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 |
|---|---|---|---|---|---|---|
| June 14, 2023 Filed Jun 15, 2023 15:05 UTC |
SCHWAB SUSAN CDirector
|
GrantCommon Stock | 698 | $243.32 | $169,837.36 |
DisclosureSEC source: 0001104659-23-071474 · tm2318786-8_4seq1.xml · nonDerivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 23,106 F1 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| June 14, 2023 Filed Jun 15, 2023 15:07 UTC |
REED DEBRA LDirector
|
GrantCommon Stock | 698 | $243.32 | $169,837.36 |
DisclosureSEC source: 0001104659-23-071475 · tm2318786-9_4seq1.xml · nonDerivative · entry 1 REED DEBRA L · CIK 0001225947 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 11,520 F1 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| June 14, 2023 Filed Jun 15, 2023 15:08 UTC |
CALHOUN DAVID LDirector
|
GrantCommon Stock | 698 | $243.32 | $169,837.36 |
DisclosureSEC source: 0001104659-23-071476 · tm2318786-10_4seq1.xml · nonDerivative · entry 1 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 49,815 F1 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| June 07, 2023 Filed Jun 9, 2023 10:00 UTC |
Long Suzette MCLO/General Counsel
|
Exercise / conversionEmployee Stock Options · Derivative | 20,529 | $127.60 Strike: $127.60 | $2,619,500.40 |
DisclosureSEC source: 0001104659-23-069580 · tm2318271-1_4seq1.xml · derivative · entry 4 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 20,529 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. F1 · 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 anniversary of the grant date. Read SEC document |
| June 07, 2023 Filed Jun 9, 2023 10:00 UTC |
Long Suzette MCLO/General Counsel
|
Tax withholdingCommon Stock | 15,415 | $231.32 | $3,565,797.80 |
DisclosureSEC source: 0001104659-23-069580 · tm2318271-1_4seq1.xml · nonDerivative · entry 2 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 13,890 Read SEC document |
| June 07, 2023 Filed Jun 9, 2023 10:00 UTC |
Long Suzette MCLO/General Counsel
|
Exercise / conversionCommon Stock | 20,529 | $127.60 | $2,619,500.40 |
DisclosureSEC source: 0001104659-23-069580 · tm2318271-1_4seq1.xml · nonDerivative · entry 1 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 29,305 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 |
| May 26, 2023 Filed May 31, 2023 10:10 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 25 | $211.80 | $5,295.00 |
DisclosureSEC source: 0001104659-23-066274 · tm2317337-1_4seq1.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 26,883 Underlying: Common Stock · 25 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 13 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $211.80 and 12 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 |
| March 31, 2023 Filed Apr 4, 2023 10:01 UTC |
CALHOUN DAVID LDirector
|
GrantPhantom Stock Units · Derivative | 165 | $226.98 | $37,451.70 |
DisclosureSEC source: 0001104659-23-041121 · tm2311424-1_4seq1.xml · derivative · entry 1 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 20,630 Underlying: Common Stock · 165 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 |
| March 31, 2023 Filed Apr 4, 2023 10:04 UTC |
SCHWAB SUSAN CDirector
|
GrantPhantom Stock Units · Derivative | 165 | $226.98 | $37,451.70 |
DisclosureSEC source: 0001104659-23-041131 · tm2311424-2_4seq1.xml · derivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 17,757 Underlying: Common Stock · 165 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 |
| March 14, 2023 Filed Mar 16, 2023 16:00 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 821 | $225.67 | $185,275.07 |
DisclosureSEC source: 0001104659-23-033179 · tm239693-1_4seq1.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,796 Underlying: Common Stock · 821 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 410 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $225.67 and 411 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 interest 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 |
| March 14, 2023 Filed Mar 16, 2023 16:03 UTC |
Creed Joseph EGroup President
|
GrantPhantom Stock Units · Derivative | 702 | $225.67 | $158,420.34 |
DisclosureSEC source: 0001104659-23-033181 · tm239693-2_4seq1.xml · derivative · entry 1 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,656 Underlying: Common Stock · 702 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 351 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $225.67 and 351 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 interest 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 |
