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 |
|---|---|---|---|---|---|---|
| February 03, 2023 Filed Feb 7, 2023 02:55 UTC |
Johnson Cheryl HChief Human Resources Officer
|
Exercise / conversionCommon Stock | 14,260 | $138.35 | $1,972,871.00 |
DisclosureSEC source: 0001104659-23-011402 · tm235646-1_4seq1.xml · nonDerivative · entry 3 Johnson Cheryl H · CIK 0001552649 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,117 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
|
GiftCommon Stock | 693 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-23-011402 · tm235646-1_4seq1.xml · nonDerivative · entry 2 Johnson Cheryl H · CIK 0001552649 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,857 F1 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| January 20, 2023 Filed Feb 7, 2023 02:55 UTC |
Johnson Cheryl HChief Human Resources Officer
|
OtherEmployee Stock Options · Derivative | 12,091 | $0.00 Strike: $196.70 | $0.00 |
DisclosureSEC source: 0001104659-23-011402 · tm235646-1_4seq1.xml · derivative · entry 12 Johnson Cheryl H · CIK 0001552649 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,090 Underlying: Common Stock · 12,091 shares Expires 2032-03-07 F5 · shares: Reflects stock options transferred to a former spouse pursuant to a domestic relations order. F10 · 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 |
| January 20, 2023 Filed Feb 7, 2023 02:55 UTC |
Johnson Cheryl HChief Human Resources Officer
|
OtherEmployee Stock Options · Derivative | 15,541 | $0.00 Strike: $219.76 | $0.00 |
DisclosureSEC source: 0001104659-23-011402 · tm235646-1_4seq1.xml · derivative · entry 11 Johnson Cheryl H · CIK 0001552649 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,541 Underlying: Common Stock · 15,541 shares Expires 2031-03-01 F5 · shares: Reflects stock options transferred to a former spouse pursuant to a domestic relations order. F9 · 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 |
| January 20, 2023 Filed Feb 7, 2023 02:55 UTC |
Johnson Cheryl HChief Human Resources Officer
|
OtherEmployee Stock Options · Derivative | 16,039 | $0.00 Strike: $127.60 | $0.00 |
DisclosureSEC source: 0001104659-23-011402 · tm235646-1_4seq1.xml · derivative · entry 10 Johnson Cheryl H · CIK 0001552649 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,038 Underlying: Common Stock · 16,039 shares Expires 2030-03-02 F5 · shares: Reflects stock options transferred to a former spouse pursuant to a domestic relations order. 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 |
| January 20, 2023 Filed Feb 7, 2023 02:55 UTC |
Johnson Cheryl HChief Human Resources Officer
|
OtherEmployee Stock Options · Derivative | 14,260 | $0.00 Strike: $138.35 | $0.00 |
DisclosureSEC source: 0001104659-23-011402 · tm235646-1_4seq1.xml · derivative · entry 9 Johnson Cheryl H · CIK 0001552649 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,260 Underlying: Common Stock · 14,260 shares Expires 2029-03-04 F5 · shares: Reflects stock options transferred to a former spouse pursuant to a domestic relations order. 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 |
| January 20, 2023 Filed Feb 7, 2023 02:55 UTC |
Johnson Cheryl HChief Human Resources Officer
|
OtherEmployee Stock Options · Derivative | 18,295 | $0.00 Strike: $151.12 | $0.00 |
DisclosureSEC source: 0001104659-23-011402 · tm235646-1_4seq1.xml · derivative · entry 8 Johnson Cheryl H · CIK 0001552649 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,294 Underlying: Common Stock · 18,295 shares Expires 2028-03-05 F5 · shares: Reflects stock options transferred to a former spouse pursuant to a domestic relations order. F6 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 5, 2018 and vested equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| January 09, 2023 Filed Jan 10, 2023 19:08 UTC |
De Lange BobGroup President
|
Exercise / conversionEmployee Stock Options · Derivative | 11,000 | $74.77 Strike: $74.77 | $822,470.00 |
DisclosureSEC source: 0001104659-23-002649 · tm232998-1_4seq1.xml · derivative · entry 3 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 717 Underlying: Common Stock · 11,000 shares Expires 2026-03-07 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. F3 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 7, 2016 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| January 09, 2023 Filed Jan 10, 2023 19:08 UTC |
De Lange BobGroup President
|
SaleCommon Stock | 11,000 | $250.00 | $2,750,000.00 |
