Joshua T Smith

Insider

First SEC filing: March 6, 2013 · Latest: March 6, 2013

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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 Feb. 3, 2011

Insider transactions

0 buys (P) 0 sells (S) Net: $0 + 39 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

39 other filings hidden

Date	Ticker	Code	Shares	Price	Value	Owned after	Δ own	A/D	vs now
March 4, 2013	CAT	A	1,115	—	—	15,957 Direct	+7.51%	Acquired	(price as of 2026-08-20)
March 5, 2012	CAT	A	909	—	—	14,480 Direct	+6.70%	Acquired	(price as of 2026-08-20)
March 7, 2011	CAT	A	980	$102.13	$100,087	13,571 Direct	+7.78%	Acquired	691.7% (price as of 2026-08-20)
March 3, 2011	CAT	M	1,606	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-20)
March 3, 2011	CAT	M	1,606	—	—	12,591 Direct	+14.62%	Acquired	(price as of 2026-08-20)
Feb. 3, 2011	CAT	M	2,000	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-20)
Feb. 3, 2011	CAT	M	4,000	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-20)
Feb. 3, 2011	CAT	S	6,000	$99.00	$594,000	10,985 Direct	-35.33%	Disposed	716.7% (price as of 2026-08-20)
Feb. 3, 2011	CAT	M	2,000	$40.64	$81,280	16,985 Direct	+13.35%	Acquired	1889.5% (price as of 2026-08-20)
Feb. 3, 2011	CAT	M	4,000	$29.43	$117,720	14,985 Direct	+36.41%	Acquired	2647.3% (price as of 2026-08-20)
Feb. 5, 2010	CAT	S	5,400	$51.20	$276,480	10,952 Direct	-33.02%	Disposed	1479.2% (price as of 2026-08-20)
May 6, 2008	CAT	M	4,000	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-20)
May 6, 2008	CAT	M	3,000	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-20)
May 6, 2008	CAT	S	7,000	$82.23	$575,610	16,205 Direct	-30.17%	Disposed	883.3% (price as of 2026-08-20)
May 6, 2008	CAT	M	4,000	$29.43	$117,720	23,205 Direct	+20.83%	Acquired	2647.3% (price as of 2026-08-20)
May 6, 2008	CAT	M	3,000	$28.78	$86,340	19,205 Direct	+18.51%	Acquired	2709.3% (price as of 2026-08-20)
March 3, 2008	CAT	A	1,606	—	—	1,606 Direct	—	Acquired	(price as of 2026-08-20)
Oct. 30, 2007	CAT	M	5,000	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-20)
Oct. 30, 2007	CAT	S	5,000	$73.55	$367,750	16,155 Direct	-23.64%	Disposed	999.3% (price as of 2026-08-20)
Oct. 30, 2007	CAT	M	5,000	$28.78	$143,900	21,155 Direct	+30.95%	Acquired	2709.3% (price as of 2026-08-20)
April 26, 2007	CAT	M	8,000	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-20)
April 26, 2007	CAT	F	2,980	$72.97	$217,451	15,875 Direct	-15.80%	Disposed	1008.0% (price as of 2026-08-20)
April 26, 2007	CAT	M	8,000	$27.19	$217,520	18,855 Direct	+73.70%	Acquired	2873.6% (price as of 2026-08-20)
March 2, 2007	CAT	A	5,833	—	—	5,833 Direct	—	Acquired	(price as of 2026-08-20)
July 27, 2006	CAT	S	12,000	$70.54	$846,480	10,855 Direct	-52.50%	Disposed	1046.2% (price as of 2026-08-20)
July 27, 2006	CAT	M	4,000	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-20)
July 27, 2006	CAT	M	8,000	$26.03	$208,240	22,855 Direct	+53.85%	Acquired	3006.1% (price as of 2026-08-20)
July 27, 2006	CAT	M	4,000	$22.76	$91,040	14,855 Direct	+36.85%	Acquired	3452.4% (price as of 2026-08-20)
June 14, 2006	CAT	A	7,000	—	—	7,000 Direct	—	Acquired	(price as of 2026-08-20)
July 27, 2005	CAT	M	8,000	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-20)
April 13, 2005	CAT	J	4,000	—	—	4,000 Direct	—	Acquired	(price as of 2026-08-20)
Feb. 3, 2005	CAT	S	3,115	$91.00	$283,465	5,390 Direct	-36.63%	Disposed	1677.0% (price as of 2026-08-20)
May 10, 2004	CAT	F	1,227	$74.17	$91,007	8,454 Direct	-12.67%	Disposed	2080.2% (price as of 2026-08-20)
May 10, 2004	CAT	M	2,000	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-20)
May 10, 2004	CAT	M	1,250	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-20)
May 10, 2004	CAT	M	2,000	$45.51	$91,020	9,681 Direct	+26.04%	Acquired	3453.2% (price as of 2026-08-20)
May 10, 2004	CAT	F	660	$74.17	$48,952	7,681 Direct	-7.91%	Disposed	2080.2% (price as of 2026-08-20)
May 10, 2004	CAT	M	1,250	$39.19	$48,988	8,341 Direct	+17.63%	Acquired	4026.2% (price as of 2026-08-20)
May 7, 2004	CAT	M	4,000	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-20)
May 7, 2004	CAT	F	2,248	$77.82	$174,939	7,091 Direct	-24.07%	Disposed	1977.9% (price as of 2026-08-20)
May 7, 2004	CAT	M	4,000	$43.75	$175,000	9,339 Direct	+74.92%	Acquired	3596.1% (price as of 2026-08-20)
April 14, 2004	CAT	J	4,000	—	—	4,000 Direct	—	Acquired	(price as of 2026-08-20)
March 30, 2004	CAT	M	2,750	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-20)
March 30, 2004	CAT	F	1,361	$79.13	$107,696	5,339 Direct	-20.31%	Disposed	1943.5% (price as of 2026-08-20)
March 30, 2004	CAT	M	2,750	$39.19	$107,772	6,700 Direct	+69.62%	Acquired	4026.2% (price as of 2026-08-20)

