CATERPILLAR INC — Insider Transactions
Form 4 filings by directors, officers, and 10%+ shareholders
SEC rules require corporate insiders — including directors, executive officers, and any shareholder owning more than 10% of a company's shares — to report changes in their ownership within two business days of a transaction. These disclosures are filed as Form 4. Open-market purchases (code P) are generally considered the most meaningful signal, as insiders are spending their own money.
| Insider | Title | Type | Shares | Price | Value | Owns After | Date |
|---|---|---|---|---|---|---|---|
| LAVIN RICHARD P | Group President | Award / Grant | 1,000 | $79.40 | $79,400 | 34,873 | Apr 1, 2008 |
| RAPP EDWARD J | Group President | Tax Withholding | 264 | $79.40 | $20,962 | 35,714 | Apr 1, 2008 |
| OBERHELMAN DOUGLAS R | Group President | Tax Withholding | 790 | $79.40 | $62,726 | 84,485 | Apr 1, 2008 |
| BUDA JAMES B | VP, General Counsel, Secy. | Tax Withholding | 264 | $79.40 | $20,962 | 34,270 | Apr 1, 2008 |
| POWELL CHARLES D | — | Award / Grant | 19 | $77.81 | $1,478 | 5,068 | Mar 31, 2008 |
| WUNNING STEVEN H | Group President | Gift | 272 | — | — | 53,478 | Mar 14, 2008 |
| RAPP EDWARD J | Group President | Option Exercise | 3,590 | $27.84 | $99,946 | 37,266 | Mar 13, 2008 |
| OWENS JAMES W | Chairman of the Board/CEO | Tax Withholding | 2,631 | $72.92 | $191,853 | 187,452 | Mar 3, 2008 |
| LAVIN RICHARD P | Group President | Tax Withholding | 250 | $72.92 | $18,230 | 33,778 | Mar 3, 2008 |
| OBERHELMAN DOUGLAS R | Group President | Tax Withholding | 264 | $72.92 | $19,251 | 84,717 | Mar 3, 2008 |
| POWELL CHARLES D | — | Award / Grant | 19 | $73.15 | $1,390 | 5,049 | Feb 29, 2008 |
| GOODE DAVID R | — | Option Exercise | 8,000 | $27.19 | $217,520 | 46,675 | Feb 22, 2008 |
| OBERHELMAN DOUGLAS R | Group President | Gift | 425 | — | — | 84,981 | Feb 14, 2008 |
| GALLARDO JUAN | — | Option Exercise | 8,000 | $27.19 | $217,520 | 212,110 | Feb 6, 2008 |
| BLOUNT W FRANK | — | Tax Withholding | 3,126 | $69.57 | $217,476 | 17,304 | Jan 31, 2008 |
| WUNNING STEVEN H | Group President | Gift | 200 | — | — | 276 | Jan 31, 2008 |
| POWELL CHARLES D | — | Award / Grant | 20 | $69.57 | $1,391 | 5,012 | Jan 31, 2008 |
| POWELL CHARLES D | — | Award / Grant | 19 | $73.06 | $1,388 | 4,992 | Dec 31, 2007 |
| OBERHELMAN DOUGLAS R | Group President | Gift | 2,230 | — | — | 84,704 | Dec 24, 2007 |
| OWENS JAMES W | Chairman of the Board/CEO | Gift | 2,400 | — | — | 2,400 | Dec 12, 2007 |
| POWELL CHARLES D | — | Award / Grant | 20 | $72.32 | $1,446 | 4,951 | Nov 30, 2007 |
| OBERHELMAN DOUGLAS R | Group President | Option Exercise | 19,000 | $27.84 | $528,960 | 96,713 | Nov 29, 2007 |