DisclosureSEC source: 0001104659-23-002649 · tm232998-1_4seq1.xml · nonDerivative · entry 2 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,559 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 |
| January 09, 2023 Filed Jan 10, 2023 19:08 UTC |
De Lange BobGroup President
|
Exercise / conversionCommon Stock | 11,000 | $74.77 | $822,470.00 |
DisclosureSEC source: 0001104659-23-002649 · tm232998-1_4seq1.xml · nonDerivative · entry 1 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,559 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 |
| January 06, 2023 Filed Jan 9, 2023 18:37 UTC |
Creed Joseph EGroup President
|
Exercise / conversionEmployee Stock Options · Derivative | 18,294 | $151.12 Strike: $151.12 | $2,764,589.28 |
DisclosureSEC source: 0001104659-23-002189 · tm232729-1_4seq1.xml · derivative · entry 4 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed 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. F3 · 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 |
| January 06, 2023 Filed Jan 9, 2023 18:37 UTC |
Creed Joseph EGroup President
|
SaleCommon Stock | 18,294 | $249.00 | $4,555,206.00 |
DisclosureSEC source: 0001104659-23-002189 · tm232729-1_4seq1.xml · nonDerivative · entry 2 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · 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 |
| January 06, 2023 Filed Jan 9, 2023 18:37 UTC |
Creed Joseph EGroup President
|
Exercise / conversionCommon Stock | 18,294 | $151.12 | $2,764,589.28 |
DisclosureSEC source: 0001104659-23-002189 · tm232729-1_4seq1.xml · nonDerivative · entry 1 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,294 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 |
| December 30, 2022 Filed Jan 3, 2023 17:55 UTC |
CALHOUN DAVID LDirector
|
GrantPhantom Stock Units · Derivative | 157 | $238.93 | $37,512.01 |
DisclosureSEC source: 0001104659-23-000236 · tm231394-1_4seq1.xml · derivative · entry 1 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,366 Underlying: Common Stock · 157 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 |
| December 30, 2022 Filed Jan 3, 2023 17:56 UTC |
SCHWAB SUSAN CDirector
|
GrantPhantom Stock Units · Derivative | 157 | $238.93 | $37,512.01 |
DisclosureSEC source: 0001104659-23-000237 · tm231394-2_4seq1.xml · derivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,508 Underlying: Common Stock · 157 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 |
| December 27, 2022 Filed Dec 28, 2022 18:39 UTC |
Creed Joseph EGroup President
|
Exercise / conversionEmployee Stock Options · Derivative | 7,698 | $127.60 Strike: $127.60 | $982,264.80 |
DisclosureSEC source: 0001104659-22-130461 · tm2233604-1_4seq1.xml · derivative · entry 4 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,698 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 |
| December 27, 2022 Filed Dec 28, 2022 18:39 UTC |
Creed Joseph EGroup President
|
SaleCommon Stock | 7,698 | $244.00 | $1,878,312.00 |
DisclosureSEC source: 0001104659-22-130461 · tm2233604-1_4seq1.xml · nonDerivative · entry 2 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| December 27, 2022 Filed Dec 28, 2022 18:39 UTC |
Creed Joseph EGroup President
|
Exercise / conversionCommon Stock | 7,698 | $127.60 | $982,264.80 |
DisclosureSEC source: 0001104659-22-130461 · tm2233604-1_4seq1.xml · nonDerivative · entry 1 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed 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 |
| December 27, 2022 Filed Dec 28, 2022 18:43 UTC |
Johnson Denise CGroup President
|
Exercise / conversionEmployee Stock Options · Derivative | 23,737 | $127.60 Strike: $127.60 | $3,028,841.20 |
DisclosureSEC source: 0001104659-22-130462 · tm2233604-2_4seq1.xml · derivative · entry 3 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,736 Underlying: Common Stock · 23,737 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 |
| December 27, 2022 Filed Dec 28, 2022 18:43 UTC |
Johnson Denise CGroup President
|
SaleCommon Stock | 23,737 | $240.14 | $5,700,203.18 |
DisclosureSEC source: 0001104659-22-130462 · tm2233604-2_4seq1.xml · nonDerivative · entry 2 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,605 F1 · 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 |
| December 27, 2022 Filed Dec 28, 2022 18:43 UTC |
Johnson Denise CGroup President
|
Exercise / conversionCommon Stock | 23,737 | $127.60 | $3,028,841.20 |
DisclosureSEC source: 0001104659-22-130462 · tm2233604-2_4seq1.xml · nonDerivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,342 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 |
