38 UTC	CATERPILLAR INC CAT · Entity 2808	GrantEmployee Stock Option (right to buy) · Derivative	58,424	$0.00 Strike: $110.09	$0.00	Disclosure SEC source: 0000018230-12-000153 · edgar.xml · derivative · entry 4 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,424 Underlying: Common · 58,424 shares Expires 2022-03-05 Read SEC document
March 02, 2012 Filed Mar 5, 2012 20:19 UTC	CATERPILLAR INC CAT · Entity 2808	GrantPhantom Stock Units · Derivative	1,454	$0.00	$0.00	Disclosure SEC source: 0000018230-12-000101 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,563 Underlying: Common · 1,454 shares Expires not disclosed F3 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F4 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document
March 02, 2012 Filed Mar 6, 2012 22:24 UTC	CATERPILLAR INC CAT · Entity 2808	Exercise / conversionRestricted Stock Units · Derivative	6,561	Not disclosed	Not disclosed	Disclosure SEC source: 0000018230-12-000111 · edgar.xml · derivative · entry 5 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 6,561 shares Expires 2012-03-02 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. F2 · derivative.exercise_price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 2, 2012, the reporting person's restricted stock units were setted for an equal number of shares of Caterpillar Inc. common stock. F2 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 2, 2012, the reporting person's restricted stock units were setted for an equal number of shares of Caterpillar Inc. common stock. Read SEC document
March 02, 2012 Filed Mar 6, 2012 22:24 UTC	CATERPILLAR INC CAT · Entity 2808	Tax withholdingCommon	2,720	$112.87	$307,006.40	Disclosure SEC source: 0000018230-12-000111 · edgar.xml · nonDerivative · entry 2 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 81,969 F5 · kind: Amount reflects shares surrendered to satisfy tax withholding requirements upon the vesting of restricted stock units. F3 · balance_after: This amount includes 355 shares in dividend reinvestment. F4 · balance_after: Includes 14197 shares previously owned indirectly through Caterpillar's 401(k) plan. Read SEC document
March 02, 2012 Filed Mar 6, 2012 22:24 UTC	CATERPILLAR INC CAT · Entity 2808	Exercise / conversionCommon	6,561	Not disclosed	Not disclosed	Disclosure SEC source: 0000018230-12-000111 · edgar.xml · nonDerivative · entry 1 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 84,689 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 · kind: Represents the vesting of restricted stock units granted to the reporting person on March 2, 2009. F2 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 2, 2012, the reporting person's restricted stock units were setted for an equal number of shares of Caterpillar Inc. common stock. F3 · balance_after: This amount includes 355 shares in dividend reinvestment. F4 · balance_after: Includes 14197 shares previously owned indirectly through Caterpillar's 401(k) plan. Read SEC document
March 01, 2012 Filed Mar 2, 2012 20:08 UTC	CATERPILLAR INC CAT · Entity 2808	SaleCommon	2,000	$114.39	$228,780.00	Disclosure SEC source: 0000018230-12-000097 · edgar.xml · nonDerivative · entry 1 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 78,128 F1 · balance_after: This amount includes 355 shares in dividend reinvestment. F2 · balance_after: Includes 14197 shares previously owned indirectly through Caterpillar's 401(k) plan. Read SEC document
February 29, 2012 Filed Mar 2, 2012 20:08 UTC	CATERPILLAR INC CAT · Entity 2808	GrantPhantom Stock Units · Derivative	35	$0.00	$0.00	Disclosure SEC source: 0000018230-12-000097 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,109 Underlying: Common · 35 shares Expires not disclosed F3 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F4 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled 100% in cash upon the reporting person's retirement. F4 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled 100% in cash upon the reporting person's retirement. Read SEC document
February 21, 2012 Filed Feb 21, 2012 21:17 UTC	CATERPILLAR INC CAT · Entity 2808	SaleCommon	7,000	$114.73	$803,110.00	Disclosure SEC source: 0000018230-12-000069 · edgar.xml · nonDerivative · entry 1 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,048 F1 · balance_after: This amount includes 14,171 shares in 401K and 301 shares in dividend reinvestment. Read SEC document
January 31, 2012 Filed Feb 1, 2012 22:02 UTC	CATERPILLAR INC CAT · Entity 2808	GrantPhantom Stock Units · Derivative	36	$0.00	$0.00	Disclosure SEC source: 0000018230-12-000054 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,074 Underlying: Common · 36 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 acquired under the Caterpillar Inc. deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document
December 30, 2011 Filed Jan 3, 2012 17:19 UTC	CATERPILLAR INC CAT · Entity 2808	GrantPhantom Stock Units · Derivative	104	$0.00	$0.00	Disclosure SEC source: 0000018230-12-000006 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,038 Underlying: Common · 104 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 acquired under the Caterpillar Inc. deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document
