Douglas R Oberhelman
CIK 1171770 · View on SEC EDGAR ↗
Insider
First SEC filing: April 3, 2017 · Latest: April 3, 2017
On this page
- Insider at Companies where this person is a reporting insider.
- Insider transactions Every share this person bought or sold, from Form 4 filings.
- Derivatives Options and other derivative holdings reported by this person.
- Initial holdings The stakes this person held when they first started reporting.
- Compensation Executive pay disclosed in company proxy statements.
Insider at
Insider transactions
0 buys (P)
0 sells (S)
Net:
$0
+ 100 non-open-market transactions below
last 12 months, based on the transactions shown below
Price change vs current quote, split-adjusted for corporate actions since the filing — not benchmarked, not annualized, not size-weighted
No open-market trades on record; showing all filings.
| Date | Ticker | Code | Shares | Price | Value | Owned after | Δ own | A/D | vs now |
|---|---|---|---|---|---|---|---|---|---|
| Jan. 4, 2021 | XOM | A | 2,500 | — | — | 23,000 Direct | +12.20% | Acquired | |
| Jan. 2, 2020 | XOM | A | 2,500 | — | — | 20,500 Direct | +13.89% | Acquired | |
| Jan. 2, 2019 | XOM | A | 2,500 | — | — | 18,000 Direct | +16.13% | Acquired | |
| Jan. 2, 2018 | XOM | A | 2,500 | — | — | 15,500 Direct | +19.23% | Acquired | |
| March 31, 2017 | CAT | A | 126 | $92.76 | $11,688 | 72,355 Direct | +0.17% | Acquired | 788.2% (price as of 2026-08-21) |
| March 10, 2017 | CAT | A | 505 | $92.31 | $46,617 | 72,229 Direct | +0.70% | Acquired | 792.6% (price as of 2026-08-21) |
| Jan. 20, 2017 | CAT | M | 100,000 | — | — | 66,252 Direct | -60.15% | Disposed | (price as of 2026-08-21) |
| Jan. 20, 2017 | CAT | M | 60,000 | — | — | 0 Direct | -100.00% | Disposed | (price as of 2026-08-21) |
| Jan. 20, 2017 | CAT | F | 34,958 | $94.31 | $3,296,889 | 209,523 Direct | -14.30% | Disposed | 773.6% (price as of 2026-08-21) |
| Jan. 20, 2017 | CAT | D | 23,507 | $94.31 | $2,216,945 | 244,481 Direct | -8.77% | Disposed | 773.6% (price as of 2026-08-21) |
| Jan. 20, 2017 | CAT | M | 100,000 | $22.17 | $2,217,000 | 267,988 Direct | +59.53% | Acquired | 3616.4% (price as of 2026-08-21) |
| Jan. 20, 2017 | CAT | F | 4,584 | $94.31 | $432,317 | 167,988 Direct | -2.66% | Disposed | 773.6% (price as of 2026-08-21) |
| Jan. 20, 2017 | CAT | D | 46,569 | $94.31 | $4,391,922 | 172,572 Direct | -21.25% | Disposed | 773.6% (price as of 2026-08-21) |
| Jan. 20, 2017 | CAT | M | 60,000 | $73.20 | $4,392,000 | 219,141 Direct | +37.70% | Acquired | 1025.6% (price as of 2026-08-21) |
| Jan. 3, 2017 | XOM | A | 2,500 | — | — | 13,000 Direct | +23.81% | Acquired | |
| Dec. 30, 2016 | CAT | A | 129 | $92.74 | $11,963 | 71,724 Direct | +0.18% | Acquired | 788.4% (price as of 2026-08-21) |
| Nov. 30, 2016 | CAT | A | 126 | $95.56 | $12,041 | 71,595 Direct | +0.18% | Acquired | 762.2% (price as of 2026-08-21) |
| Nov. 10, 2016 | CAT | M | 55,484 | — | — | 60,000 Direct | -48.04% | Disposed | (price as of 2026-08-21) |