| December 23, 2022 Filed Dec 27, 2022 19:06 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 37 | $239.87 | $8,875.19 |
DisclosureSEC source: 0001104659-22-130103 · tm2233521-1_4seq1.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,172 Underlying: Common Stock · 37 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 19 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $239.87 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 interets 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 |
| December 23, 2022 Filed Dec 27, 2022 19:07 UTC |
Creed Joseph EGroup President
|
GrantPhantom Stock Units · Derivative | 30 | $239.87 | $7,196.10 |
DisclosureSEC source: 0001104659-22-130104 · tm2233521-2_4seq1.xml · derivative · entry 1 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,523 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 $239.87 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 interets 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 |
| December 14, 2022 Filed Dec 15, 2022 21:01 UTC |
Creed Joseph EGroup President
|
Exercise / conversionEmployee Stock Options · Derivative | 5,003 | $138.35 Strike: $138.35 | $692,165.05 |
DisclosureSEC source: 0001104659-22-127328 · tm2232762-1_4seq1.xml · derivative · entry 4 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,003 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. F2 · 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 |
| December 14, 2022 Filed Dec 15, 2022 21:01 UTC |
Creed Joseph EGroup President
|
SaleCommon Stock | 5,003 | $238.00 | $1,190,714.00 |
DisclosureSEC source: 0001104659-22-127328 · tm2232762-1_4seq1.xml · nonDerivative · entry 2 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| December 14, 2022 Filed Dec 15, 2022 21:01 UTC |
Creed Joseph EGroup President
|
Exercise / conversionCommon Stock | 5,003 | $138.35 | $692,165.05 |
DisclosureSEC source: 0001104659-22-127328 · tm2232762-1_4seq1.xml · nonDerivative · entry 1 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,003 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 |
| November 25, 2022 Filed Nov 28, 2022 21:09 UTC |
Creed Joseph EGroup President
|
GrantPhantom Stock Units · Derivative | 30 | $235.70 | $7,071.00 |
DisclosureSEC source: 0001104659-22-122403 · tm2231454-1_4seq1.xml · derivative · entry 1 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,591 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 $235.70 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 interets 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 |
| November 25, 2022 Filed Nov 28, 2022 21:10 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 38 | $235.70 | $8,956.60 |
DisclosureSEC source: 0001104659-22-122404 · tm2231454-2_4seq1.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,516 Underlying: Common Stock · 38 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 19 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $235.70 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 interets 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 |
| November 11, 2022 Filed Nov 14, 2022 20:06 UTC |
Long Suzette MCLO/General Counsel
|
SaleCommon Stock | 942 | $237.37 | $223,602.54 |
DisclosureSEC source: 0001104659-22-118391 · tm2230041-2_4seq1.xml · nonDerivative · entry 2 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,665 Read SEC document |
| November 11, 2022 Filed Nov 14, 2022 20:06 UTC |
Long Suzette MCLO/General Counsel
|
SaleCommon Stock | 942 | $237.19 | $223,432.98 |
DisclosureSEC source: 0001104659-22-118391 · tm2230041-2_4seq1.xml · nonDerivative · entry 1 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,607 F1 · price: This transaction was executed in multiple trades at prices ranging from $237.17 to $237.20. 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 |
| November 09, 2022 Filed Feb 7, 2023 02:55 UTC |
Johnson Cheryl HChief Human Resources Officer
|
GiftCommon Stock | 6,607 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-23-011402 · tm235646-1_4seq1.xml · nonDerivative · entry 1 Johnson Cheryl H · CIK 0001552649 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,440 F1 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| November 08, 2022 Filed Nov 10, 2022 17:35 UTC |
Umpleby III Donald JDirector · Chairman and CEO
|
Exercise / conversionEmployee Stock Options · Derivative | 151,402 | $0.00 Strike: $127.60 | $0.00 |
DisclosureSEC source: 0001104659-22-116967 · tm2230041-1_4seq1.xml · derivative · entry 11 Umpleby III Donald J · CIK 0001566320 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,701 Underlying: Common Stock · 151,402 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. F6 · 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 |
