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
August 06, 2009 Filed Aug 7, 2009 13:36 UTC	CATERPILLAR INC CAT · Entity 2808	Exercise / conversionCommon	20,000	$27.14	$542,850.00	Disclosure SEC source: 0000018230-09-000325 · edgar.xml · nonDerivative · entry 1 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,098 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 31, 2009 Filed Aug 3, 2009 19:52 UTC	CATERPILLAR INC CAT · Entity 2808	GrantPhantom Stock Units · Derivative	194	$0.00	$0.00	Disclosure SEC source: 0000018230-09-000310 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,808 Underlying: Common · 194 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document
June 30, 2009 Filed Jul 1, 2009 21:17 UTC	CATERPILLAR INC CAT · Entity 2808	GrantPhantom Stock Units · Derivative	200	$0.00	$0.00	Disclosure SEC source: 0000018230-09-000252 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,614 Underlying: Common · 304 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 29, 2009 Filed Jun 1, 2009 20:01 UTC	CATERPILLAR INC CAT · Entity 2808	GrantPhantom Stock Units · Derivative	87	$0.00	$0.00	Disclosure SEC source: 0000018230-09-000213 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,310 Underlying: Common · 87 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 01, 2009 Filed May 4, 2009 19:09 UTC	CATERPILLAR INC CAT · Entity 2808	Exercise / conversionEmployee Stock Option · Derivative	8,132	$0.00 Strike: $31.17	$0.00	Disclosure SEC source: 0000018230-09-000177 · edgar.xml · derivative · entry 4 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 8,132 shares Expires 2009-06-08 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
May 01, 2009 Filed May 4, 2009 19:09 UTC	CATERPILLAR INC CAT · Entity 2808	Exercise / conversionCommon	8,132	$31.17	$253,489.89	Disclosure SEC source: 0000018230-09-000177 · edgar.xml · nonDerivative · entry 1 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,485 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 · balance_after: This amount includes 12,157 shares in 401K and 77 shares in dividend reinvestment. Read SEC document
April 30, 2009 Filed May 4, 2009 19:09 UTC	CATERPILLAR INC CAT · Entity 2808	GrantPhantom Stock Units · Derivative	86	$0.00	$0.00	Disclosure SEC source: 0000018230-09-000177 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,223 Underlying: Common · 86 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document
April 01, 2009 Filed Apr 2, 2009 16:11 UTC	CATERPILLAR INC CAT · Entity 2808	Tax withholdingCommon	196	$28.50	$5,586.00	Disclosure SEC source: 0000018230-09-000131 · edgar.xml · nonDerivative · entry 1 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,353 F4 · kind: Amount reflects shares sold to satisfy tax withholding requirements upon the vesting of previously restricted stock. F1 · balance_after: This amount includes 12,157 shares in 401K and 77 shares in dividend reinvestment. Read SEC document
March 31, 2009 Filed Apr 1, 2009 16:07 UTC	CATERPILLAR INC CAT · Entity 2808	GrantPhantom Stock Units · Derivative	110	$0.00	$0.00	Disclosure SEC source: 0000018230-09-000111 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,864 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
March 06, 2009 Filed Mar 10, 2009 15:52 UTC	CATERPILLAR INC CAT · Entity 2808	GrantPhantom Stock Units · Derivative	3,631	$0.00	$0.00	Disclosure SEC source: 0000018230-09-000106 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,754 Underlying: Common · 3,631 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document
March 02, 2009 Filed Mar 3, 2009 22:02 UTC	CATERPILLAR INC CAT · Entity 2808	GrantRestricted Stock Units · Derivative	6,561	$0.00	$0.00	Disclosure SEC source: 0000018230-09-000079 · edgar.xml · derivative · entry 5 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,561 Underlying: Common · 6,561 shares Expires not disclosed F5 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Caterpillar common stock. F4 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 2, 2012. F4 · derivative.expiration_date: The restricted stock units and stock appreciation rights vest on March 2, 2012. Read SEC document
