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 08, 2022 Filed Jun 9, 2022 22:56 UTC |
Ayotte KellyDirector
|
GrantCommon Stock | 816 | $229.80 | $187,516.80 |
DisclosureSEC source: 0000018230-22-000133 · wf-form4_165481534572392.xml · nonDerivative · entry 1 Ayotte Kelly · CIK 0001702559 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,363 F1 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| June 08, 2022 Filed Jun 10, 2022 16:23 UTC |
CALHOUN DAVID LDirector
|
GrantCommon Stock | 816 | $229.80 | $187,516.80 |
DisclosureSEC source: 0000018230-22-000134 · wf-form4_165487821748101.xml · nonDerivative · entry 1 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,964 F1 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| June 08, 2022 Filed Jun 10, 2022 16:24 UTC |
DICKINSON DANIEL MDirector
|
GrantCommon Stock | 816 | $229.80 | $187,516.80 |
DisclosureSEC source: 0000018230-22-000136 · wf-form4_165487825354135.xml · nonDerivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,099 F1 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| June 08, 2022 Filed Jun 10, 2022 16:24 UTC |
MacLennan DavidDirector
|
GrantCommon Stock | 816 | $229.80 | $187,516.80 |
DisclosureSEC source: 0000018230-22-000135 · wf-form4_165487823570084.xml · nonDerivative · entry 1 MacLennan David · CIK 0001498535 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,297 F1 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| June 08, 2022 Filed Jun 10, 2022 16:24 UTC |
Johnson GeraldDirector
|
GrantCommon Stock | 816 | $229.80 | $187,516.80 |
DisclosureSEC source: 0000018230-22-000137 · wf-form4_165487826928271.xml · nonDerivative · entry 1 Johnson Gerald · CIK 0001772226 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,385 F1 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| June 08, 2022 Filed Jun 10, 2022 16:24 UTC |
REED DEBRA LDirector
|
GrantCommon Stock | 816 | $229.80 | $187,516.80 |
DisclosureSEC source: 0000018230-22-000138 · wf-form4_165487828595618.xml · nonDerivative · entry 1 REED DEBRA L · CIK 0001225947 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,617 F1 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| June 08, 2022 Filed Jun 10, 2022 16:25 UTC |
RUST EDWARD B JRDirector
|
GrantCommon Stock | 816 | $229.80 | $187,516.80 |
DisclosureSEC source: 0000018230-22-000139 · wf-form4_165487830155306.xml · nonDerivative · entry 1 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,382 F1 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| June 08, 2022 Filed Jun 10, 2022 16:25 UTC |
SCHWAB SUSAN CDirector
|
GrantCommon Stock | 816 | $229.80 | $187,516.80 |
DisclosureSEC source: 0000018230-22-000140 · wf-form4_165487831902274.xml · nonDerivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,321 F1 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| June 08, 2022 Filed Jun 10, 2022 16:25 UTC |
WILKINS RAYFORD JRDirector
|
GrantCommon Stock | 816 | $229.80 | $187,516.80 |
DisclosureSEC source: 0000018230-22-000141 · wf-form4_165487833653770.xml · nonDerivative · entry 1 WILKINS RAYFORD JR · CIK 0001184395 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,027 F1 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| May 26, 2022 Filed May 27, 2022 15:44 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 32 | $212.99 | $6,815.68 |
DisclosureSEC source: 0000018230-22-000122 · wf-form4_165366625330921.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,399 Underlying: Common Stock · 32 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 16 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $212.99 and 16 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 |
| May 26, 2022 Filed Nov 10, 2022 17:35 UTC |
Umpleby III Donald JDirector · Chairman and CEO
|
GiftCommon Stock | 13,835 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-22-116967 · tm2230041-1_4seq1.xml · nonDerivative · entry 3 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 |
| May 18, 2022 Filed May 23, 2022 16:11 UTC |
Creed Joseph EGroup President
|
SaleCommon Stock | 2,757 | $214.13 | $590,356.41 |
DisclosureSEC source: 0000018230-22-000119 · wf-form4_165332229703111.xml · nonDerivative · entry 1 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| May 05, 2022 Filed May 6, 2022 15:07 UTC |
MacLennan DavidDirector
|
PurchaseCommon Stock | 600 | $219.82 | $131,892.00 |
