Last 12 months
Inside the activity.
2 purchase rows · 91 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 1 | 16 |
| Dec 2025 | 0 | 14 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 21 |
| Mar 2026 | 0 | 5 |
| Apr 2026 | 0 | 0 |
| May 2026 | 1 | 21 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 14 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| August 09, 2023 Filed Aug 10, 2023 21:50 UTC |
Johnson Cheryl HChief Human Resources Officer
|
Exercise / conversionEmployee Stock Options · Derivative | 18,294 | $151.12 Strike: $151.12 | $2,764,589.28 |
DisclosureSEC source: 0001104659-23-089917 · tm2323048-3_4seq1.xml · derivative · entry 5 Johnson Cheryl H · CIK 0001552649 · Chief Human Resources Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 18,294 shares Expires 2028-03-05 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 5, 2018 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| August 09, 2023 Filed Aug 10, 2023 21:50 UTC |
Johnson Cheryl HChief Human Resources Officer
|
SaleCommon Stock | 1,400 | $287.06 | $401,884.00 |
DisclosureSEC source: 0001104659-23-089917 · tm2323048-3_4seq1.xml · nonDerivative · entry 3 Johnson Cheryl H · CIK 0001552649 · Chief Human Resources Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 16,362 F2 · price: This transaction was executed in multiple trades at prices ranging from $287.00 to $287.10. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| August 09, 2023 Filed Aug 10, 2023 21:50 UTC |
Johnson Cheryl HChief Human Resources Officer
|
SaleCommon Stock | 16,894 | $286.27 | $4,836,245.38 |
DisclosureSEC source: 0001104659-23-089917 · tm2323048-3_4seq1.xml · nonDerivative · entry 2 Johnson Cheryl H · CIK 0001552649 · Chief Human Resources Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 17,762 F1 · price: This transaction was executed in multiple trades at prices ranging from $286.00 to $286.95. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| August 09, 2023 Filed Aug 10, 2023 21:50 UTC |
Johnson Cheryl HChief Human Resources Officer
|
Exercise / conversionCommon Stock | 18,294 | $151.12 | $2,764,589.28 |
DisclosureSEC source: 0001104659-23-089917 · tm2323048-3_4seq1.xml · nonDerivative · entry 1 Johnson Cheryl H · CIK 0001552649 · Chief Human Resources Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 34,656 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| August 07, 2023 Filed Aug 8, 2023 15:32 UTC |
MacLennan DavidDirector
|
GrantCommon Stock | 450 | $277.21 | $124,744.50 |
DisclosureSEC source: 0001104659-23-088717 · tm2323048-2_4seq1.xml · nonDerivative · entry 1 MacLennan David · CIK 0001498535 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,868 Read SEC document |
| August 04, 2023 Filed Aug 7, 2023 19:29 UTC |
Umpleby III Donald JDirector · Chief Executive Officer
|
GiftCommon Stock | 5,114 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-23-088300 · tm2323048-1_4seq1.xml · nonDerivative · entry 3 Umpleby III Donald J · CIK 0001566320 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Indirect · Held by Children's Irrevocable Trust Disclosed balance after: 27,959 F5 · shares: Represents 2,613 and 2,501 shares received from Grantor Retained Annuity Trusts. Read SEC document |
| August 04, 2023 Filed Aug 7, 2023 19:29 UTC |
Umpleby III Donald JDirector · Chief Executive Officer
|
GiftCommon Stock | 2,501 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-23-088300 · tm2323048-1_4seq1.xml · nonDerivative · entry 2 Umpleby III Donald J · CIK 0001566320 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Indirect · Held By Grantor Retained Annuity Trust Disclosed balance after: 0 F3 · shares: Gift of shares to an irrevocable trust of which a member of the reporting person's immediate family serves as trustee and of which the reporting person's descendants are beneficiaries. F4 · balance_after: Reflects 13,820 shares transferred on August 3, 2023 from Grantor Retained Annuity Trust to the reporting person. Read SEC document |
| August 04, 2023 Filed Aug 7, 2023 19:29 UTC |
Umpleby III Donald JDirector · Chief Executive Officer
|
GiftCommon Stock | 2,613 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-23-088300 · tm2323048-1_4seq1.xml · nonDerivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Indirect · Held by Grantor Retained Annuity Trust Disclosed balance after: 0 F1 · shares: Gift of shares to an irrevocable trust of which a member of the reporting person's immediate family serves as trustee and of which the reporting person's descendants are beneficiaries. F2 · balance_after: Reflects 9,691 shares transferred on August 3, 2023 from Grantor Retained Annuity Trust to the reporting person. Read SEC document |