| March 10, 2023 Filed Mar 14, 2023 10:01 UTC |
Creed Joseph EGroup President
|
GrantPhantom Stock Units · Derivative | 358 | $227.01 | $81,269.58 |
DisclosureSEC source: 0001104659-23-031961 · tm239475-1_4seq1.xml · derivative · entry 1 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,384 Underlying: Common Stock · 358 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 · derivative.exercise_date: The phantom stock units are to be settled 100% in cash upon the reporting person's retirement or separation from service. F2 · derivative.expiration_date: The phantom stock units are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · 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 |
| March 10, 2023 Filed Mar 14, 2023 10:03 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 516 | $227.01 | $117,137.16 |
DisclosureSEC source: 0001104659-23-031971 · tm239475-2_4seq1.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,630 Underlying: Common Stock · 516 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 · derivative.exercise_date: The phantom stock units are to be settled 100% in cash upon the reporting person's retirement or separation from service. F2 · derivative.expiration_date: The phantom stock units are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · 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 |
| March 06, 2023 Filed Mar 8, 2023 18:31 UTC |
BONFIELD ANDREW R JChief Financial Officer
|
GrantEmployee Stock Options · Derivative | 34,966 | $0.00 Strike: $253.98 | $0.00 |
DisclosureSEC source: 0001104659-23-029999 · tm238923-1_4seq1.xml · derivative · entry 1 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,966 Underlying: Common Stock · 34,966 shares Expires 2033-03-06 F1 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long Term Incentive Plan and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| March 06, 2023 Filed Mar 8, 2023 18:32 UTC |
Schaupp William EChief Accounting Officer
|
GrantEmployee Stock Options · Derivative | 2,045 | $0.00 Strike: $253.98 | $0.00 |
DisclosureSEC source: 0001104659-23-030001 · tm238923-2_4seq1.xml · derivative · entry 1 Schaupp William E · CIK 0001739758 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,045 Underlying: Common Stock · 2,045 shares Expires 2033-03-06 F1 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long Term Incentive Plan and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| March 06, 2023 Filed Mar 8, 2023 18:36 UTC |
De Lange BobGroup President
|
GrantEmployee Stock Options · Derivative | 29,028 | $0.00 Strike: $253.98 | $0.00 |
DisclosureSEC source: 0001104659-23-030003 · tm238923-3_4seq1.xml · derivative · entry 1 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,028 Underlying: Common Stock · 29,028 shares Expires 2033-03-06 F1 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long Term Incentive Plan and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| March 06, 2023 Filed Mar 8, 2023 18:38 UTC |
Johnson Cheryl HChief Human Resources Officer
|
GrantEmployee Stock Options · Derivative | 24,410 | $0.00 Strike: $253.98 | $0.00 |
DisclosureSEC source: 0001104659-23-030006 · tm238923-4_4seq1.xml · derivative · entry 1 Johnson Cheryl H · CIK 0001552649 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,410 Underlying: Common Stock · 24,410 shares Expires 2033-03-06 F1 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long Term Incentive Plan and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| March 06, 2023 Filed Mar 8, 2023 18:39 UTC |
Johnson Denise CGroup President
|
GrantEmployee Stock Options · Derivative | 29,028 | $0.00 Strike: $253.98 | $0.00 |
DisclosureSEC source: 0001104659-23-030007 · tm238923-5_4seq1.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,028 Underlying: Common Stock · 29,028 shares Expires 2033-03-06 F1 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long Term Incentive Plan and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| March 06, 2023 Filed Mar 8, 2023 18:40 UTC |
Umpleby III Donald JDirector · Chief Executive Officer
|
GrantEmployee Stock Options · Derivative | 112,156 | $0.00 Strike: $253.98 | $0.00 |