November 30, 2011 Filed Dec 1, 2011 19:46 UTC	CATERPILLAR INC CAT · Entity 2808	GrantPhantom Stock Units · Derivative	96	$0.00	$0.00	Disclosure SEC source: 0000018230-11-000524 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,934 Underlying: Common · 96 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 acquired under the Caterpillar Inc. deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document
October 31, 2011 Filed Nov 2, 2011 20:26 UTC	CATERPILLAR INC CAT · Entity 2808	GrantPhantom Stock Units · Derivative	99	$0.00	$0.00	Disclosure SEC source: 0000018230-11-000513 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,838 Underlying: Common · 99 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 acquired under the Caterpillar Inc. deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document
September 30, 2011 Filed Oct 4, 2011 19:01 UTC	CATERPILLAR INC CAT · Entity 2808	GrantPhantom Stock Units · Derivative	127	$0.00	$0.00	Disclosure SEC source: 0000018230-11-000479 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,739 Underlying: Common · 127 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 acquired under the Caterpillar Inc. deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document
August 31, 2011 Filed Sep 1, 2011 19:46 UTC	CATERPILLAR INC CAT · Entity 2808	GrantPhantom Stock Units · Derivative	103	$0.00	$0.00	Disclosure SEC source: 0000018230-11-000425 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,612 Underlying: Common · 103 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 acquired under the Caterpillar Inc. deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document
July 29, 2011 Filed Aug 1, 2011 19:32 UTC	CATERPILLAR INC CAT · Entity 2808	GrantPhantom Stock Units · Derivative	192	$0.00	$0.00	Disclosure SEC source: 0000018230-11-000391 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,509 Underlying: Common · 192 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 acquired under the Caterpillar Inc. deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document
June 30, 2011 Filed Jul 1, 2011 19:42 UTC	CATERPILLAR INC CAT · Entity 2808	GrantPhantom Stock Units · Derivative	88	$0.00	$0.00	Disclosure SEC source: 0000018230-11-000365 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,317 Underlying: Common · 88 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document
June 15, 2011 Filed Apr 10, 2012 20:30 UTC	CATERPILLAR INC CAT · Entity 2808	PurchaseCommon	50	$97.71	$4,885.50	Disclosure SEC source: 0000018230-12-000204 · edgar.xml · nonDerivative · entry 2 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Indirect · Daughter Disclosed balance after: 405 F2 · shares: These shares were purchased by the reporting person's daughter. The purchase of shares on June 15, 2011 by the reporting person's daughter was matchable under Section 16(b) of the Securities Exchange Act of 1934 with the reporting person's sale of shares on February 7, 2011 (to the extent of 50 shares sold on that date). The reporting person has paid to Caterpillar Inc. the full amount of profit realized in connection with the short-swing transaction. Read SEC document
May 31, 2011 Filed Jun 2, 2011 14:48 UTC	CATERPILLAR INC CAT · Entity 2808	GrantPhantom Stock Units · Derivative	119	$0.00	$0.00	Disclosure SEC source: 0000018230-11-000327 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,229 Underlying: Common · 119 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F4 · shares: Phantom stock units were disposed of to correct number previously reported in error. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document
May 09, 2011 Filed May 24, 2011 14:05 UTC	CATERPILLAR INC CAT · Entity 2808	GiftCommon	1,000	$0.00	$0.00	Disclosure SEC source: 0000018230-11-000307 · edgar.xml · nonDerivative · entry 1 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,746 F1 · balance_after: This amount includes 13,879 shares in 401K and 333 shares in dividend reinvestment. Read SEC document
May 02, 2011 Filed May 4, 2011 20:44 UTC	CATERPILLAR INC CAT · Entity 2808	GrantRestricted Stock Units · Derivative	500	$0.00	$0.00	Disclosure SEC source: 0000018230-11-000281 · edgar.xml · derivative · entry 4 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 500 Underlying: Common · 500 shares Expires not disclosed F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Caterpillar common stock. F5 · derivative.exercise_date: The restricted stock units vest on May 2, 2016. F5 · derivative.expiration_date: The restricted stock units vest on May 2, 2016. Read SEC document
April 29, 2011 Filed May 2, 2011 21:18 UTC	CATERPILLAR INC CAT · Entity 2808	GrantPhantom Stock Units · Derivative	34	$0.00	$0.00	Disclosure SEC source: 0000018230-11-000271 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,348 Underlying: Common · 34 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document
April 29, 2011 Filed May 4, 2011 20:36 UTC Amendment	CATERPILLAR INC CAT · Entity 2808	GrantPhantom Stock Units · Derivative	34	$0.00	$0.00	Disclosure SEC source: 0000018230-11-000279 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,348 Underlying: Common · 34 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 04, 2011 Filed Apr 5, 2011 17:49 UTC	CATERPILLAR INC CAT · Entity 2808	Tax withholdingCommon	139	$113.10	$15,720.90	Disclosure SEC source: 0000018230-11-000226 · edgar.xml · nonDerivative · entry 1 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,671 F4 · kind: Amount reflects shares surrendered to satisfy tax withholding requirements upon the vesting of restricted stock. F1 · balance_after: This amount includes 13,665 shares in 401K and 333 shares in dividend reinvestment. Read SEC document