| August 03, 2023 Filed Aug 4, 2023 23:31 UTC |
Creed Joseph EGroup President
|
Exercise / conversionEmployee Stock Options · Derivative | 7,698 | $127.60 Strike: $127.60 | $982,264.80 |
DisclosureSEC source: 0001104659-23-087955 · tm2322787-2_4seq1.xml · derivative · entry 5 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,698 shares Expires 2030-03-02 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 2, 2020 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| August 03, 2023 Filed Aug 4, 2023 23:31 UTC |
Creed Joseph EGroup President
|
SaleCommon Stock | 4,249 | $285.55 | $1,213,301.95 |
DisclosureSEC source: 0001104659-23-087955 · tm2322787-2_4seq1.xml · nonDerivative · entry 4 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 F1 · price: This transaction was executed in multiple trades at prices ranging from $285.45 to $285.59. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares at whch the transaction was effected. Read SEC document |
| August 03, 2023 Filed Aug 4, 2023 23:31 UTC |
Creed Joseph EGroup President
|
Tax withholdingCommon Stock | 3,449 | $284.78 | $982,206.22 |
DisclosureSEC source: 0001104659-23-087955 · tm2322787-2_4seq1.xml · nonDerivative · entry 3 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,249 Read SEC document |
| August 03, 2023 Filed Aug 4, 2023 23:31 UTC |
Creed Joseph EGroup President
|
Exercise / conversionCommon Stock | 7,698 | $127.60 | $982,264.80 |
DisclosureSEC source: 0001104659-23-087955 · tm2322787-2_4seq1.xml · nonDerivative · entry 2 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 7,698 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| August 03, 2023 Filed Aug 4, 2023 23:31 UTC |
Creed Joseph EGroup President
|
SaleCommon Stock | 3,037 | $284.84 | $865,059.08 |
DisclosureSEC source: 0001104659-23-087955 · tm2322787-2_4seq1.xml · nonDerivative · entry 1 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Read SEC document |
| August 03, 2023 Filed Aug 4, 2023 23:32 UTC |
DICKINSON DANIEL MDirector
|
OtherPhantom Stock Unis · Derivative | 9,982 | $284.50 | $2,839,879.00 |
DisclosureSEC source: 0001104659-23-087957 · tm2322787-3_4seq1.xml · derivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 20,267 Underlying: Common Stock · 9,982 shares Expires not disclosed F1 · derivative.exercise_price: Each Phantom Stock unit is equilvant to one share of Caterpillar Inc. common stock. F2 · kind: Intra-plan transfer pursuannt to the Caterpillar Inc. Director's Deferred Compensation Plan. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Directors' Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Directors' Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes adjustment for dividends accrued. Read SEC document |
| August 03, 2023 Filed Aug 4, 2023 23:33 UTC |
Johnson Denise CGroup President
|
Exercise / conversionEmployee Stock Options · Derivative | 23,736 | $127.60 Strike: $127.60 | $3,028,713.60 |
DisclosureSEC source: 0001104659-23-087958 · tm2322787-4_4seq1.xml · derivative · entry 10 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 23,736 shares Expires 2030-03-02 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F8 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 2, 2020 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| August 03, 2023 Filed Aug 4, 2023 23:33 UTC |
Johnson Denise CGroup President
|
Exercise / conversionEmployee Stock Options · Derivative | 18,012 | $138.35 Strike: $138.35 | $2,491,960.20 |
DisclosureSEC source: 0001104659-23-087958 · tm2322787-4_4seq1.xml · derivative · entry 9 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 18,012 shares Expires 2029-03-04 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F7 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 4, 2019 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| August 03, 2023 Filed Aug 4, 2023 23:33 UTC |
Johnson Denise CGroup President
|
SaleCommon Stock | 714 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-23-087958 · tm2322787-4_4seq1.xml · nonDerivative · entry 8 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 17,968 F6 · price: This transaction was executed in multiple trades at prices ranging from $287.57 to $287.79. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| August 03, 2023 Filed Aug 4, 2023 23:33 UTC |
Johnson Denise CGroup President
|
SaleCommon Stock | 4,112 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-23-087958 · tm2322787-4_4seq1.xml · nonDerivative · entry 7 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 18,682 F5 · price: This transaction was executed in multiple trades at prices ranging from $286.31 to $287.22. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| August 03, 2023 Filed Aug 4, 2023 23:33 UTC |