DisclosureSEC source: 0001104659-23-030008 · tm238923-6_4seq1.xml · derivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 112,156 Underlying: Common Stock · 112,156 shares Expires 2033-03-06 F1 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long Term Incentive Plan and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| March 06, 2023 Filed Mar 8, 2023 18:41 UTC |
Creed Joseph EGroup President
|
GrantEmployee Stock Options · Derivative | 29,028 | $0.00 Strike: $253.98 | $0.00 |
DisclosureSEC source: 0001104659-23-030009 · tm238923-7_4seq1.xml · derivative · entry 1 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,028 Underlying: Common Stock · 29,028 shares Expires 2033-03-06 F1 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long Term Incentive Plan and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| March 06, 2023 Filed Mar 8, 2023 18:42 UTC |
Long Suzette MChief Legal Officer
|
GrantEmployee Stock Options · Derivative | 32,327 | $0.00 Strike: $253.98 | $0.00 |
DisclosureSEC source: 0001104659-23-030011 · tm238923-8_4seq1.xml · derivative · entry 1 Long Suzette M · CIK 0001698572 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,327 Underlying: Common Stock · 32,327 shares Expires 2033-03-06 F1 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long Term Incentive Plan and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| March 06, 2023 Filed Mar 8, 2023 18:43 UTC |
Fassino Anthony D.Group President
|
GrantEmployee Stock Options · Derivative | 29,028 | $0.00 Strike: $253.98 | $0.00 |
DisclosureSEC source: 0001104659-23-030012 · tm238923-9_4seq1.xml · derivative · entry 1 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,028 Underlying: Common Stock · 29,028 shares Expires 2033-03-06 F1 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long Term Incentive Plan and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| March 02, 2023 Filed Mar 6, 2023 12:56 UTC |
BONFIELD ANDREW R JChief Financial Officer
|
Exercise / conversionEmployee Stock Options · Derivative | 23,095 | $127.60 Strike: $127.60 | $2,946,922.00 |
DisclosureSEC source: 0001104659-23-028791 · tm238543-3_4seq1.xml · derivative · entry 3 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 23,095 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. F1 · 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 |
| March 02, 2023 Filed Mar 6, 2023 12:56 UTC |
BONFIELD ANDREW R JChief Financial Officer
|
Tax withholdingCommon Stock | 16,256 | $249.31 | $4,052,783.36 |
DisclosureSEC source: 0001104659-23-028791 · tm238543-3_4seq1.xml · nonDerivative · entry 2 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,027 Read SEC document |
| March 02, 2023 Filed Mar 6, 2023 12:56 UTC |
BONFIELD ANDREW R JChief Financial Officer
|
Exercise / conversionCommon Stock | 23,095 | $127.60 | $2,946,922.00 |
DisclosureSEC source: 0001104659-23-028791 · tm238543-3_4seq1.xml · nonDerivative · entry 1 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,283 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 |
| February 17, 2023 Filed Feb 21, 2023 15:40 UTC |
MacLennan DavidDirector
|
PurchaseCommon Stock | 400 | $249.29 | $99,716.00 |
DisclosureSEC source: 0001104659-23-023611 · tm237348-1_4seq1.xml · nonDerivative · entry 1 MacLennan David · CIK 0001498535 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,709 F1 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| February 09, 2023 Filed Feb 10, 2023 22:28 UTC |
Long Suzette MCLO/General Counsel
|
SaleCommon Stock | 1,364 | $251.65 | $343,250.60 |
DisclosureSEC source: 0001104659-23-018691 · tm236025-9_4seq1.xml · nonDerivative · entry 2 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,776 F2 · price: This transaction was executed in multiple trades at prices ranging from $251.48 to $251.73. The price reported above reflects the weighted average sale (or purchase) 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 |
| February 09, 2023 Filed Feb 10, 2023 22:28 UTC |
Long Suzette MCLO/General Counsel
|
SaleCommon Stock | 6,636 | $250.91 | $1,665,038.76 |
DisclosureSEC source: 0001104659-23-018691 · tm236025-9_4seq1.xml · nonDerivative · entry 1 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,140 F1 · price: This transaction was executed in multiple trades at prices ranging from $250.47 to $251.43. The price reported above reflects the weighted average sale (or purchase) 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 |
| February 07, 2023 Filed Feb 9, 2023 02:04 UTC |