| Nov. 10, 2016 | CAT | F | 5,483 | $93.40 | $512,112 | 197,109 Direct | -2.71% | Disposed | 782.1% (price as of 2026-08-21) |
| Nov. 10, 2016 | CAT | D | 43,486 | $93.40 | $4,061,592 | 202,592 Direct | -17.67% | Disposed | 782.1% (price as of 2026-08-21) |
| Nov. 10, 2016 | CAT | M | 55,484 | $73.20 | $4,061,429 | 246,078 Direct | +29.11% | Acquired | 1025.6% (price as of 2026-08-21) |
| Oct. 31, 2016 | CAT | A | 144 | $83.46 | $12,018 | 71,469 Direct | +0.20% | Acquired | 887.2% (price as of 2026-08-21) |
| Sept. 30, 2016 | CAT | A | 135 | $88.77 | $11,984 | 71,325 Direct | +0.19% | Acquired | 828.2% (price as of 2026-08-21) |
| Sept. 2, 2016 | CAT | G | 6,013 | — | — | 190,594 Direct | -3.06% | Disposed | (price as of 2026-08-21) |
| Aug. 31, 2016 | CAT | A | 147 | $81.95 | $12,047 | 71,190 Direct | +0.21% | Acquired | 905.4% (price as of 2026-08-21) |
| Aug. 9, 2016 | CAT | G | 32 | — | — | 196,607 Direct | -0.02% | Disposed | (price as of 2026-08-21) |
| July 29, 2016 | CAT | A | 145 | $82.76 | $12,000 | 71,043 Direct | +0.20% | Acquired | 895.6% (price as of 2026-08-21) |
| July 22, 2016 | CAT | G | 1,800 | — | — | 196,639 Direct | -0.91% | Disposed | (price as of 2026-08-21) |
| June 30, 2016 | CAT | A | 159 | $75.81 | $12,054 | 70,898 Direct | +0.22% | Acquired | 986.8% (price as of 2026-08-21) |
| May 31, 2016 | CAT | A | 165 | $72.51 | $11,964 | 70,739 Direct | +0.23% | Acquired | 1036.3% (price as of 2026-08-21) |
| May 3, 2016 | CAT | G | 67 | — | — | 198,439 Direct | -0.03% | Disposed | (price as of 2026-08-21) |
| April 29, 2016 | CAT | A | 154 | $77.72 | $11,969 | 70,574 Direct | +0.22% | Acquired | 960.1% (price as of 2026-08-21) |
| April 6, 2016 | CAT | G | 133 | — | — | 198,506 Direct | -0.07% | Disposed | (price as of 2026-08-21) |
| March 31, 2016 | CAT | A | 157 | $76.54 | $12,017 | 70,420 Direct | +0.22% | Acquired | 976.5% (price as of 2026-08-21) |
| March 18, 2016 | CAT | M | 50,884 | — | — | 0 Direct | -100.00% | Disposed | (price as of 2026-08-21) |
| March 18, 2016 | CAT | G | 1,847 | — | — | 198,639 Direct | -0.92% | Disposed | (price as of 2026-08-21) |
| March 18, 2016 | CAT | F | 3,912 | $75.79 | $296,490 | 200,486 Direct | -1.91% | Disposed | 987.1% (price as of 2026-08-21) |
| March 18, 2016 | CAT | D | 42,323 | $75.79 | $3,207,660 | 204,398 Direct | -17.15% | Disposed | 987.1% (price as of 2026-08-21) |
| March 18, 2016 | CAT | M | 50,884 | $63.04 | $3,207,727 | 246,721 Direct | +25.98% | Acquired | 1207.0% (price as of 2026-08-21) |
| March 7, 2016 | CAT | A | 349,749 | — | — | 349,749 Direct | — | Acquired | (price as of 2026-08-21) |
| March 4, 2016 | CAT | M | 75,000 | — | — | 50,884 Direct | -59.58% | Disposed | (price as of 2026-08-21) |
| March 4, 2016 | CAT | F | 4,220 | $72.75 | $307,005 | 195,837 Direct | -2.11% | Disposed | 1032.5% (price as of 2026-08-21) |
| March 4, 2016 | CAT | D | 64,990 | $72.75 | $4,728,022 | 200,057 Direct | -24.52% | Disposed | 1032.5% (price as of 2026-08-21) |