Johnson Denise CGroup President
|
SaleCommon Stock | 2,300 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-23-087958 · tm2322787-4_4seq1.xml · nonDerivative · entry 6 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 22,794 F4 · price: This transaction was executed in multiple trades at prices ranging from $285.16 to $285.95. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| August 03, 2023 Filed Aug 4, 2023 23:33 UTC |
Johnson Denise CGroup President
|
SaleCommon Stock | 16,610 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-23-087958 · tm2322787-4_4seq1.xml · nonDerivative · entry 5 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 25,094 F3 · price: This transaction was executed in multiple trades at prices ranging from $284.15 to $285.05. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| August 03, 2023 Filed Aug 4, 2023 23:33 UTC |
Johnson Denise CGroup President
|
Exercise / conversionCommon Stock | 23,736 | $127.60 | $3,028,713.60 |
DisclosureSEC source: 0001104659-23-087958 · tm2322787-4_4seq1.xml · nonDerivative · entry 4 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 41,704 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| August 03, 2023 Filed Aug 4, 2023 23:33 UTC |
Johnson Denise CGroup President
|
SaleCommon Stock | 10,120 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-23-087958 · tm2322787-4_4seq1.xml · nonDerivative · entry 3 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 17,968 F2 · price: This transaction was executed in multiple trades at prices ranging from $283.54 to $284.15. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| August 03, 2023 Filed Aug 4, 2023 23:33 UTC |
Johnson Denise CGroup President
|
SaleCommon Stock | 7,892 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-23-087958 · tm2322787-4_4seq1.xml · nonDerivative · entry 2 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 28,088 F1 · price: This transaction was executed in multiple trades at prices ranging from $282.54 to $283.53. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| August 03, 2023 Filed Aug 4, 2023 23:33 UTC |
Johnson Denise CGroup President
|
Exercise / conversionCommon Stock | 18,012 | $138.35 | $2,491,960.20 |
DisclosureSEC source: 0001104659-23-087958 · tm2322787-4_4seq1.xml · nonDerivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 35,980 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| August 02, 2023 Filed Aug 3, 2023 17:32 UTC |
BONFIELD ANDREW R JChief Financial Officer
|
Exercise / conversionEmployee Stock Options · Derivative | 14,187 | $196.70 Strike: $196.70 | $2,790,582.90 |
DisclosureSEC source: 0001104659-23-087174 · tm2322787-1_4seq1.xml · derivative · entry 6 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 28,372 Underlying: Common Stock · 14,187 shares Expires 2032-03-07 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 7, 2022 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date Read SEC document |
| August 02, 2023 Filed Aug 3, 2023 17:32 UTC |
BONFIELD ANDREW R JChief Financial Officer
|
Exercise / conversionEmployee Stock Options · Derivative | 30,786 | $219.76 Strike: $219.76 | $6,765,531.36 |
DisclosureSEC source: 0001104659-23-087174 · tm2322787-1_4seq1.xml · derivative · entry 5 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 15,393 Underlying: Common Stock · 30,786 shares Expires 2031-03-01 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 1, 2021 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| August 02, 2023 Filed Aug 3, 2023 17:32 UTC |
BONFIELD ANDREW R JChief Financial Officer
|
Tax withholdingCommon Stock | 11,419 | $289.99 | $3,311,395.81 |
DisclosureSEC source: 0001104659-23-087174 · tm2322787-1_4seq1.xml · nonDerivative · entry 4 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 77,317 Read SEC document |
| August 02, 2023 Filed Aug 3, 2023 17:32 UTC |
BONFIELD ANDREW R JChief Financial Officer
|
Exercise / conversionCommon Stock | 14,187 | $196.70 | $2,790,582.90 |
DisclosureSEC source: 0001104659-23-087174 · tm2322787-1_4seq1.xml · nonDerivative · entry 3 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 88,736 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| August 02, 2023 Filed Aug 3, 2023 17:32 UTC |
BONFIELD ANDREW R JChief Financial Officer
|
Tax withholdingCommon Stock | 26,264 | $289.99 | $7,616,297.36 |
DisclosureSEC source: 0001104659-23-087174 · tm2322787-1_4seq1.xml · nonDerivative · entry 2 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 74,549 Read SEC document |
| August 02, 2023 Filed Aug 3, 2023 17:32 UTC |
BONFIELD ANDREW R JChief Financial Officer
|