De Lange BobGroup President
|
Tax withholdingCommon Stock | 6,843 | $248.68 | $1,701,717.24 |
DisclosureSEC source: 0001104659-23-014710 · tm236025-1_4seq1.xml · nonDerivative · entry 2 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,162 F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of performance-based stock units granted March 2, 2020. Read SEC document |
| February 07, 2023 Filed Feb 9, 2023 02:04 UTC |
De Lange BobGroup President
|
GrantCommon Stock | 15,446 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-23-014710 · tm236025-1_4seq1.xml · nonDerivative · entry 1 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,005 Read SEC document |
| February 07, 2023 Filed Feb 9, 2023 02:05 UTC |
Johnson Denise CGroup President
|
Tax withholdingCommon Stock | 6,083 | $248.68 | $1,512,720.44 |
DisclosureSEC source: 0001104659-23-014711 · tm236025-2_4seq1.xml · nonDerivative · entry 2 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,968 F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of performance-based stock units granted March 2, 2020. Read SEC document |
| February 07, 2023 Filed Feb 9, 2023 02:05 UTC |
Johnson Denise CGroup President
|
GrantCommon Stock | 15,446 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-23-014711 · tm236025-2_4seq1.xml · nonDerivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,051 Read SEC document |
| February 07, 2023 Filed Feb 9, 2023 02:06 UTC |
Johnson Cheryl HChief Human Resources Officer
|
Tax withholdingCommon Stock | 1,829 | $248.68 | $454,835.72 |
DisclosureSEC source: 0001104659-23-014712 · tm236025-3_4seq1.xml · nonDerivative · entry 2 Johnson Cheryl H · CIK 0001552649 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,202 F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of performance-based stock units granted March 2, 2020. Read SEC document |
| February 07, 2023 Filed Feb 9, 2023 02:06 UTC |
Johnson Cheryl HChief Human Resources Officer
|
GrantCommon Stock | 4,174 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-23-014712 · tm236025-3_4seq1.xml · nonDerivative · entry 1 Johnson Cheryl H · CIK 0001552649 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,031 Read SEC document |
| February 07, 2023 Filed Feb 9, 2023 02:07 UTC |
Umpleby III Donald JDirector · Chief Executive Officer
|
Tax withholdingCommon Stock | 20,978 | $248.68 | $5,216,809.04 |
DisclosureSEC source: 0001104659-23-014713 · tm236025-4_4seq1.xml · nonDerivative · entry 2 Umpleby III Donald J · CIK 0001566320 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 242,334 F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of performance-based stock units granted March 2, 2020. Read SEC document |
| February 07, 2023 Filed Feb 9, 2023 02:07 UTC |
Umpleby III Donald JDirector · Chief Executive Officer
|
GrantCommon Stock | 49,260 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-23-014713 · tm236025-4_4seq1.xml · nonDerivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 263,312 Read SEC document |
| February 07, 2023 Filed Feb 9, 2023 02:07 UTC |
Creed Joseph EGroup President
|
Tax withholdingCommon Stock | 1,972 | $248.68 | $490,396.96 |
DisclosureSEC source: 0001104659-23-014714 · tm236025-5_4seq1.xml · nonDerivative · entry 2 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,037 F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of performance-based stock units granted March 2, 2020. Read SEC document |
| February 07, 2023 Filed Feb 9, 2023 02:07 UTC |
Creed Joseph EGroup President
|
GrantCommon Stock | 5,009 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-23-014714 · tm236025-5_4seq1.xml · nonDerivative · entry 1 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,009 Read SEC document |
| February 07, 2023 Filed Feb 9, 2023 02:08 UTC |
Long Suzette MChief Legal Officer
|
Tax withholdingCommon Stock | 5,248 | $248.68 | $1,305,072.64 |
DisclosureSEC source: 0001104659-23-014715 · tm236025-6_4seq1.xml · nonDerivative · entry 2 Long Suzette M · CIK 0001698572 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,776 F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of performance-based stock units granted March 2, 2020. Read SEC document |
| February 07, 2023 Filed Feb 9, 2023 02:08 UTC |
Long Suzette MChief Legal Officer
|