| November 08, 2022 Filed Nov 10, 2022 17:35 UTC |
Umpleby III Donald JDirector · Chairman and CEO
|
Tax withholdingCommon Stock | 113,927 | $229.65 | $26,163,335.55 |
DisclosureSEC source: 0001104659-22-116967 · tm2230041-1_4seq1.xml · nonDerivative · entry 2 Umpleby III Donald J · CIK 0001566320 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 214,052 Read SEC document |
| November 08, 2022 Filed Nov 10, 2022 17:35 UTC |
Umpleby III Donald JDirector · Chairman and CEO
|
Exercise / conversionCommon Stock | 151,402 | $127.60 | $19,318,895.20 |
DisclosureSEC source: 0001104659-22-116967 · tm2230041-1_4seq1.xml · nonDerivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 327,979 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: Reflects 7,925 shares transferred on May 26, 2022 and 36,674 shares transferred on August 18, 2022 from Grantor Retained Annuity Trusts. F2 · balance_after: Reflects 24,297 shares transferred on February 24, 2022 to a Grantor Retained Annuity Trust. Read SEC document |
| October 26, 2022 Filed Oct 27, 2022 19:54 UTC |
Creed Joseph EGroup President
|
GrantPhantom Stock Units · Derivative | 36 | $196.96 | $7,090.56 |
DisclosureSEC source: 0000018230-22-000219 · wf-form4_166690047714026.xml · derivative · entry 1 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,474 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 $196.96 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 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 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 |
| October 26, 2022 Filed Oct 27, 2022 19:55 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 45 | $196.96 | $8,863.20 |
DisclosureSEC source: 0000018230-22-000220 · wf-form4_166690049788460.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,142 Underlying: Common Stock · 45 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 23 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $196.96 and 22 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 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 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 |
| September 30, 2022 Filed Oct 3, 2022 20:23 UTC |
CALHOUN DAVID LDirector
|
GrantPhantom Stock Units · Derivative | 226 | $165.84 | $37,479.84 |
DisclosureSEC source: 0000018230-22-000209 · wf-form4_166482859358166.xml · derivative · entry 1 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,104 Underlying: Common Stock · 226 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 |
| September 30, 2022 Filed Oct 3, 2022 20:23 UTC |
SCHWAB SUSAN CDirector
|
GrantPhantom Stock Units · Derivative | 226 | $165.84 | $37,479.84 |
DisclosureSEC source: 0000018230-22-000210 · wf-form4_166482861916033.xml · derivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,260 Underlying: Common Stock · 226 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 |
| September 26, 2022 Filed Sep 27, 2022 21:55 UTC |
Creed Joseph EGroup President
|
GrantPhantom Stock Units · Derivative | 44 | $162.62 | $7,155.28 |
DisclosureSEC source: 0000018230-22-000205 · wf-form4_166431571478354.xml · derivative · entry 1 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,547 Underlying: Common Stock · 44 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 22 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $162.62 and 22 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 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 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 |
| September 26, 2022 Filed Sep 27, 2022 21:55 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 54 | $162.62 | $8,781.48 |
DisclosureSEC source: 0000018230-22-000206 · wf-form4_166431573241692.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,523 Underlying: Common Stock · 54 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 27 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $162.62 and 27 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 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 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 |
| September 01, 2022 Filed Sep 2, 2022 17:51 UTC |
Schaupp William EChief Accounting Officer
|
Tax withholdingCommon Stock | 289 | $181.66 | $52,499.74 |
DisclosureSEC source: 0000018230-22-000195 · wf-form4_166214109687466.xml · nonDerivative · entry 1 Schaupp William E · CIK 0001739758 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,680 F1 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| August 26, 2022 Filed Aug 30, 2022 14:38 UTC |
