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
February 28, 2011 Filed Mar 1, 2011 20:17 UTC	CATERPILLAR INC CAT · Entity 2808	GrantPhantom Stock Units · Derivative	131	$0.00	$0.00	Disclosure SEC source: 0000018230-11-000076 · edgar.xml · derivative · entry 4 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,385 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
February 25, 2011 Filed Mar 1, 2011 20:17 UTC	CATERPILLAR INC CAT · Entity 2808	GrantPhantom Stock Units · Derivative	751	$0.00	$0.00	Disclosure SEC source: 0000018230-11-000076 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,254 Underlying: Common · 751 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
February 08, 2011 Filed Feb 9, 2011 18:45 UTC	CATERPILLAR INC CAT · Entity 2808	Exercise / conversionEmployee Stock Option · Derivative	40,000	$0.00 Strike: $45.64	$0.00	Disclosure SEC source: 0000018230-11-000069 · 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 · 40,000 shares Expires 2015-02-18 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
February 08, 2011 Filed Feb 9, 2011 18:45 UTC	CATERPILLAR INC CAT · Entity 2808	Tax withholdingCommon	27,268	$100.01	$2,726,936.34	Disclosure SEC source: 0000018230-11-000069 · edgar.xml · nonDerivative · entry 2 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 85,405 F1 · balance_after: This amount includes 13,665 shares in 401K and 333 shares in dividend reinvestment. Read SEC document
February 08, 2011 Filed Feb 9, 2011 18:45 UTC	CATERPILLAR INC CAT · Entity 2808	Exercise / conversionCommon	40,000	$45.64	$1,825,700.00	Disclosure SEC source: 0000018230-11-000069 · edgar.xml · nonDerivative · entry 1 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 112,673 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
February 07, 2011 Filed Feb 8, 2011 20:09 UTC	CATERPILLAR INC CAT · Entity 2808	Exercise / conversionEmployee Stock Option · Derivative	36,000	$0.00 Strike: $38.63	$0.00	Disclosure SEC source: 0000018230-11-000067 · edgar.xml · derivative · entry 11 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 36,000 shares Expires 2014-06-08 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · security: (Right to buy) with tandem tax withholding rights. F5 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document
February 07, 2011 Filed Feb 8, 2011 20:09 UTC	CATERPILLAR INC CAT · Entity 2808	Exercise / conversionEmployee Stock Option · Derivative	34,000	$0.00 Strike: $38.63	$0.00	Disclosure SEC source: 0000018230-11-000067 · edgar.xml · derivative · entry 10 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 34,000 shares Expires 2014-06-08 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · security: (Right to buy) with tandem tax withholding rights. F5 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document
February 07, 2011 Filed Feb 8, 2011 20:09 UTC	CATERPILLAR INC CAT · Entity 2808	Exercise / conversionEmployee Stock Option · Derivative	30,000	$0.00 Strike: $45.64	$0.00	Disclosure SEC source: 0000018230-11-000067 · edgar.xml · derivative · entry 9 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 30,000 shares Expires 2015-02-18 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
February 07, 2011 Filed Feb 8, 2011 20:09 UTC	CATERPILLAR INC CAT · Entity 2808	SaleCommon	36,000	$100.42	$3,615,040.80	Disclosure SEC source: 0000018230-11-000067 · edgar.xml · nonDerivative · entry 6 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,673 F1 · balance_after: This amount includes 13,665 shares in 401K and 333 shares in dividend reinvestment. Read SEC document
February 07, 2011 Filed Feb 8, 2011 20:09 UTC	CATERPILLAR INC CAT · Entity 2808	Exercise / conversionCommon	36,000	$38.63	$1,390,590.00	Disclosure SEC source: 0000018230-11-000067 · edgar.xml · nonDerivative · entry 5 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 108,673 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
February 07, 2011 Filed Feb 8, 2011 20:09 UTC	CATERPILLAR INC CAT · Entity 2808	Tax withholdingCommon	21,770	$100.15	$2,180,265.50	Disclosure SEC source: 0000018230-11-000067 · edgar.xml · nonDerivative · entry 4 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,673 Read SEC document
February 07, 2011 Filed Feb 8, 2011 20:09 UTC	CATERPILLAR INC CAT · Entity 2808	Exercise / conversionCommon	34,000	$38.63	$1,313,335.00	Disclosure SEC source: 0000018230-11-000067 · edgar.xml · nonDerivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,443 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