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 3, 2011	CAT	Restricted Stock Units	Common (1,606)	—	March 3, 2011	1,606	Disposed
Feb. 3, 2011	CAT	Employee Stock Option [F2]	Common (2,000)	$40.64	April 14, 2014	2,000	Disposed
Feb. 3, 2011	CAT	Employee Stock Option [F2]	Common (4,000)	$29.43	April 10, 2012	4,000	Disposed
May 6, 2008	CAT	Employee Stock Option [F1]	Common (4,000)	$29.43	April 10, 2012	4,000	Disposed
May 6, 2008	CAT	Employee Stock Option [F1]	Common (3,000)	$28.78	April 14, 2009	3,000	Disposed
March 3, 2008	CAT	Restricted Stock Units	Common (1,606)	—	—	1,606	Acquired
Oct. 30, 2007	CAT	Employee Stock Option [F1]	Common (5,000)	$28.78	April 14, 2009	5,000	Disposed
April 26, 2007	CAT	Employee Stock Option [F1]	Common (8,000)	$27.19	April 8, 2008	8,000	Disposed
March 2, 2007	CAT	Stock Appreciation Rights	Common (5,833)	$63.04	March 2, 2017	5,833	Acquired
July 27, 2006	CAT	Employee Stock Option [F1]	Common (4,000)	$22.76	April 11, 2011	4,000	Disposed
June 14, 2006	CAT	Stock Appreciation Right	Common (7,000)	$66.76	June 14, 2016	7,000	Acquired
July 27, 2005	CAT	Employee Stock Option [F1]	Common (8,000)	$26.03	April 9, 2013	8,000	Disposed
April 13, 2005	CAT	Option (NQ) [F2]	Common (4,000)	$89.79	April 13, 2015	4,000	Acquired
May 10, 2004	CAT	Employee Stock Option [F2]	Common (2,000)	$45.51	April 11, 2011	2,000	Disposed
May 10, 2004	CAT	Employee Stock Option [F2]	Common (1,250)	$39.19	April 9, 2007	1,250	Disposed
May 7, 2004	CAT	Employee Stock Option [F2]	Common (4,000)	$43.75	April 12, 2010	4,000	Disposed
April 14, 2004	CAT	Option (NQ) [F2]	Common (4,000)	$81.27	April 14, 2014	4,000	Acquired
March 30, 2004	CAT	Employee Stock Option [F2]	Common (2,750)	$39.19	April 9, 2007	2,750	Disposed

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