March 02, 2009 Filed Mar 3, 2009 22:02 UTC	CATERPILLAR INC CAT · Entity 2808	GrantStock Appreciation Rights · Derivative	148,722	$0.00 Strike: $22.17	$0.00	Disclosure SEC source: 0000018230-09-000079 · edgar.xml · derivative · entry 4 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 148,722 Underlying: Common · 148,722 shares Expires 2019-03-02 F4 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 2, 2012. Read SEC document
March 02, 2009 Filed Mar 3, 2009 22:02 UTC	CATERPILLAR INC CAT · Entity 2808	Tax withholdingCommon	99	$23.09	$2,285.91	Disclosure SEC source: 0000018230-09-000079 · edgar.xml · nonDerivative · entry 1 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,540 F6 · kind: Amount reflects shares sold to satisfy tax withholding requirements upon the vesting of previously restricted stock. F1 · balance_after: This amount includes 11,148 shares in 401K and 77 shares in dividend reinvestment. Read SEC document
February 27, 2009 Filed Mar 3, 2009 22:02 UTC	CATERPILLAR INC CAT · Entity 2808	GrantPhantom Stock Units · Derivative	2,376	$0.00	$0.00	Disclosure SEC source: 0000018230-09-000079 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,123 Underlying: Common · 2,376 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 30, 2009 Filed Feb 2, 2009 18:42 UTC	CATERPILLAR INC CAT · Entity 2808	GrantPhantom Stock Units · Derivative	100	$0.00	$0.00	Disclosure SEC source: 0000018230-09-000045 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,847 Underlying: Common · 100 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document
December 31, 2008 Filed Jan 5, 2009 17:26 UTC	CATERPILLAR INC CAT · Entity 2808	GrantPhantom Stock Units · Derivative	273	$0.00	$0.00	Disclosure SEC source: 0000018230-09-000018 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,747 Underlying: Common · 273 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document
November 28, 2008 Filed Dec 1, 2008 16:19 UTC	CATERPILLAR INC CAT · Entity 2808	GrantPhantom Stock Units · Derivative	142	$0.00	$0.00	Disclosure SEC source: 0000018230-08-000420 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,474 Underlying: Common · 142 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document
October 31, 2008 Filed Nov 3, 2008 17:17 UTC	CATERPILLAR INC CAT · Entity 2808	GrantPhantom Stock Units · Derivative	153	$0.00	$0.00	Disclosure SEC source: 0000018230-08-000393 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,332 Underlying: Common · 153 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document
September 30, 2008 Filed Oct 1, 2008 16:01 UTC	CATERPILLAR INC CAT · Entity 2808	GrantPhantom Stock Units · Derivative	90	$0.00	$0.00	Disclosure SEC source: 0000018230-08-000347 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,110 Underlying: Common · 90 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 29, 2008 Filed Sep 2, 2008 21:48 UTC	CATERPILLAR INC CAT · Entity 2808	GrantPhantom Stock Units · Derivative	82	$0.00	$0.00	Disclosure SEC source: 0000018230-08-000319 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,020 Underlying: Common · 82 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document
July 31, 2008 Filed Aug 1, 2008 18:06 UTC	CATERPILLAR INC CAT · Entity 2808	GrantPhantom Stock Units · Derivative	84	$0.00	$0.00	Disclosure SEC source: 0000018230-08-000292 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,938 Underlying: Common · 84 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document
June 30, 2008 Filed Jul 1, 2008 16:32 UTC	CATERPILLAR INC CAT · Entity 2808	GrantPhantom Stock Units · Derivative	983	$0.00	$0.00	Disclosure SEC source: 0000018230-08-000257 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,854 Underlying: Common · 983 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document
