John R Brazil

Insider

First SEC filing: May 9, 2011 · Latest: May 9, 2011

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.

Insider at

CAT selling May 5, 2011

Insider transactions

0 buys (P) 0 sells (S) Net: $0 + 29 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

29 other filings hidden

Date	Ticker	Code	Shares	Price	Value	Owned after	Δ own	A/D	vs now
May 5, 2011	CAT	S	5,373	$110.37	$593,018	11,389 Direct	-32.05%	Disposed	646.5% (price as of 2026-08-21)
May 4, 2011	CAT	S	5,309	$113.07	$600,289	6,080 Direct	-46.62%	Disposed	628.7% (price as of 2026-08-21)
May 4, 2011	CAT	M	7,000	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-21)
May 4, 2011	CAT	M	5,833	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-21)
May 4, 2011	CAT	F	4,175	$111.93	$467,308	16,762 Direct	-19.94%	Disposed	636.1% (price as of 2026-08-21)
May 4, 2011	CAT	M	7,000	$66.76	$467,320	20,937 Direct	+50.23%	Acquired	1134.2% (price as of 2026-08-21)
May 4, 2011	CAT	F	3,285	$111.93	$367,690	13,937 Direct	-19.07%	Disposed	636.1% (price as of 2026-08-21)
May 4, 2011	CAT	M	5,833	$63.04	$367,712	17,222 Direct	+51.22%	Acquired	1207.0% (price as of 2026-08-21)
March 7, 2011	CAT	A	980	$102.13	$100,087	11,389 Direct	+9.41%	Acquired	706.7% (price as of 2026-08-21)
March 3, 2011	CAT	M	1,606	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-21)
March 3, 2011	CAT	M	1,606	—	—	10,409 Direct	+18.24%	Acquired	(price as of 2026-08-21)
Feb. 1, 2011	CAT	M	8,000	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-21)
Feb. 1, 2011	CAT	M	8,000	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-21)
Feb. 1, 2011	CAT	S	16,000	$96.96	$1,551,360	8,803 Direct	-64.51%	Disposed	749.8% (price as of 2026-08-21)
Feb. 1, 2011	CAT	M	8,000	$44.90	$359,200	24,803 Direct	+47.61%	Acquired	1735.0% (price as of 2026-08-21)
Feb. 1, 2011	CAT	M	8,000	$40.64	$325,120	16,803 Direct	+90.88%	Acquired	1927.4% (price as of 2026-08-21)
July 27, 2010	CAT	M	8,000	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-21)
July 27, 2010	CAT	S	8,000	$68.76	$550,080	8,803 Direct	-47.61%	Disposed	1098.3% (price as of 2026-08-21)
July 27, 2010	CAT	M	8,000	$26.03	$208,240	16,803 Direct	+90.88%	Acquired	3065.3% (price as of 2026-08-21)
May 1, 2008	CAT	M	8,000	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-21)
May 1, 2008	CAT	S	8,000	$82.47	$659,760	8,803 Direct	-47.61%	Disposed	899.1% (price as of 2026-08-21)
May 1, 2008	CAT	M	8,000	$29.43	$235,440	16,803 Direct	+90.88%	Acquired	2699.6% (price as of 2026-08-21)
March 3, 2008	CAT	A	1,606	—	—	1,606 Direct	—	Acquired	(price as of 2026-08-21)
March 2, 2007	CAT	A	5,833	—	—	5,833 Direct	—	Acquired	(price as of 2026-08-21)
Aug. 7, 2006	CAT	M	8,000	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-21)
Aug. 7, 2006	CAT	S	2,497	$73.11	$182,556	8,803 Direct	-22.10%	Disposed	1027.0% (price as of 2026-08-21)
Aug. 7, 2006	CAT	M	8,000	$22.76	$182,080	11,300 Direct	+242.42%	Acquired	3520.0% (price as of 2026-08-21)
June 14, 2006	CAT	A	7,000	—	—	7,000 Direct	—	Acquired	(price as of 2026-08-21)
Feb. 2, 2006	CAT	M	8,000	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-21)
Feb. 2, 2006	CAT	S	8,000	$68.10	$544,800	3,300 Direct	-70.80%	Disposed	1109.9% (price as of 2026-08-21)
Feb. 2, 2006	CAT	M	8,000	$28.78	$230,240	11,300 Direct	+242.42%	Acquired	2762.8% (price as of 2026-08-21)
Nov. 7, 2005	CAT	M	8,000	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-21)
Nov. 7, 2005	CAT	S	8,000	$54.20	$433,600	3,300 Direct	-70.80%	Disposed	1420.1% (price as of 2026-08-21)
Nov. 7, 2005	CAT	M	8,000	$21.88	$175,040	11,300 Direct	+242.42%	Acquired	3665.6% (price as of 2026-08-21)
April 13, 2005	CAT	J	4,000	—	—	4,000 Direct	—	Acquired	(price as of 2026-08-21)
April 14, 2004	CAT	J	4,000	—	—	4,000 Direct	—	Acquired	(price as of 2026-08-21)
July 23, 2003	CAT		None	—	—	—	—	—	(price as of 2026-08-21)

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
May 4, 2011	CAT	Stock Appreciation Right	Common (7,000)	$66.76	June 14, 2016	7,000	Disposed
May 4, 2011	CAT	Stock Appreciation Right	Common (5,833)	$63.04	March 2, 2017	5,833	Disposed
March 3, 2011	CAT	Restricted Stock Units	Common (1,606)	—	March 3, 2011	1,606	Disposed
Feb. 1, 2011	CAT	Employee Stock Option [F1]	Common (8,000)	$44.90	April 13, 2015	8,000	Disposed
Feb. 1, 2011	CAT	Employee Stock Option [F1]	Common (8,000)	$40.64	April 14, 2014	8,000	Disposed
July 27, 2010	CAT	Employee Stock Option [F1]	Common (8,000)	$26.03	April 9, 2013	8,000	Disposed
May 1, 2008	CAT	Employee Stock Option [F1]	Common (8,000)	$29.43	April 10, 2012	8,000	Disposed
March 3, 2008	CAT	Restricted Stock Units	Common (1,606)	—	—	1,606	Acquired
March 2, 2007	CAT	Stock Appreciation Right	Common (5,833)	$63.04	March 2, 2017	5,833	Acquired
Aug. 7, 2006	CAT	Employee Stock Option [F1]	Common (8,000)	$22.76	April 11, 2011	8,000	Disposed
June 14, 2006	CAT	Stock Appreciation Right	Common (7,000)	$66.76	June 14, 2016	7,000	Acquired
Feb. 2, 2006	CAT	Employee Stock Option [F1]	Common (8,000)	$28.78	April 14, 2009	8,000	Disposed
Nov. 7, 2005	CAT	Employee Stock Option [F2]	Common (8,000)	$21.88	April 12, 2010	8,000	Disposed
April 13, 2005	CAT	Option (NQ) [F1]	Common (4,000)	$89.79	April 13, 2015	4,000	Acquired
April 14, 2004	CAT	Option (NQ) [F1]	Common (4,000)	$81.27	April 14, 2014	4,000	Acquired

Exercise/conversion price is blank when not applicable (e.g. RSUs).