GrantCommon Stock | 13,359 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-23-014715 · tm236025-6_4seq1.xml · nonDerivative · entry 1 Long Suzette M · CIK 0001698572 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,024 Read SEC document |
| February 07, 2023 Filed Feb 9, 2023 02:09 UTC |
Fassino Anthony D.Group President
|
Tax withholdingCommon Stock | 1,551 | $248.68 | $385,702.68 |
DisclosureSEC source: 0001104659-23-014716 · tm236025-7_4seq1.xml · nonDerivative · entry 2 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,955 F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of performance-based stock units granted March 2, 2020. Read SEC document |
| February 07, 2023 Filed Feb 9, 2023 02:09 UTC |
Fassino Anthony D.Group President
|
GrantCommon Stock | 4,801 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-23-014716 · tm236025-7_4seq1.xml · nonDerivative · entry 1 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,506 Read SEC document |
| February 07, 2023 Filed Feb 9, 2023 02:09 UTC |
BONFIELD ANDREW R JChief Financial Officer
|
Tax withholdingCommon Stock | 5,328 | $248.68 | $1,324,967.04 |
DisclosureSEC source: 0001104659-23-014718 · tm236025-8_4seq1.xml · nonDerivative · entry 2 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,188 F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of performance-based stock units granted March 2, 2020. Read SEC document |
| February 07, 2023 Filed Feb 9, 2023 02:09 UTC |
BONFIELD ANDREW R JChief Financial Officer
|
GrantCommon Stock | 15,029 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-23-014718 · tm236025-8_4seq1.xml · nonDerivative · entry 1 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,516 Read SEC document |
| February 06, 2023 Filed Feb 7, 2023 18:54 UTC |
DICKINSON DANIEL MDirector
|
SaleCommon Stock | 6,070 | $251.22 | $1,524,905.40 |
DisclosureSEC source: 0001104659-23-011649 · tm235765-1_4seq1.xml · nonDerivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,038 F1 · price: This transaction was executed in multiple trades at prices ranging from $251.1050 to $251.32. 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. F2 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| February 03, 2023 Filed Feb 7, 2023 02:55 UTC |
Johnson Cheryl HChief Human Resources Officer
|
Exercise / conversionEmployee Stock Options · Derivative | 9,623 | $127.60 Strike: $127.60 | $1,227,894.80 |
DisclosureSEC source: 0001104659-23-011402 · tm235646-1_4seq1.xml · derivative · entry 14 Johnson Cheryl H · CIK 0001552649 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,415 Underlying: Common Stock · 9,623 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 |
| February 03, 2023 Filed Feb 7, 2023 02:55 UTC |
Johnson Cheryl HChief Human Resources Officer
|
Exercise / conversionEmployee Stock Options · Derivative | 14,260 | $138.35 Strike: $138.35 | $1,972,871.00 |
DisclosureSEC source: 0001104659-23-011402 · tm235646-1_4seq1.xml · derivative · entry 13 Johnson Cheryl H · CIK 0001552649 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 14,260 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 |
| February 03, 2023 Filed Feb 7, 2023 02:55 UTC |
Johnson Cheryl HChief Human Resources Officer
|
SaleCommon Stock | 9,623 | $250.68 | $2,412,293.64 |
DisclosureSEC source: 0001104659-23-011402 · tm235646-1_4seq1.xml · nonDerivative · entry 6 Johnson Cheryl H · CIK 0001552649 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,857 F3 · price: This transaction was executed in multiple trades at prices ranging from $250.50 to $250.865. 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 |
| February 03, 2023 Filed Feb 7, 2023 02:55 UTC |
Johnson Cheryl HChief Human Resources Officer
|
Exercise / conversionCommon Stock | 9,623 | $127.60 | $1,227,894.80 |
DisclosureSEC source: 0001104659-23-011402 · tm235646-1_4seq1.xml · nonDerivative · entry 5 Johnson Cheryl H · CIK 0001552649 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,480 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 |
| February 03, 2023 Filed Feb 7, 2023 02:55 UTC |
Johnson Cheryl HChief Human Resources Officer
|
SaleCommon Stock | 14,260 | $250.27 | $3,568,850.20 |
DisclosureSEC source: 0001104659-23-011402 · tm235646-1_4seq1.xml · nonDerivative · entry 4 Johnson Cheryl H · CIK 0001552649 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,857 F2 · price: This transaction was executed in multiple trades at prices ranging from $249.83 to $250.50. 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.