February 07, 2011 Filed Feb 8, 2011 20:09 UTC	CATERPILLAR INC CAT · Entity 2808	Tax withholdingCommon	20,439	$100.15	$2,046,965.85	Disclosure SEC source: 0000018230-11-000067 · edgar.xml · nonDerivative · entry 2 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,443 Read SEC document
February 07, 2011 Filed Feb 8, 2011 20:09 UTC	CATERPILLAR INC CAT · Entity 2808	Exercise / conversionCommon	30,000	$45.64	$1,369,275.00	Disclosure SEC source: 0000018230-11-000067 · edgar.xml · nonDerivative · entry 1 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,882 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document
January 31, 2011 Filed Feb 1, 2011 17:32 UTC	CATERPILLAR INC CAT · Entity 2808	GrantPhantom Stock Units · Derivative	31	$0.00	$0.00	Disclosure SEC source: 0000018230-11-000049 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,503 Underlying: Common · 31 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
December 31, 2010 Filed Jan 3, 2011 18:37 UTC	CATERPILLAR INC CAT · Entity 2808	GrantPhantom Stock Units · Derivative	141	$0.00	$0.00	Disclosure SEC source: 0000018230-11-000005 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,472 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
November 30, 2010 Filed Dec 1, 2010 16:10 UTC	CATERPILLAR INC CAT · Entity 2808	GrantPhantom Stock Units · Derivative	101	$0.00	$0.00	Disclosure SEC source: 0000018230-10-000541 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,331 Underlying: Common · 101 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 17:42 UTC	CATERPILLAR INC CAT · Entity 2808	GrantPhantom Stock Units · Derivative	161	$0.00	$0.00	Disclosure SEC source: 0000018230-10-000499 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,230 Underlying: Common · 161 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	109	$0.00	$0.00	Disclosure SEC source: 0000018230-10-000474 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,069 Underlying: Common · 109 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	131	$0.00	$0.00	Disclosure SEC source: 0000018230-10-000426 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,960 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
August 02, 2010 Filed Aug 3, 2010 16:04 UTC	CATERPILLAR INC CAT · Entity 2808	Exercise / conversionEmployee Stock Option · Derivative	20,000	$0.00 Strike: $27.14	$0.00	Disclosure SEC source: 0000018230-10-000387 · 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 · 20,000 shares Expires 2013-06-10 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · security: (Right to buy) with tandem tax withholding rights. F5 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document
August 02, 2010 Filed Aug 3, 2010 16:04 UTC	CATERPILLAR INC CAT · Entity 2808	SaleCommon	20,000	$71.06	$1,421,270.00	Disclosure SEC source: 0000018230-10-000387 · edgar.xml · nonDerivative · entry 2 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,778 F1 · balance_after: This amount includes 13,588 shares in 401K and 306 shares in dividend reinvestment. Read SEC document
August 02, 2010 Filed Aug 3, 2010 16:04 UTC	CATERPILLAR INC CAT · Entity 2808	Exercise / conversionCommon	20,000	$27.14	$542,850.00	Disclosure SEC source: 0000018230-10-000387 · edgar.xml · nonDerivative · entry 1 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,778 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
July 30, 2010 Filed Aug 2, 2010 17:54 UTC	CATERPILLAR INC CAT · Entity 2808	GrantPhantom Stock Units · Derivative	251	$0.00	$0.00	Disclosure SEC source: 0000018230-10-000367 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,829 Underlying: Common · 251 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 07, 2010 Filed Apr 10, 2012 20:22 UTC	CATERPILLAR INC CAT · Entity 2808	PurchaseCommon	355	$58.23	$20,671.65	Disclosure SEC source: 0000018230-12-000202 · edgar.xml · nonDerivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Indirect · Daughter Disclosed balance after: 355 F3 · shares: These shares were purchased by the reporting person's daughter. The purchase of shares on July 7, 2010 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 August 2, 2010 (to the extent of 355 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