| FOSLER GAIL D | — | Option Exercise | 4,000 | $26.03 | $104,120 | 6,000 | Nov 28, 2007 |
| POWELL CHARLES D | — | Award / Grant | 19 | $74.28 | $1,411 | 4,931 | Oct 31, 2007 |
| SMITH JOSHUA T | — | Option Exercise | 5,000 | $28.78 | $143,900 | 21,155 | Oct 30, 2007 |
| OSBORN WILLIAM A | — | Option Exercise | 8,000 | $22.76 | $182,080 | 16,626 | Oct 24, 2007 |
| LEVENICK STUART L | Group President | Option Exercise | 48,000 | $26.77 | $1,284,960 | 90,053 | Oct 2, 2007 |
| POWELL CHARLES D | — | Award / Grant | 18 | $78.22 | $1,408 | 4,912 | Sep 28, 2007 |
| POWELL CHARLES D | — | Award / Grant | 18 | $75.75 | $1,364 | 4,874 | Aug 31, 2007 |
| DILLON JOHN T | — | Sale | 8,000 | $79.51 | $636,080 | 18,035 | Aug 7, 2007 |
| BURRITT DAVID B | V.P./Chief Financial Officer | Gift | 3,825 | — | — | 29,801 | Aug 6, 2007 |
| POWELL CHARLES D | — | Award / Grant | 18 | $78.79 | $1,418 | 4,838 | Jul 31, 2007 |
| Halverson Bradley M | Controller | Gift | 1,500 | — | — | 10,768 | Jul 31, 2007 |
| Halverson Bradley M | Controller | Sale | 1,500 | $80.18 | $120,270 | 9,049 | Jul 25, 2007 |
| POWELL CHARLES D | — | Award / Grant | 18 | $78.45 | $1,412 | 4,820 | Jun 29, 2007 |
| VITTECOQ GERARD R | Group President | Option Exercise | 19,360 | $31.17 | $603,451 | 89,663 | Jun 20, 2007 |
| OBERHELMAN DOUGLAS R | Group President | Option Exercise | 18,132 | $25.83 | $468,350 | 86,694 | Jun 1, 2007 |
| POWELL CHARLES D | — | Award / Grant | 17 | $78.39 | $1,333 | 4,802 | May 31, 2007 |
| OWENS JAMES W | Chairman of the Board/CEO | Gift | 2,069 | — | — | 193,031 | May 24, 2007 |
| LEVENICK STUART L | Group President | Tax Withholding | 8,827 | $75.71 | $668,292 | 38,910 | May 14, 2007 |
| OBERHELMAN DOUGLAS R | Group President | Tax Withholding | 12,021 | $75.71 | $910,110 | 68,562 | May 14, 2007 |
| BURRITT DAVID B | V.P./Chief Financial Officer | Gift | 300 | — | — | 23,990 | May 7, 2007 |
| POWELL CHARLES D | — | Award / Grant | 20 | $73.21 | $1,464 | 4,785 | Apr 30, 2007 |
| OWENS JAMES W | Chairman of the Board/CEO | Option Exercise | 96,410 | $27.84 | $2,684,054 | 253,185 | Apr 26, 2007 |
| SMITH JOSHUA T | — | Tax Withholding | 2,980 | $72.98 | $217,480 | 15,875 | Apr 26, 2007 |
| MAGOWAN PETER A | — | Option Exercise | 8,000 | $19.59 | $156,720 | 271,419 | Apr 4, 2007 |
| BUDA JAMES B | VP, General Counsel, Secy. | Tax Withholding | 197 | $66.59 | $13,118 | 33,008 | Apr 2, 2007 |
| OBERHELMAN DOUGLAS R | Group President | Tax Withholding | 590 | $66.59 | $39,288 | 59,988 | Apr 2, 2007 |
| OWENS JAMES W | Chairman of the Board/CEO | Award / Grant | 5,000 | $66.59 | $332,950 | 156,775 | Apr 2, 2007 |
| POWELL CHARLES D | — | Award / Grant | 20 | $67.17 | $1,343 | 4,765 | Mar 30, 2007 |