| March 4, 2016 | CAT | M | 75,000 | $63.04 | $4,728,000 | 265,047 Direct | +39.46% | Acquired | 1207.0% (price as of 2026-08-21) |
| Feb. 29, 2016 | CAT | A | 2 | $67.70 | $135 | 70,263 Direct | 0.00% | Acquired | 1117.0% (price as of 2026-08-21) |
| Jan. 4, 2016 | XOM | A | 2,500 | — | — | 10,500 Direct | +31.25% | Acquired | |
| Dec. 31, 2015 | CAT | A | 177 | $67.96 | $12,029 | 70,261 Direct | +0.25% | Acquired | 1112.4% (price as of 2026-08-21) |
| Nov. 30, 2015 | CAT | A | 165 | $72.65 | $11,987 | 70,084 Direct | +0.24% | Acquired | 1034.1% (price as of 2026-08-21) |
| Oct. 30, 2015 | CAT | A | 165 | $72.99 | $12,043 | 69,919 Direct | +0.24% | Acquired | 1028.8% (price as of 2026-08-21) |
| Oct. 26, 2015 | CAT | G | 3,765 | — | — | 190,032 Direct | -1.94% | Disposed | (price as of 2026-08-21) |
| Sept. 30, 2015 | CAT | A | 183 | $65.36 | $11,961 | 69,754 Direct | +0.26% | Acquired | 1160.6% (price as of 2026-08-21) |
| Aug. 31, 2015 | CAT | A | 157 | $76.44 | $12,001 | 69,571 Direct | +0.23% | Acquired | 977.9% (price as of 2026-08-21) |
| July 31, 2015 | CAT | A | 153 | $78.63 | $12,030 | 69,414 Direct | +0.22% | Acquired | 947.8% (price as of 2026-08-21) |
| June 30, 2015 | CAT | A | 141 | $84.82 | $11,960 | 69,261 Direct | +0.20% | Acquired | 871.4% (price as of 2026-08-21) |
| June 25, 2015 | CAT | G | 827 | — | — | 193,797 Direct | -0.42% | Disposed | (price as of 2026-08-21) |
| June 24, 2015 | CAT | G | 627 | — | — | 194,624 Direct | -0.32% | Disposed | (price as of 2026-08-21) |
| May 29, 2015 | CAT | A | 141 | $85.32 | $12,030 | 69,120 Direct | +0.20% | Acquired | 865.7% (price as of 2026-08-21) |
| May 27, 2015 | XOM | A | 8,000 | — | — | 8,000 Direct | — | Acquired | |
| April 30, 2015 | CAT | A | 138 | $86.88 | $11,989 | 68,979 Direct | +0.20% | Acquired | 848.3% (price as of 2026-08-21) |
| April 24, 2015 | CAT | G | 2,700 | — | — | 195,251 Direct | -1.36% | Disposed | (price as of 2026-08-21) |
| March 31, 2015 | CAT | A | 150 | $80.03 | $12,004 | 66,908 Direct | +0.22% | Acquired | 929.5% (price as of 2026-08-21) |
| March 11, 2015 | CAT | A | 4,517 | $79.70 | $360,005 | 66,758 Direct | +7.26% | Acquired | 933.8% (price as of 2026-08-21) |
| March 2, 2015 | CAT | A | 413,776 | — | — | 413,776 Direct | — | Acquired | (price as of 2026-08-21) |
| Feb. 27, 2015 | CAT | A | 2 | $82.90 | $166 | 62,241 Direct | 0.00% | Acquired | 893.9% (price as of 2026-08-21) |
| Dec. 31, 2014 | CAT | A | 130 | $92.59 | $12,037 | 62,239 Direct | +0.21% | Acquired | 789.9% (price as of 2026-08-21) |
| Nov. 28, 2014 | LLY | A | 2,155 | $67.29 | $145,010 | 22,675 Direct | +10.50% | Acquired | 1757.6% (price as of 2026-08-21) |
| Nov. 28, 2014 | CAT | A | 119 | $100.60 | $11,971 | 62,109 Direct | +0.19% | Acquired | 719.0% (price as of 2026-08-21) |
| Nov. 24, 2014 | CAT | M | 70,000 | — | — | 0 Direct | — | Acquired | (price as of 2026-08-21) |
| Nov. 24, 2014 | CAT | G | 6,099 | — | — | 229,894 Direct | -2.58% | Disposed | (price as of 2026-08-21) |