June 30, 2010 Filed Jul 2, 2010 15:02 UTC	CATERPILLAR INC CAT · Entity 2808	GrantPhantom Stock Units · Derivative	110	$0.00	$0.00	Disclosure SEC source: 0000018230-10-000328 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,578 Underlying: Common · 110 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 28, 2010 Filed Jun 1, 2010 18:47 UTC	CATERPILLAR INC CAT · Entity 2808	GrantPhantom Stock Units · Derivative	50	$0.00	$0.00	Disclosure SEC source: 0000018230-10-000293 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,468 Underlying: Common · 50 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, 2010 Filed May 3, 2010 17:47 UTC	CATERPILLAR INC CAT · Entity 2808	GrantPhantom Stock Units · Derivative	45	$0.00	$0.00	Disclosure SEC source: 0000018230-10-000228 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,418 Underlying: Common · 45 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 05, 2010 Filed Apr 6, 2010 17:59 UTC	CATERPILLAR INC CAT · Entity 2808	Tax withholdingCommon	99	$64.60	$6,395.40	Disclosure SEC source: 0000018230-10-000198 · edgar.xml · nonDerivative · entry 1 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,387 F4 · kind: Amount reflects shares surrendered to satisfy tax withholding requirements upon the vesting of restricted stock. F1 · balance_after: This amount includes 13,285 shares in 401K and 218 shares in dividend reinvestment. Read SEC document
April 01, 2010 Filed Apr 5, 2010 18:19 UTC	CATERPILLAR INC CAT · Entity 2808	GrantRestricted Stock Units · Derivative	775	$0.00	$0.00	Disclosure SEC source: 0000018230-10-000195 · edgar.xml · derivative · entry 4 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 775 Underlying: Common · 775 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 1/3 on April 1, 2013; 1/3 on April 1, 2014; 1/3 on April 1, 2015. F5 · derivative.expiration_date: The restricted stock units vest 1/3 on April 1, 2013; 1/3 on April 1, 2014; 1/3 on April 1, 2015. Read SEC document
March 31, 2010 Filed Apr 1, 2010 17:55 UTC	CATERPILLAR INC CAT · Entity 2808	GrantPhantom Stock Units · Derivative	49	$0.00	$0.00	Disclosure SEC source: 0000018230-10-000191 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,282 Underlying: Common · 49 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 09, 2010 Filed Apr 10, 2012 20:22 UTC	CATERPILLAR INC CAT · Entity 2808	OtherCommon	4	$0.00	$0.00	Disclosure SEC source: 0000018230-12-000202 · edgar.xml · nonDerivative · entry 2 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Indirect · Daughter Disclosed balance after: 0 F2 · shares: These 4 shares were escheated by the transfer agent. Read SEC document
March 02, 2010 Filed Mar 4, 2010 18:51 UTC	CATERPILLAR INC CAT · Entity 2808	Exercise / conversionRestricted Stock Units · Derivative	2,594	Not disclosed	Not disclosed	Disclosure SEC source: 0000018230-10-000151 · 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 · 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 18:51 UTC	CATERPILLAR INC CAT · Entity 2808	Tax withholdingCommon	764	$58.42	$44,632.88	Disclosure SEC source: 0000018230-10-000151 · edgar.xml · nonDerivative · entry 2 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,010 F5 · kind: Amount reflects shares surrendered to satisfy tax withholding requirements upon the vesting of restricted stock units. F1 · balance_after: This amount includes 12,809 shares in 401K and 218 shares in dividend reinvestment. Read SEC document
March 02, 2010 Filed Mar 4, 2010 18:51 UTC	CATERPILLAR INC CAT · Entity 2808	Exercise / conversionCommon	2,594	Not disclosed	Not disclosed	Disclosure SEC source: 0000018230-10-000151 · edgar.xml · nonDerivative · entry 1 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,774 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 21:20 UTC	CATERPILLAR INC CAT · Entity 2808	GrantRestricted Stock Units · Derivative	3,257	$0.00	$0.00	Disclosure SEC source: 0000018230-10-000139 · edgar.xml · derivative · entry 5 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,257 Underlying: Common · 3,257 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 21:20 UTC	CATERPILLAR INC CAT · Entity 2808	GrantStock Appreciation Rights · Derivative	129,394	$0.00 Strike: $57.85	$0.00	Disclosure SEC source: 0000018230-10-000139 · edgar.xml · derivative · entry 4 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 129,394 Underlying: Common · 129,394 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