May 30, 2008 Filed Jun 2, 2008 18:53 UTC	CATERPILLAR INC CAT · Entity 2808	GrantPhantom Stock Units · Derivative	19	$0.00	$0.00	Disclosure SEC source: 0000018230-08-000213 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,871 Underlying: Common · 19 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 07, 2008 Filed May 8, 2008 16:09 UTC	CATERPILLAR INC CAT · Entity 2808	OtherPhantom Stock Units · Derivative	2,419	$0.00 Strike: $81.63	$0.00	Disclosure SEC source: 0000018230-08-000193 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,852 Underlying: Common · 6,852 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, 2008 Filed Apr 29, 2008 20:40 UTC	CATERPILLAR INC CAT · Entity 2808	Exercise / conversionEmployee Stock Option · Derivative	3,208	$0.00 Strike: $31.17	$0.00	Disclosure SEC source: 0000018230-08-000165 · edgar.xml · derivative · entry 7 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 3,208 shares Expires 2009-06-08 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
April 29, 2008 Filed Apr 29, 2008 20:40 UTC	CATERPILLAR INC CAT · Entity 2808	Exercise / conversionEmployee Stock Option · Derivative	3,500	$0.00 Strike: $31.17	$0.00	Disclosure SEC source: 0000018230-08-000165 · edgar.xml · derivative · entry 6 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 3,500 shares Expires 2009-06-08 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
April 29, 2008 Filed Apr 29, 2008 20:40 UTC	CATERPILLAR INC CAT · Entity 2808	Exercise / conversionCommon	3,208	$31.17	$99,999.46	Disclosure SEC source: 0000018230-08-000165 · edgar.xml · nonDerivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,081 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 · balance_after: This amount includes 10,687 shares in 401K and 26 shares in dividend reinvestment. Read SEC document
April 29, 2008 Filed Apr 29, 2008 20:40 UTC	CATERPILLAR INC CAT · Entity 2808	SaleCommon	3,500	$81.94	$286,773.20	Disclosure SEC source: 0000018230-08-000165 · edgar.xml · nonDerivative · entry 2 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,873 Read SEC document
April 29, 2008 Filed Apr 29, 2008 20:40 UTC	CATERPILLAR INC CAT · Entity 2808	Exercise / conversionCommon	3,500	$31.17	$109,101.65	Disclosure SEC source: 0000018230-08-000165 · edgar.xml · nonDerivative · entry 1 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,373 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document
April 01, 2008 Filed Apr 2, 2008 19:40 UTC	CATERPILLAR INC CAT · Entity 2808	GrantCommon	1,000	$79.40	$79,395.00	Disclosure SEC source: 0000018230-08-000140 · edgar.xml · nonDerivative · entry 2 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,873 F5 · kind: Restricted stock awarded pursuant to Caterpillar Inc. 2006 Long-Term Incentive Plan. F1 · balance_after: This amount includes 10,687 shares in 401K and 26 shares in dividend reinvestment. Read SEC document
April 01, 2008 Filed Apr 2, 2008 19:40 UTC	CATERPILLAR INC CAT · Entity 2808	Tax withholdingCommon	264	$79.40	$20,960.28	Disclosure SEC source: 0000018230-08-000140 · edgar.xml · nonDerivative · entry 1 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,873 F4 · kind: Amount reflects shares sold to satisfy tax withholding requirements upon the vesting of previously restricted stock. Read SEC document
March 03, 2008 Filed Mar 4, 2008 20:40 UTC	CATERPILLAR INC CAT · Entity 2808	GrantRestricted Stock Units · Derivative	4,109	$0.00	$0.00	Disclosure SEC source: 0000018230-08-000094 · edgar.xml · derivative · entry 6 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,109 Underlying: Common · 4,109 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 3, 2011. F4 · derivative.expiration_date: The restricted stock units and stock appreciation rights vest on March 3, 2011. Read SEC document
March 03, 2008 Filed Mar 4, 2008 20:40 UTC	CATERPILLAR INC CAT · Entity 2808	GrantStock Appreciation Rights · Derivative	111,294	$0.00 Strike: $73.20	$0.00	Disclosure SEC source: 0000018230-08-000094 · edgar.xml · derivative · entry 5 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 111,294 Underlying: Common · 111,294 shares Expires 2018-03-03 F4 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 3, 2011. Read SEC document