| Nov. 24, 2014 | CAT | F | 48,888 | $105.78 | $5,171,373 | 235,993 Direct | -17.16% | Disposed | 678.9% (price as of 2026-08-21) |
| Nov. 24, 2014 | CAT | M | 70,000 | $45.64 | $3,194,800 | 284,881 Direct | +32.58% | Acquired | 1705.3% (price as of 2026-08-21) |
| Oct. 31, 2014 | CAT | A | 118 | $101.41 | $11,966 | 61,990 Direct | +0.19% | Acquired | 712.5% (price as of 2026-08-21) |
| Oct. 24, 2014 | CAT | M | 70,000 | — | — | 70,000 Direct | — | Acquired | (price as of 2026-08-21) |
| Oct. 24, 2014 | CAT | F | 49,982 | $99.02 | $4,949,218 | 225,847 Direct | -18.12% | Disposed | 732.1% (price as of 2026-08-21) |
| Oct. 24, 2014 | CAT | M | 70,000 | $45.64 | $3,194,800 | 275,829 Direct | +34.01% | Acquired | 1705.3% (price as of 2026-08-21) |
| Sept. 30, 2014 | CAT | A | 121 | $99.03 | $11,983 | 61,872 Direct | +0.20% | Acquired | 732.0% (price as of 2026-08-21) |
| Aug. 29, 2014 | CAT | A | 110 | $109.07 | $11,998 | 61,751 Direct | +0.18% | Acquired | 655.4% (price as of 2026-08-21) |
| July 31, 2014 | CAT | A | 119 | $108.67 | $12,932 | 61,641 Direct | +0.19% | Acquired | 658.2% (price as of 2026-08-21) |
| June 30, 2014 | CAT | A | 110 | $108.67 | $11,954 | 61,522 Direct | +0.18% | Acquired | 658.2% (price as of 2026-08-21) |
| June 6, 2014 | CAT | G | 12,000 | — | — | 214,881 Direct | -5.29% | Disposed | (price as of 2026-08-21) |
| May 30, 2014 | CAT | A | 117 | $102.23 | $11,961 | 61,412 Direct | +0.19% | Acquired | 705.9% (price as of 2026-08-21) |
| April 30, 2014 | CAT | A | 114 | $105.40 | $12,016 | 60,258 Direct | +0.19% | Acquired | 681.7% (price as of 2026-08-21) |
| April 11, 2014 | CAT | G | 1,046 | — | — | 205,829 Direct | -0.51% | Disposed | (price as of 2026-08-21) |
| March 31, 2014 | CAT | A | 121 | $99.37 | $12,024 | 60,144 Direct | +0.20% | Acquired | 729.1% (price as of 2026-08-21) |
| March 3, 2014 | CAT | A | 283,790 | — | — | 283,790 Direct | — | Acquired | (price as of 2026-08-21) |
| Feb. 28, 2014 | CAT | A | 6 | $96.97 | $582 | 60,023 Direct | +0.01% | Acquired | 749.7% (price as of 2026-08-21) |
| Jan. 31, 2014 | CAT | M | 140,000 | — | — | 0 Direct | -100.00% | Disposed | (price as of 2026-08-21) |
| Jan. 31, 2014 | CAT | F | 94,892 | $93.35 | $8,858,168 | 206,875 Direct | -31.45% | Disposed | 782.6% (price as of 2026-08-21) |
| Jan. 31, 2014 | CAT | M | 140,000 | $38.63 | $5,408,200 | 301,767 Direct | +86.54% | Acquired | 2032.9% (price as of 2026-08-21) |
| Dec. 31, 2013 | CAT | A | 132 | $90.81 | $11,987 | 60,017 Direct | +0.22% | Acquired | 807.3% (price as of 2026-08-21) |
| Nov. 29, 2013 | CAT | A | 142 | $84.60 | $12,013 | 59,885 Direct | +0.24% | Acquired | 873.9% (price as of 2026-08-21) |
| Nov. 29, 2013 | LLY | A | 2,841 | $51.03 | $144,976 | 19,861 Direct | +16.69% | Acquired | 2349.5% (price as of 2026-08-21) |
| Nov. 13, 2013 | CAT | G | 97 | — | — | 161,767 Direct | -0.06% | Disposed | (price as of 2026-08-21) |