March 01, 2010 Filed Mar 3, 2010 21:20 UTC	CATERPILLAR INC CAT · Entity 2808	Tax withholdingCommon	98	$57.82	$5,665.87	Disclosure SEC source: 0000018230-10-000139 · edgar.xml · nonDerivative · entry 1 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,180 F6 · kind: Amount reflects shares surrendered to satisfy tax withholding requirements upon the vesting of restricted stock units. F1 · balance_after: This amount includes 12,809 shares in 401K and 218 shares in dividend reinvestment. Read SEC document
February 26, 2010 Filed Mar 1, 2010 15:56 UTC	CATERPILLAR INC CAT · Entity 2808	GrantPhantom Stock Units · Derivative	398	$0.00	$0.00	Disclosure SEC source: 0000018230-10-000098 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,233 Underlying: Common · 398 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
January 29, 2010 Filed Feb 1, 2010 21:13 UTC	CATERPILLAR INC CAT · Entity 2808	GrantPhantom Stock Units · Derivative	59	$0.00	$0.00	Disclosure SEC source: 0000018230-10-000065 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,835 Underlying: Common · 59 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
December 31, 2009 Filed Jan 4, 2010 21:51 UTC	CATERPILLAR INC CAT · Entity 2808	GrantPhantom Stock Units · Derivative	243	$0.00	$0.00	Disclosure SEC source: 0000018230-10-000035 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,776 Underlying: Common · 243 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 17:34 UTC	CATERPILLAR INC CAT · Entity 2808	GrantPhantom Stock Units · Derivative	147	$0.00	$0.00	Disclosure SEC source: 0000018230-09-000548 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,533 Underlying: Common · 147 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 19:58 UTC	CATERPILLAR INC CAT · Entity 2808	GrantPhantom Stock Units · Derivative	222	$0.00	$0.00	Disclosure SEC source: 0000018230-09-000500 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,386 Underlying: Common · 222 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 28, 2009 Filed Oct 29, 2009 16:04 UTC	CATERPILLAR INC CAT · Entity 2808	Exercise / conversionEmployee Stock Option · Derivative	14,000	$0.00 Strike: $27.14	$0.00	Disclosure SEC source: 0000018230-09-000459 · 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 · 14,000 shares Expires 2013-06-10 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · security: (Right to buy) with tandem tax withholding rights. F5 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document
October 28, 2009 Filed Oct 29, 2009 16:04 UTC	CATERPILLAR INC CAT · Entity 2808	SaleCommon	14,000	$55.81	$781,363.80	Disclosure SEC source: 0000018230-09-000459 · edgar.xml · nonDerivative · entry 2 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,181 F1 · balance_after: This amount includes 12,736 shares in 401K and 194 shares in dividend reinvestment. Read SEC document
October 28, 2009 Filed Oct 29, 2009 16:04 UTC	CATERPILLAR INC CAT · Entity 2808	Exercise / conversionCommon	14,000	$27.14	$379,995.00	Disclosure SEC source: 0000018230-09-000459 · edgar.xml · nonDerivative · entry 1 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,181 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 30, 2009 Filed Oct 1, 2009 19:39 UTC	CATERPILLAR INC CAT · Entity 2808	GrantPhantom Stock Units · Derivative	167	$0.00	$0.00	Disclosure SEC source: 0000018230-09-000415 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,164 Underlying: Common · 167 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	189	$0.00	$0.00	Disclosure SEC source: 0000018230-09-000368 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,997 Underlying: Common · 189 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 06, 2009 Filed Aug 7, 2009 13:36 UTC	CATERPILLAR INC CAT · Entity 2808	Exercise / conversionEmployee Stock Option · Derivative	20,000	$0.00 Strike: $27.14	$0.00	Disclosure SEC source: 0000018230-09-000325 · 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 · 20,000 shares Expires 2013-06-10 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · security: (Right to buy) with tandem tax withholding rights. F5 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document
August 06, 2009 Filed Aug 7, 2009 13:36 UTC	CATERPILLAR INC CAT · Entity 2808	SaleCommon	20,000	$47.12	$942,340.00	Disclosure SEC source: 0000018230-09-000325 · edgar.xml · nonDerivative · entry 2 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,098 F1 · balance_after: This amount includes 12,682 shares in 401K and 165 shares in dividend reinvestment. 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.