March 03, 2008 Filed Mar 4, 2008 20:40 UTC	CATERPILLAR INC CAT · Entity 2808	Tax withholdingCommon	250	$72.92	$18,230.00	Disclosure SEC source: 0000018230-08-000094 · edgar.xml · nonDerivative · entry 2 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,778 F6 · kind: Amount reflects shares sold to satisfy tax withholding requirements upon the vesting of previously restricted stock. F1 · balance_after: This amount includes 10,328 shares in 401K and 26 shares in dividend reinvestment. Read SEC document
March 03, 2008 Filed Mar 4, 2008 20:40 UTC	CATERPILLAR INC CAT · Entity 2808	Tax withholdingCommon	132	$72.92	$9,625.44	Disclosure SEC source: 0000018230-08-000094 · edgar.xml · nonDerivative · entry 1 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,028 F6 · kind: Amount reflects shares sold to satisfy tax withholding requirements upon the vesting of previously restricted stock. Read SEC document
January 31, 2006 Filed Feb 1, 2006 22:47 UTC	CATERPILLAR INC CAT · Entity 2808	Exercise / conversionEmployee Stock Option · Derivative	3,868	$0.00 Strike: $25.83	$0.00	Disclosure SEC source: 0000018230-06-000087 · edgar.xml · derivative · entry 7 LAVIN RICHARD P · CIK 0001171774 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 3,868 shares Expires 2007-06-10 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: (Right to buy) with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document
January 31, 2006 Filed Feb 1, 2006 22:47 UTC	CATERPILLAR INC CAT · Entity 2808	Exercise / conversionEmployee Stock Option · Derivative	7,332	$0.00 Strike: $25.83	$0.00	Disclosure SEC source: 0000018230-06-000087 · edgar.xml · derivative · entry 6 LAVIN RICHARD P · CIK 0001171774 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 7,332 shares Expires 2007-06-10 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: (Right to buy) with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document
January 31, 2006 Filed Feb 1, 2006 22:47 UTC	CATERPILLAR INC CAT · Entity 2808	Tax withholdingCommon	1,482	$67.41	$99,894.21	Disclosure SEC source: 0000018230-06-000087 · edgar.xml · nonDerivative · entry 4 LAVIN RICHARD P · CIK 0001171774 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,461 F1 · balance_after: This amount includes 8955 shares in 401K, 3559 shares in SEIP and 751 shares in dividend reinvestment. Read SEC document
January 31, 2006 Filed Feb 1, 2006 22:47 UTC	CATERPILLAR INC CAT · Entity 2808	Exercise / conversionCommon	3,868	$25.83	$99,903.09	Disclosure SEC source: 0000018230-06-000087 · edgar.xml · nonDerivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,943 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, 2006 Filed Feb 1, 2006 22:47 UTC	CATERPILLAR INC CAT · Entity 2808	SaleCommon	7,332	$67.21	$492,816.71	Disclosure SEC source: 0000018230-06-000087 · edgar.xml · nonDerivative · entry 2 LAVIN RICHARD P · CIK 0001171774 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,075 Read SEC document
January 31, 2006 Filed Feb 1, 2006 22:47 UTC	CATERPILLAR INC CAT · Entity 2808	Exercise / conversionCommon	7,332	$25.83	$189,371.63	Disclosure SEC source: 0000018230-06-000087 · edgar.xml · nonDerivative · entry 1 LAVIN RICHARD P · CIK 0001171774 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,407 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document
August 02, 2005 Filed Aug 3, 2005 13:22 UTC	CATERPILLAR INC CAT · Entity 2808	GiftCommon	2,000	$0.00	$0.00	Disclosure SEC source: 0000018230-05-000546 · edgar.xml · nonDerivative · entry 1 LAVIN RICHARD P · CIK 0001171774 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,382 F1 · balance_after: This amount includes 8848 shares in 401K, 3056 shares in SEIP and 668 shares in dividend reinvestment. F2 · balance_after: On July 14, 2005, the common stock of Caterpillar Inc. split 2-for-1, resulting in the reporting person's acquisition of 9405 additional shares of common stock. Read SEC document