April 04, 2011 Filed Apr 12, 2011 15:17 UTC Amendment	CATERPILLAR INC CAT · Entity 2808	Tax withholdingCommon	139	$113.10	$15,720.90	Disclosure SEC source: 0000018230-11-000234 · edgar.xml · nonDerivative · entry 1 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,532 F4 · kind: Amount reflects shares surrendered to satisfy tax withholding requirements upon the vesting of restricted stock. F1 · balance_after: This amount includes 13,665 shares in 401K and 333 shares in dividend reinvestment. Read SEC document
April 01, 2011 Filed Apr 4, 2011 19:29 UTC	CATERPILLAR INC CAT · Entity 2808	Tax withholdingCommon	139	$112.74	$15,670.86	Disclosure SEC source: 0000018230-11-000224 · edgar.xml · nonDerivative · entry 1 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,810 F4 · kind: Amount reflects shares surrendered to satisfy tax withholding requirements upon the vesting of restricted stock. F1 · balance_after: This amount includes 13,665 shares in 401K and 333 shares in dividend reinvestment. Read SEC document
April 01, 2011 Filed Apr 12, 2011 15:23 UTC Amendment	CATERPILLAR INC CAT · Entity 2808	Tax withholdingCommon	139	$112.74	$15,670.86	Disclosure SEC source: 0000018230-11-000236 · edgar.xml · nonDerivative · entry 1 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,671 F4 · kind: Amount reflects shares surrendered to satisfy tax withholding requirements upon the vesting of restricted stock. F1 · balance_after: This amount includes 13,665 shares in 401K and 333 shares in dividend reinvestment. Read SEC document
April 01, 2011 Filed May 2, 2011 21:18 UTC	CATERPILLAR INC CAT · Entity 2808	Tax withholdingCommon	139	$112.74	$15,670.86	Disclosure SEC source: 0000018230-11-000271 · edgar.xml · nonDerivative · entry 1 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,671 F4 · kind: Amount reflects shares surrendered to satisfy tax withholding requirements upon the vesting of restricted stock. F1 · balance_after: This amount includes 13,665 shares in 401K and 333 shares in dividend reinvestment. Read SEC document
March 31, 2011 Filed Apr 4, 2011 19:29 UTC	CATERPILLAR INC CAT · Entity 2808	GrantPhantom Stock Units · Derivative	27	$0.00	$0.00	Disclosure SEC source: 0000018230-11-000224 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,314 Underlying: Common · 27 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 31, 2011 Filed Apr 5, 2011 17:49 UTC	CATERPILLAR INC CAT · Entity 2808	GrantPhantom Stock Units · Derivative	27	$0.00	$0.00	Disclosure SEC source: 0000018230-11-000226 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,314 Underlying: Common · 27 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 31, 2011 Filed Apr 12, 2011 15:23 UTC Amendment	CATERPILLAR INC CAT · Entity 2808	GrantPhantom Stock Units · Derivative	27	$0.00	$0.00	Disclosure SEC source: 0000018230-11-000236 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,314 Underlying: Common · 27 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 07, 2011 Filed Mar 8, 2011 20:33 UTC	CATERPILLAR INC CAT · Entity 2808	GrantStock Appreciation Rights · Derivative	53,669	$0.00 Strike: $102.13	$0.00	Disclosure SEC source: 0000018230-11-000183 · edgar.xml · derivative · entry 4 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,669 Underlying: Common · 53,669 shares Expires 2021-03-07 F4 · derivative.exercise_date: The stock appreciation rights vest on March 7, 2014. Read SEC document
March 04, 2011 Filed Mar 7, 2011 19:09 UTC	CATERPILLAR INC CAT · Entity 2808	GrantPhantom Stock Units · Derivative	902	$0.00	$0.00	Disclosure SEC source: 0000018230-11-000140 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,287 Underlying: Common · 902 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, 2011 Filed Mar 4, 2011 21:09 UTC	CATERPILLAR INC CAT · Entity 2808	Exercise / conversionRestricted Stock Units · Derivative	4,109	Not disclosed	Not disclosed	Disclosure SEC source: 0000018230-11-000105 · edgar.xml · derivative · entry 5 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 4,109 shares Expires 2011-03-03 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 3, 2011, 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 3, 2011, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar common stock. Read SEC document
March 03, 2011 Filed Mar 4, 2011 21:09 UTC	CATERPILLAR INC CAT · Entity 2808	Tax withholdingCommon	1,704	$103.22	$175,878.36	Disclosure SEC source: 0000018230-11-000105 · edgar.xml · nonDerivative · entry 2 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,810 F5 · kind: Amount reflects shares surrendered to satisfy tax withholding requirements upon the vesting of restricted stock. F1 · balance_after: This amount includes 13,665 shares in 401K and 333 shares in dividend reinvestment. Read SEC document
March 03, 2011 Filed Mar 4, 2011 21:09 UTC	CATERPILLAR INC CAT · Entity 2808	Exercise / conversionCommon	4,109	Not disclosed	Not disclosed	Disclosure SEC source: 0000018230-11-000105 · edgar.xml · nonDerivative · entry 1 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,514 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

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.