John S Heller — SEC Insider Profile, Roles & Companies

Insider at

CAT selling Feb. 3, 2006

Insider transactions

0 buys (P) 0 sells (S) Net: $0 + 26 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

26 other filings hidden

Date	Ticker	Code	Shares	Price	Value	Owned after	Δ own	A/D	vs now
Feb. 3, 2006	CAT	M	3,702	·	·	0 Direct	-100.00%	Disposed	(price as of 2026-10-02)
Feb. 3, 2006	CAT	M	3,208	·	·	0 Direct	-100.00%	Disposed	(price as of 2026-10-02)
Feb. 3, 2006	CAT	M	13,068	·	·	0 Direct	-100.00%	Disposed	(price as of 2026-10-02)
Feb. 3, 2006	CAT	M	3,702	$19.20	$71,078	25,210 Direct	+17.21%	Acquired	4303.2% (price as of 2026-10-02)
Feb. 3, 2006	CAT	M	3,208	$31.17	$99,993	21,503 Direct	+17.53%	Acquired	2612.3% (price as of 2026-10-02)
Feb. 3, 2006	CAT	S	13,068	$68.18	$890,976	18,300 Direct	-41.66%	Disposed	1140.0% (price as of 2026-10-02)
Feb. 3, 2006	CAT	M	13,068	$25.36	$331,404	31,368 Direct	+71.41%	Acquired	3233.7% (price as of 2026-10-02)
Nov. 16, 2005	CAT	M	3,590	·	·	0 Direct	-100.00%	Disposed	(price as of 2026-10-02)
Nov. 16, 2005	CAT	M	1,400	·	·	0 Direct	-100.00%	Disposed	(price as of 2026-10-02)
Nov. 16, 2005	CAT	F	1,766	$56.58	$99,920	18,243 Direct	-8.83%	Disposed	1394.2% (price as of 2026-10-02)
Nov. 16, 2005	CAT	M	3,590	$27.84	$99,946	20,009 Direct	+21.86%	Acquired	2936.7% (price as of 2026-10-02)
Nov. 16, 2005	CAT	F	639	$56.58	$36,155	16,419 Direct	-3.75%	Disposed	1394.2% (price as of 2026-10-02)
Nov. 16, 2005	CAT	M	1,400	$25.83	$36,162	17,058 Direct	+8.94%	Acquired	3173.0% (price as of 2026-10-02)
Sept. 7, 2005	CAT	M	14,000	·	·	0 Direct	-100.00%	Disposed	(price as of 2026-10-02)
Sept. 7, 2005	CAT	S	14,000	$59.00	$826,000	15,658 Direct	-47.20%	Disposed	1332.9% (price as of 2026-10-02)
Sept. 7, 2005	CAT	M	14,000	$26.76	$374,640	29,658 Direct	+89.41%	Acquired	3059.3% (price as of 2026-10-02)
July 28, 2005	CAT	M	5,792	·	·	0 Direct	-100.00%	Disposed	(price as of 2026-10-02)
July 28, 2005	CAT	S	5,792	$54.00	$312,768	15,658 Direct	-27.00%	Disposed	1465.6% (price as of 2026-10-02)
July 28, 2005	CAT	M	5,792	$31.17	$180,537	21,450 Direct	+36.99%	Acquired	2612.3% (price as of 2026-10-02)
Feb. 18, 2005	CAT	J	27,000	·	·	27,000 Direct	·	Acquired	(price as of 2026-10-02)
Feb. 7, 2005	CAT	M	1,816	·	·	0 Direct	-100.00%	Disposed	(price as of 2026-10-02)
Feb. 7, 2005	CAT	M	1,234	·	·	0 Direct	-100.00%	Disposed	(price as of 2026-10-02)
Feb. 7, 2005	CAT	S	1,139	$91.65	$104,389	7,715 Direct	-12.86%	Disposed	1744.9% (price as of 2026-10-02)
Feb. 7, 2005	CAT	M	1,816	$38.41	$69,753	8,854 Direct	+25.80%	Acquired	4302.1% (price as of 2026-10-02)
Feb. 7, 2005	CAT	F	695	$91.72	$63,745	7,038 Direct	-8.99%	Disposed	1743.5% (price as of 2026-10-02)
Feb. 7, 2005	CAT	M	1,234	$51.66	$63,748	7,733 Direct	+18.99%	Acquired	3173.0% (price as of 2026-10-02)
Jan. 3, 2005	CAT	M	2,705	·	·	0 Direct	-100.00%	Disposed	(price as of 2026-10-02)
Jan. 3, 2005	CAT	S	2,705	$96.10	$259,950	6,490 Direct	-29.42%	Disposed	1659.5% (price as of 2026-10-02)
Jan. 3, 2005	CAT	M	2,705	$55.69	$150,641	9,195 Direct	+41.68%	Acquired	2936.2% (price as of 2026-10-02)
Sept. 29, 2004	CAT	G	310	·	·	6,431 Direct	-4.60%	Disposed	(price as of 2026-10-02)
June 8, 2004	CAT	J	27,000	·	·	27,000 Direct	·	Acquired	(price as of 2026-10-02)