March 01, 2005 Filed Mar 3, 2005 15:41 UTC	CATERPILLAR INC CAT · Entity 2808	Tax withholdingCommon	244	$96.02	$23,428.88	Disclosure SEC source: 0000018230-05-000260 · edgar.xml · nonDerivative · entry 2 LAVIN RICHARD P · CIK 0001171774 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,127 F3 · kind: Amount reflects shares sold to satisfy tax withholding requirements upon the vesting of previously restricted stock. F1 · balance_after: This amount includes 3,987 shares in 401K, 1439 shares in SEIP and 296 shares in dividend reinvestment. Read SEC document
March 01, 2005 Filed Mar 3, 2005 15:41 UTC	CATERPILLAR INC CAT · Entity 2808	GrantCommon	500	$96.02	$48,010.00	Disclosure SEC source: 0000018230-05-000260 · edgar.xml · nonDerivative · entry 1 LAVIN RICHARD P · CIK 0001171774 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,371 F2 · kind: Restricted stock awarded pursuant to Caterpillar Inc. 1996 Stock Option and Long-Term Incentive Plan. Read SEC document
February 18, 2005 Filed Feb 22, 2005 17:43 UTC	CATERPILLAR INC CAT · Entity 2808	OtherOption (NQ) · Derivative	35,000	$0.00 Strike: $91.29	$0.00	Disclosure SEC source: 0000018230-05-000172 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,000 Underlying: Common · 35,000 shares Expires 2015-02-18 F2 · security: This option was granted with attached tax withholding rights. F3 · kind: Grant to reporting person of option to buy 35,000 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable immediately. F3 · price: Grant to reporting person of option to buy 35,000 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable immediately. F3 · derivative.exercise_date: Grant to reporting person of option to buy 35,000 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable immediately. Read SEC document
February 07, 2005 Filed Feb 8, 2005 14:10 UTC	CATERPILLAR INC CAT · Entity 2808	Exercise / conversionEmployee Stock Option · Derivative	1,250	$0.00 Strike: $53.53	$0.00	Disclosure SEC source: 0000018230-05-000119 · edgar.xml · derivative · entry 4 LAVIN RICHARD P · CIK 0001171774 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 1,250 shares Expires 2011-06-12 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: (Right to Buy) with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document
February 07, 2005 Filed Feb 8, 2005 14:10 UTC	CATERPILLAR INC CAT · Entity 2808	SaleCommon	1,250	$91.90	$114,875.00	Disclosure SEC source: 0000018230-05-000119 · edgar.xml · nonDerivative · entry 2 LAVIN RICHARD P · CIK 0001171774 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,871 F1 · balance_after: This amount includes 3,987 shares in 401K, 1439 shares in SEIP and 296 shares in dividend reinvestment. Read SEC document
February 07, 2005 Filed Feb 8, 2005 14:10 UTC	CATERPILLAR INC CAT · Entity 2808	Exercise / conversionCommon	1,250	$53.53	$66,912.50	Disclosure SEC source: 0000018230-05-000119 · edgar.xml · nonDerivative · entry 1 LAVIN RICHARD P · CIK 0001171774 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,121 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 01, 2005 Filed Feb 2, 2005 15:17 UTC	CATERPILLAR INC CAT · Entity 2808	Exercise / conversionEmployee Stock Option · Derivative	9,000	$0.00 Strike: $53.53	$0.00	Disclosure SEC source: 0000018230-05-000074 · edgar.xml · derivative · entry 4 LAVIN RICHARD P · CIK 0001171774 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 9,000 shares Expires 2011-06-12 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: (Right to Buy) with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document
February 01, 2005 Filed Feb 2, 2005 15:17 UTC	CATERPILLAR INC CAT · Entity 2808	SaleCommon	9,000	$89.51	$805,590.00	Disclosure SEC source: 0000018230-05-000074 · edgar.xml · nonDerivative · entry 2 LAVIN RICHARD P · CIK 0001171774 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,871 F1 · balance_after: This amount includes 3,987 shares in 401K, 1439 shares in SEIP and 296 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.