| Oct. 31, 2013 | CAT | A | 144 | $83.36 | $12,004 | 59,743 Direct | +0.24% | Acquired | 888.4% (price as of 2026-08-21) |
| Oct. 21, 2013 | CAT | G | 20,223 | — | — | 161,864 Direct | -11.11% | Disposed | (price as of 2026-08-21) |
| Sept. 30, 2013 | CAT | A | 144 | $83.40 | $12,010 | 57,992 Direct | +0.25% | Acquired | 887.9% (price as of 2026-08-21) |
| Sept. 11, 2013 | CAT | G | 1,848 | — | — | 180,459 Direct | -1.01% | Disposed | (price as of 2026-08-21) |
| Aug. 30, 2013 | CAT | A | 145 | $82.54 | $11,968 | 57,848 Direct | +0.25% | Acquired | 898.2% (price as of 2026-08-21) |
| July 26, 2013 | CAT | A | 146 | $82.06 | $11,981 | 57,703 Direct | +0.25% | Acquired | 904.0% (price as of 2026-08-21) |
| June 28, 2013 | CAT | A | 145 | $82.49 | $11,961 | 57,557 Direct | +0.25% | Acquired | 898.8% (price as of 2026-08-21) |
Showing latest 100 of 292 transactions
P = Open-market purchase · S = Sale · A = Grant/award · M = Option exercise · G = Gift · F = Tax withholding
Insider transactions are not a recommendation; sales are often driven by liquidity or tax reasons.
Derivative holdings (Form 4 Table II)
Options, RSUs and convertible securities reported on Form 4 Table II.
| Date | Ticker | Security | Underlying | Exercise price | Expiration | Shares | A/D |
|---|---|---|---|---|---|---|---|
| March 31, 2017 | CAT | Phantom Stock Units | Common Stock (126) | — | — | 126 | Acquired |
| March 10, 2017 | CAT | Phantom Stock Units | Common Stock (505) | — | — | 505 | Acquired |
| Jan. 20, 2017 | CAT | Stock Appreciation Right | Common Stock (100,000) | $22.17 | March 2, 2019 | 100,000 | Disposed |
| Jan. 20, 2017 | CAT | Stock Appreciation Right | Common Stock (60,000) | $73.20 | March 3, 2018 | 60,000 | Disposed |
| Dec. 30, 2016 | CAT | Phantom Stock Units | Common Stock (129) | — | — | 129 | Acquired |
| Nov. 30, 2016 | CAT | Phantom Stock Units | Common Stock (126) | — | — | 126 | Acquired |
| Nov. 10, 2016 | CAT | Stock Appreciation Right | Common Stock (55,484) | $73.20 | March 3, 2018 | 55,484 | Disposed |
| Oct. 31, 2016 | CAT | Phantom Stock Units | Common Stock (144) | — | — | 144 | Acquired |
| Sept. 30, 2016 | CAT | Phantom Stock Units | Common Stock (135) | — | — | 135 | Acquired |
| Aug. 31, 2016 | CAT | Phantom Stock Units | Common Stock (147) | — | — | 147 | Acquired |
| July 29, 2016 | CAT | Phantom Stock Units | Common Stock (145) | — | — | 145 | Acquired |
| June 30, 2016 | CAT | Phantom Stock Units | Common Stock (159) | — | — | 159 | Acquired |
| May 31, 2016 | CAT | Phantom Stock Units | Common Stock (165) | — | — | 165 | Acquired |
| April 29, 2016 | CAT | Phantom Stock Units | Common Stock (154) | — | — | 154 | Acquired |
| March 31, 2016 | CAT | Phantom Stock Units | Common Stock (157) | — | — | 157 | Acquired |
| March 18, 2016 | CAT | Stock Appreciation Right | Common Stock (50,884) | $63.04 | March 2, 2017 | 50,884 | Disposed |
| March 7, 2016 | CAT | Employee Stock Option | Common Stock (349,749) | $74.77 | March 7, 2026 | 349,749 | Acquired |