Exercise / conversionCommon Stock | 30,786 | $219.76 | $6,765,531.36 |
DisclosureSEC source: 0001104659-23-087174 · tm2322787-1_4seq1.xml · nonDerivative · entry 1 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 100,813 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| August 01, 2023 Filed Aug 2, 2023 23:16 UTC |
De Lange BobGroup President
|
Exercise / conversionEmployee Stock Options · Derivative | 20,000 | $95.66 Strike: $95.66 | $1,913,200.00 |
DisclosureSEC source: 0001104659-23-086929 · tm2322720-1_4seq1.xml · derivative · entry 3 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 59,834 Underlying: Common Stock · 20,000 shares Expires 2027-03-06 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 6, 2017 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| August 01, 2023 Filed Aug 2, 2023 23:16 UTC |
De Lange BobGroup President
|
SaleCommon Stock | 20,000 | $275.00 | $5,500,000.00 |
DisclosureSEC source: 0001104659-23-086929 · tm2322720-1_4seq1.xml · nonDerivative · entry 2 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 53,671 Read SEC document |
| August 01, 2023 Filed Aug 2, 2023 23:16 UTC |
De Lange BobGroup President
|
Exercise / conversionCommon Stock | 20,000 | $95.66 | $1,913,200.00 |
DisclosureSEC source: 0001104659-23-086929 · tm2322720-1_4seq1.xml · nonDerivative · entry 1 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 73,671 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: Includes adjustment for dividends accrued. Read SEC document |
| July 26, 2023 Filed Jul 28, 2023 12:54 UTC |
Creed Joseph EGroup President
|
GrantPhantom Stock Units · Derivative | 30 | $258.32 | $7,749.60 |
DisclosureSEC source: 0001104659-23-085105 · tm2322276-1_4seq1.xml · derivative · entry 1 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 7,922 Underlying: Common Stock · 30 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 15 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $258.32 and 15 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. Read SEC document |
| July 26, 2023 Filed Jul 28, 2023 12:58 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 36 | $258.32 | $9,299.52 |
DisclosureSEC source: 0001104659-23-085106 · tm2322276-2_4seq1.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 27,650 Underlying: Common Stock · 36 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 18 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $258.32 and 18 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. Read SEC document |
| July 26, 2023 Filed Jul 28, 2023 21:13 UTC Amendment |
Creed Joseph EGroup President
|
GrantPhantom Stock Units · Derivative | 30 | $258.32 | $7,749.60 |
DisclosureSEC source: 0001104659-23-085395 · tm2322276-3_4aseq1.xml · derivative · entry 1 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 7,922 Underlying: Common Stock · 30 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This amended report is being filed to report the shares as acquired by the reporting person on July 26, 2023, rather than as disposed as incorrectly reported in the original report due to an inadvertent clerical error. F3 · shares: This total includes 15 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $258.32 and 15 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F4 · derivative.exercise_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service. F4 · derivative.expiration_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service. F5 · balance_after: Includes dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. Read SEC document |
| July 18, 2023 Filed Jul 19, 2023 23:22 UTC |
Johnson Cheryl HChief Human Resources Officer
|
Exercise / conversionEmployee Stock Options · Derivative | 6,415 | $127.60 Strike: $127.60 | $818,554.00 |
DisclosureSEC source: 0001104659-23-082464 · tm2321642-1_4seq1.xml · derivative · entry 4 Johnson Cheryl H · CIK 0001552649 · Chief Human Resources Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 6,415 shares Expires 2030-03-02 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 2, 2020 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| July 18, 2023 Filed Jul 19, 2023 23:22 UTC |
Johnson Cheryl HChief Human Resources Officer
|
SaleCommon Stock | 6,415 | $260.00 | $1,667,900.00 |
DisclosureSEC source: 0001104659-23-082464 · tm2321642-1_4seq1.xml · nonDerivative · entry 2 Johnson Cheryl H · CIK 0001552649 · Chief Human Resources Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 16,362 F2 · shares: This transaction was executed as multiple trades, all executed at the price reported above. The reporting person herby undertakes to provide upon request of the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares at which the transaction was effected. Read SEC document |