Creed Joseph EGroup President
|
GrantPhantom Stock Units · Derivative | 37 | $191.92 | $7,101.04 |
DisclosureSEC source: 0000018230-22-000186 · wf-form4_166187030157051.xml · derivative · entry 1 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,654 Underlying: Common Stock · 37 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 19 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $191.92 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 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 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 |
| August 26, 2022 Filed Aug 30, 2022 14:38 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 46 | $191.92 | $8,828.32 |
DisclosureSEC source: 0000018230-22-000187 · wf-form4_166187031705968.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,065 Underlying: Common Stock · 46 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 23 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $191.92 and 23 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 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 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 |
| August 18, 2022 Filed Nov 10, 2022 17:35 UTC |
Umpleby III Donald JDirector · Chairman and CEO
|
GiftCommon Stock | 7,490 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-22-116967 · tm2230041-1_4seq1.xml · nonDerivative · entry 4 Umpleby III Donald J · CIK 0001566320 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Grantor Retained Annuity 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. Read SEC document |
| July 26, 2022 Filed Jul 28, 2022 15:12 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 49 | $181.23 | $8,880.27 |
DisclosureSEC source: 0000018230-22-000175 · wf-form4_165902111422635.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,225 Underlying: Common Stock · 49 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 25 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $181.23 and 24 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 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 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, 2022 Filed Jul 28, 2022 15:11 UTC |
Creed Joseph EGroup President
|
GrantPhantom Stock Units · Derivative | 39 | $181.23 | $7,067.97 |
DisclosureSEC source: 0000018230-22-000174 · wf-form4_165902107974162.xml · derivative · entry 1 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,415 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 $181.23 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 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 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 30, 2022 Filed Jul 1, 2022 12:53 UTC |
CALHOUN DAVID LDirector
|
GrantPhantom Stock Units · Derivative | 306 | $179.63 | $54,966.78 |
DisclosureSEC source: 0000018230-22-000168 · wf-form4_165667996578027.xml · derivative · entry 1 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,757 Underlying: Common Stock · 306 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, 2022 Filed Jul 1, 2022 12:53 UTC |
SCHWAB SUSAN CDirector
|
GrantPhantom Stock Units · Derivative | 209 | $179.63 | $37,542.67 |
DisclosureSEC source: 0000018230-22-000169 · wf-form4_165667999134195.xml · derivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,930 Underlying: Common Stock · 209 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 24, 2022 Filed Jun 28, 2022 00:49 UTC |
Creed Joseph EGroup President
|
GrantPhantom Stock Units · Derivative | 26 | $185.49 | $4,822.74 |
DisclosureSEC source: 0000018230-22-000164 · wf-form4_165637737558895.xml · derivative · entry 1 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,084 Underlying: Common Stock · 26 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 $185.49 and 13 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 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 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 24, 2022 Filed Jun 28, 2022 00:50 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 48 | $185.49 | $8,903.52 |
DisclosureSEC source: 0000018230-22-000165 · wf-form4_165637739228578.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,022 Underlying: Common Stock · 48 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 24 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $185.49 and 24 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 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 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.