| March 4, 2016 | CAT | Stock Appreciation Right | Common Stock (75,000) | $63.04 | March 2, 2017 | 75,000 | Disposed |
| Feb. 29, 2016 | CAT | Phantom Stock Units | Common Stock (2) | — | — | 2 | Acquired |
| Dec. 31, 2015 | CAT | Phantom Stock Units | Common Stock (177) | — | — | 177 | Acquired |
| Nov. 30, 2015 | CAT | Phantom Stock Units | Common Stock (165) | — | — | 165 | Acquired |
| Oct. 30, 2015 | CAT | Phantom Stock Units | Common Stock (165) | — | — | 165 | Acquired |
| Sept. 30, 2015 | CAT | Phantom Stock Units | Common Stock (183) | — | — | 183 | Acquired |
| Aug. 31, 2015 | CAT | Phantom Stock Units | Common Stock (157) | — | — | 157 | Acquired |
| July 31, 2015 | CAT | Phantom Stock Units | Common Stock (153) | — | — | 153 | Acquired |
| June 30, 2015 | CAT | Phantom Stock Units | Common Stock (141) | — | — | 141 | Acquired |
| May 29, 2015 | CAT | Phantom Stock Units | Common Stock (141) | — | — | 141 | Acquired |
| April 30, 2015 | CAT | Phantom Stock Units | Common Stock (138) | — | — | 138 | Acquired |
| March 31, 2015 | CAT | Phantom Stock Units | Common Stock (150) | — | — | 150 | Acquired |
| March 11, 2015 | CAT | Phantom Stock Units | Common Stock (4,517) | — | — | 4,517 | Acquired |
| March 2, 2015 | CAT | Employee Stock Option | Common Stock (413,776) | $83.00 | March 2, 2025 | 413,776 | Acquired |
| Feb. 27, 2015 | CAT | Phantom Stock Units | Common Stock (2) | — | — | 2 | Acquired |
| Dec. 31, 2014 | CAT | Phantom Stock Units | Common Stock (130) | — | — | 130 | Acquired |
| Nov. 28, 2014 | CAT | Phantom Stock Units | Common Stock (119) | — | — | 119 | Acquired |
| Nov. 24, 2014 | CAT | Employee Stock Option | Common Stock (70,000) | $45.64 | Feb. 18, 2015 | 70,000 | Acquired |
| Oct. 31, 2014 | CAT | Phantom Stock Units | Common Stock (118) | — | — | 118 | Acquired |
| Oct. 24, 2014 | CAT | Employee Stock Option | Common Stock (70,000) | $45.64 | Feb. 18, 2015 | 70,000 | Acquired |
| Sept. 30, 2014 | CAT | Phantom Stock Units | Common Stock (121) | — | — | 121 | Acquired |
| Aug. 29, 2014 | CAT | Phantom Stock Units | Common Stock (110) | — | — | 110 | Acquired |
| July 31, 2014 | CAT | Phantom Stock Units | Common Stock (119) | — | — | 119 | Acquired |
| June 30, 2014 | CAT | Phantom Stock Units | Common Stock (110) | — | — | 110 | Acquired |
| May 30, 2014 | CAT | Phantom Stock Units | Common Stock (117) | — | — | 117 | Acquired |
| April 30, 2014 | CAT | Phantom Stock Units | Common Stock (114) | — | — | 114 | Acquired |
| March 31, 2014 | CAT | Phantom Stock Units | Common Stock (121) | — | — | 121 | Acquired |
| March 3, 2014 | CAT | Employee Stock Option | Common Stock (283,790) | $96.31 | March 3, 2024 | 283,790 | Acquired |
| Feb. 28, 2014 | CAT | Phantom Stock Units | Common Stock (6) | — | — | 6 | Acquired |
| Jan. 31, 2014 | CAT | Employee Stock Option | Common Stock (140,000) | $38.63 | June 8, 2014 | 140,000 | Disposed |
| Dec. 31, 2013 | CAT | Phantom Stock Units | Common Stock (132) | — | — | 132 | Acquired |