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
Feb. 3, 2006	CAT	Employee Stock Option [F2]	Common (3,702)	$19.20	June 12, 2010	3,702	Disposed
Feb. 3, 2006	CAT	Employee Stock Option [F2]	Common (3,208)	$31.17	June 8, 2009	3,208	Disposed
Feb. 3, 2006	CAT	Employee Stock Option [F2]	Common (13,068)	$25.36	June 11, 2012	13,068	Disposed
Nov. 16, 2005	CAT	Employee Stock Option [F2]	Common (3,590)	$27.84	June 9, 2008	3,590	Disposed
Nov. 16, 2005	CAT	Employee Stock Option [F2]	Common (1,400)	$25.83	June 10, 2007	1,400	Disposed
Sept. 7, 2005	CAT	Employee Stock Option [F2]	Common (14,000)	$26.76	June 12, 2011	14,000	Disposed
July 28, 2005	CAT	Employee Stock Option [F3]	Common (5,792)	$31.17	June 8, 2009	5,792	Disposed
Feb. 18, 2005	CAT	Option (NQ) [F2]	Common (27,000)	$91.28	Feb. 18, 2015	27,000	Acquired
Feb. 7, 2005	CAT	Employee Stock Option [F2]	Common (1,816)	$38.41	June 12, 2010	1,816	Disposed
Feb. 7, 2005	CAT	Employee Stock Option [F2]	Common (1,234)	$51.66	June 10, 2007	1,234	Disposed
Jan. 3, 2005	CAT	Employee Stock Option [F2]	Common (2,705)	$55.69	June 9, 2008	2,705	Disposed
June 8, 2004	CAT	Option (NQ) [F2]	Common (27,000)	$77.26	June 8, 2014	27,000	Acquired

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

Initial ownership (Form 3) 11 holdings

Securities held when first becoming an insider, per SEC Form 3.

Date	Ticker	Security	Shares	Ownership
June 2, 2004	CAT	Common	·	Direct
June 2, 2004	CAT	Option (ISO) [F2]→ Common (1,934)	1,934	Direct
June 2, 2004	CAT	Option (ISO) [F2]→ Common (1,795)	1,795	Direct
June 2, 2004	CAT	Option (NQ) [F2]→ Common (2,705)	2,705	Direct
June 2, 2004	CAT	Option (ISO) [F2]→ Common (1,604)	1,604	Direct
June 2, 2004	CAT	Option (NQ) [F2]→ Common (2,896)	2,896	Direct
June 2, 2004	CAT	Option (ISO) [F2]→ Common (1,851)	1,851	Direct
June 2, 2004	CAT	Option (NQ) [F2]→ Common (1,816)	1,816	Direct
June 2, 2004	CAT	Option (NQ) [F2]→ Common (7,000)	7,000	Direct
June 2, 2004	CAT	Option (NQ) [F2]→ Common (6,534)	6,534	Direct
June 2, 2004	CAT	Option (NQ) [F2]→ Common (9,970)	9,970	Direct