| July 18, 2023 Filed Jul 19, 2023 23:22 UTC |
Johnson Cheryl HChief Human Resources Officer
|
Exercise / conversionCommon Stock | 6,415 | $127.60 | $818,554.00 |
DisclosureSEC source: 0001104659-23-082464 · tm2321642-1_4seq1.xml · nonDerivative · entry 1 Johnson Cheryl H · CIK 0001552649 · Chief Human Resources Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 22,777 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| June 30, 2023 Filed Jul 3, 2023 17:04 UTC |
SCHWAB SUSAN CDirector
|
GrantPhantom Stock Units · Derivative | 153 | $245.41 | $37,547.73 |
DisclosureSEC source: 0001104659-23-077527 · tm2320445-1_4seq1.xml · derivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 18,009 Underlying: Common Stock · 153 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| June 30, 2023 Filed Jul 3, 2023 17:07 UTC |
CALHOUN DAVID LDirector
|
GrantPhantom Stock Units · Derivative | 153 | $245.41 | $37,547.73 |
DisclosureSEC source: 0001104659-23-077529 · tm2320445-2_4seq1.xml · derivative · entry 1 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 20,897 Underlying: Common Stock · 153 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| June 26, 2023 Filed Jun 27, 2023 20:53 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 39 | $236.95 | $9,241.05 |
DisclosureSEC source: 0001104659-23-075311 · tm2319805-1_4seq1.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 26,832 Underlying: Common Stock · 39 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 20 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $236.95 and 19 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. Read SEC document |
| June 26, 2023 Filed Jun 27, 2023 20:56 UTC |
Creed Joseph EGroup President
|
GrantPhantom Stock Units · Derivative | 22 | $236.95 | $5,212.90 |
DisclosureSEC source: 0001104659-23-075315 · tm2319805-2_4seq1.xml · derivative · entry 1 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 7,668 Underlying: Common Stock · 22 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 11 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $236.95 and 11 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. Read SEC document |
| June 14, 2023 Filed Jun 15, 2023 14:51 UTC |
DICKINSON DANIEL MDirector
|
GrantCommon Stock | 698 | $243.32 | $169,837.36 |
DisclosureSEC source: 0001104659-23-071462 · tm2318786-1_4seq1.xml · nonDerivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,745 F1 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| June 14, 2023 Filed Jun 15, 2023 14:56 UTC |
Fish James C JrDirector
|
GrantCommon Stock | 698 | $243.32 | $169,837.36 |
DisclosureSEC source: 0001104659-23-071466 · tm2318786-2_4seq1.xml · nonDerivative · entry 1 Fish James C Jr · CIK 0001523568 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,898 Read SEC document |
| June 14, 2023 Filed Jun 15, 2023 14:58 UTC |
Johnson GeraldDirector
|
GrantCommon Stock | 698 | $243.32 | $169,837.36 |
DisclosureSEC source: 0001104659-23-071467 · tm2318786-3_4seq1.xml · nonDerivative · entry 1 Johnson Gerald · CIK 0001772226 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,101 F1 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| June 14, 2023 Filed Jun 15, 2023 15:01 UTC |
MacLennan DavidDirector
|
GrantCommon Stock | 698 | $243.32 | $169,837.36 |
DisclosureSEC source: 0001104659-23-071470 · tm2318786-4_4seq1.xml · nonDerivative · entry 1 MacLennan David · CIK 0001498535 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,418 F1 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| June 14, 2023 Filed Jun 15, 2023 15:02 UTC |
Marks Judith FranDirector
|
GrantCommon Stock | 698 | $243.32 | $169,837.36 |
DisclosureSEC source: 0001104659-23-071471 · tm2318786-5_4seq1.xml · nonDerivative · entry 1 Marks Judith Fran · CIK 0001665490 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 698 Read SEC document |
| June 14, 2023 Filed Jun 15, 2023 15:03 UTC |
WILKINS RAYFORD JRDirector
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GrantCommon Stock | 698 | $243.32 | $169,837.36 |
DisclosureSEC source: 0001104659-23-071473 · tm2318786-7_4seq1.xml · nonDerivative · entry 1 WILKINS RAYFORD JR · CIK 0001184395 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,883 F1 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| June 14, 2023 Filed Jun 15, 2023 15:03 UTC |
Ayotte KellyDirector
|
GrantCommon Stock | 698 | $243.32 | $169,837.36 |
DisclosureSEC source: 0001104659-23-071472 · tm2318786-6_4seq1.xml · nonDerivative · entry 1 Ayotte Kelly · CIK 0001702559 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,113 F1 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.