| Nov. 29, 2013 | CAT | Phantom Stock Units | Common Stock (142) | — | — | 142 | Acquired |
| Oct. 31, 2013 | CAT | Phantom Stock Units | Common Stock (144) | — | — | 144 | Acquired |
| Sept. 30, 2013 | CAT | Phantom Stock Units | Common Stock (144) | — | — | 144 | Acquired |
| Aug. 30, 2013 | CAT | Phantom Stock Units | Common Stock (145) | — | — | 145 | Acquired |
| July 26, 2013 | CAT | Phantom Stock Units | Common Stock (146) | — | — | 146 | Acquired |
| June 28, 2013 | CAT | Phantom Stock Units | Common Stock (145) | — | — | 145 | Acquired |
| May 31, 2013 | CAT | Phantom Stock Units | Common Stock (140) | — | — | 140 | Acquired |
| April 30, 2013 | CAT | Phantom Stock Units | Common Stock (141) | — | — | 141 | Acquired |
| March 28, 2013 | CAT | Phantom Stock Units | Common Stock (138) | — | — | 138 | Acquired |
| March 4, 2013 | CAT | Employee Stock Options (right to buy) | Common Stock (281,090) | $89.75 | March 4, 2023 | 281,090 | Acquired |
| March 1, 2013 | CAT | Restricted Stock Units | Common Stock (9,271) | — | March 1, 2013 | 9,271 | Disposed |
| Jan. 3, 2013 | CAT | Phantom Stock Units | Common Stock (138) | — | — | 138 | Disposed |
| Dec. 18, 2012 | CAT | Employee Stock Option | Common (140,000) | $27.14 | June 10, 2013 | 140,000 | Disposed |
| Nov. 30, 2012 | CAT | Phantom Stock Units | Common (141) | — | — | 141 | Acquired |
| Oct. 31, 2012 | CAT | Phantom Stock Units | Common (426) | — | — | 426 | Acquired |
| Sept. 28, 2012 | CAT | Phantom Stock Units | Common (139) | — | — | 139 | Acquired |
| Aug. 31, 2012 | CAT | Phantom Stock Units | Common (141) | — | — | 141 | Acquired |
| July 31, 2012 | CAT | Phantom Stock Units | Common (143) | — | — | 143 | Acquired |
| June 29, 2012 | CAT | Phantom Stock Units | Common (141) | — | — | 141 | Acquired |
| May 31, 2012 | CAT | Phantom Stock Units | Common (137) | — | — | 137 | Acquired |
| May 7, 2012 | CAT | Employee Stock Option [F4] | Common (42,000) | $25.36 | June 12, 2012 | 42,000 | Disposed |
| April 30, 2012 | CAT | Phantom Stock Units | Common (117) | — | — | 117 | Acquired |
| March 30, 2012 | CAT | Phantom Stock Units | Common (95) | — | — | 95 | Acquired |
| March 5, 2012 | CAT | Employee Stock Option (right to buy) | Common (275,000) | $110.09 | March 5, 2022 | 275,000 | Acquired |
| March 2, 2012 | CAT | Restricted Stock Units | Common (7,335) | — | March 2, 2012 | 7,335 | Disposed |
| Jan. 31, 2012 | CAT | Employee Stock Option [F2] | Common (40,000) | $25.36 | June 11, 2012 | 40,000 | Disposed |
| Jan. 17, 2012 | CAT | Employee Stock Option [F2] | Common (40,000) | $25.36 | June 11, 2012 | 40,000 | Disposed |
| July 29, 2011 | CAT | Phantom Stock Units | Common (292) | — | — | 292 | Acquired |
| March 7, 2011 | CAT | Stock Appreciation Rights | Common (226,224) | $102.13 | March 7, 2021 | 226,224 | Acquired |
| March 4, 2011 | CAT | Phantom Stock Units | Common (1,426) | — | — | 1,426 | Acquired |
| March 3, 2011 | CAT | Restricted Stock Units | Common (4,109) | — | March 3, 2011 | 4,109 | Disposed |
| Feb. 7, 2011 | CAT | Employee Stock Option [F4] | Common (48,000) | $26.76 | June 12, 2011 | 48,000 | Disposed |
| Feb. 7, 2011 | CAT | Phantom Stock Units | Common (114) | — | — | 114 | Acquired |
| Dec. 8, 2010 | CAT | Phantom Stock Units | Common (124) | — | — | 124 | Acquired |
| April 30, 2010 | CAT | Phantom Stock Units | Common (343) | — | — | 343 | Acquired |
| March 2, 2010 | CAT | Restricted Stock Units | Common (4,832) | — | March 2, 2010 | 4,832 | Disposed |
| March 2, 2010 | CAT | Employee Stock Option [F7] | Common (2,601) | $19.20 | June 12, 2010 | 2,601 | Disposed |
| March 2, 2010 | CAT | Employee Stock Option [F7] | Common (42,798) | $19.20 | June 12, 2010 | 42,798 | Disposed |
| March 1, 2010 | CAT | Restricted Stock Units | Common (9,271) | — | — | 9,271 | Acquired |
| March 1, 2010 | CAT | Stock Appreciation Rights | Common (272,282) | $57.85 | March 1, 2020 | 272,282 | Acquired |
| Dec. 31, 2009 | CAT | Phantom Stock Units | Common (364) | — | — | 364 | Acquired |
| Nov. 30, 2009 | CAT | Phantom Stock Units | Common (125) | — | — | 125 | Acquired |
| Oct. 30, 2009 | CAT | Phantom Stock Units | Common (305) | — | — | 305 | Acquired |
| Sept. 30, 2009 | CAT | Phantom Stock Units | Common (142) | — | — | 142 | Acquired |
| Aug. 31, 2009 | CAT | Phantom Stock Units | Common (161) | — | — | 161 | Acquired |
| Aug. 4, 2009 | CAT | Employee Stock Option [F4] | Common (2,601) | $19.20 | June 12, 2010 | 2,601 | Disposed |
| July 31, 2009 | CAT | Phantom Stock Units | Common (165) | — | — | 165 | Acquired |
| June 30, 2009 | CAT | Phantom Stock Units | Common (488) | — | — | 488 | Acquired |
| May 29, 2009 | CAT | Phantom Stock Units | Common (200) | — | — | 200 | Acquired |
| March 6, 2009 | CAT | Phantom Stock Units | Common (3,649) | — | — | 3,649 | Acquired |
| March 2, 2009 | CAT | Restricted Stock Units | Common (7,335) | — | — | 7,335 | Acquired |
| March 2, 2009 | CAT | Stock Appreciation Rights | Common (166,252) | $22.17 | March 2, 2019 | 166,252 | Acquired |
Showing latest 100 of 146 transactions
Exercise/conversion price is blank when not applicable (e.g. RSUs).
Initial ownership (Form 3) 1 holding
Securities held when first becoming an insider, per SEC Form 3.
| Date | Ticker | Security | Shares | Ownership |
|---|---|---|---|---|
| Sept. 3, 2003 | AEE | No securities owned | 0 | Direct |
Compensation (DEF 14A)
Matched by name from proxy statements (DEF 14A) — verify against the filing.
| Fiscal year | Salary | Bonus | Stock awards | Option awards | Non-equity incentive | Pension change | Other | Total |
|---|---|---|---|---|---|---|---|---|
| 2006 | $721,248 | — | $16,090 | $1,082,596 | $1,633,854 | $575,150 | $122,180 | $4,334,118 |
| 2004 | — | — | — | — | — | — | — | — |
| 2003 | — | — | — | — | — | — | — | — |
Figures from the Summary Compensation Table of the company's proxy statement (DEF 14A). Compensation is not a recommendation.