DisclosureSEC source: 0000018230-22-000116 · wf-form4_165184963075275.xml · nonDerivative · entry 1 MacLennan David · CIK 0001498535 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,480 F1 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| April 21, 2022 Filed Apr 25, 2022 17:05 UTC |
De Lange BobGroup President
|
Exercise / conversionEmployee Stock Option · Derivative | 11,718 | $74.77 Strike: $74.77 | $876,154.86 |
DisclosureSEC source: 0000018230-22-000102 · wf-form4_165090631508089.xml · derivative · entry 3 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,717 Underlying: Common Stock · 11,718 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. F1 · 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 each of the first, second and third anniversaries of the grant date. Read SEC document |
| April 21, 2022 Filed Apr 25, 2022 17:05 UTC |
De Lange BobGroup President
|
SaleCommon Stock | 11,718 | $237.25 | $2,780,095.50 |
DisclosureSEC source: 0000018230-22-000102 · wf-form4_165090631508089.xml · nonDerivative · entry 2 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,817 Read SEC document |
| April 21, 2022 Filed Apr 25, 2022 17:05 UTC |
De Lange BobGroup President
|
Exercise / conversionCommon Stock | 11,718 | $74.77 | $876,154.86 |
DisclosureSEC source: 0000018230-22-000102 · wf-form4_165090631508089.xml · nonDerivative · entry 1 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,535 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 |
| April 20, 2022 Filed Apr 22, 2022 16:59 UTC |
Long Suzette MCLO/General Counsel
|
SaleCommon Stock | 3,816 | $235.00 | $896,760.00 |
DisclosureSEC source: 0000018230-22-000100 · wf-form4_165064676804741.xml · nonDerivative · entry 1 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,549 Read SEC document |
| April 20, 2022 Filed Apr 22, 2022 16:59 UTC |
Creed Joseph EGroup President
|
Exercise / conversionEmployee Stock Options · Derivative | 5,004 | $138.35 Strike: $138.35 | $692,303.40 |
DisclosureSEC source: 0000018230-22-000099 · wf-form4_165064675086854.xml · derivative · entry 4 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,003 Underlying: Common Stock · 5,004 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 |
| April 20, 2022 Filed Apr 22, 2022 16:59 UTC |
Creed Joseph EGroup President
|
SaleCommon Stock | 5,004 | $235.00 | $1,175,940.00 |
DisclosureSEC source: 0000018230-22-000099 · wf-form4_165064675086854.xml · nonDerivative · entry 2 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,757 Read SEC document |
| April 20, 2022 Filed Apr 22, 2022 16:59 UTC |
Creed Joseph EGroup President
|
Exercise / conversionCommon Stock | 5,004 | $138.35 | $692,303.40 |
DisclosureSEC source: 0000018230-22-000099 · wf-form4_165064675086854.xml · nonDerivative · entry 1 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,761 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 |
| March 31, 2022 Filed Apr 1, 2022 21:34 UTC |
CALHOUN DAVID LDirector
|
GrantPhantom Stock Units · Derivative | 246 | $223.81 | $55,057.26 |
DisclosureSEC source: 0000018230-22-000093 · wf-form4_164884883259506.xml · derivative · entry 1 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,343 Underlying: Common Stock · 246 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, 2022 Filed Apr 1, 2022 21:34 UTC |
SCHWAB SUSAN CDirector
|
GrantPhantom Stock Units · Derivative | 168 | $223.81 | $37,600.08 |
DisclosureSEC source: 0000018230-22-000094 · wf-form4_164884887140824.xml · derivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,629 Underlying: Common Stock · 168 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 17, 2022 Filed Mar 21, 2022 14:35 UTC |
Long Suzette MCLO/General Counsel
|
Exercise / conversionEmployee Stock Options · Derivative | 20,529 | $127.60 Strike: $127.60 | $2,619,500.40 |
DisclosureSEC source: 0000018230-22-000082 · wf-form4_164787329453316.xml · derivative · entry 8 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,529 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. 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 |
| March 17, 2022 Filed Mar 21, 2022 14:35 UTC |
Long Suzette MCLO/General Counsel
|
Exercise / conversionEmployee Stock Options · Derivative | 16,011 | $138.35 Strike: $138.35 | $2,215,121.85 |
DisclosureSEC source: 0000018230-22-000082 · wf-form4_164787329453316.xml · derivative · entry 7 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 16,011 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. F3 · 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 |
| March 17, 2022 Filed Mar 21, 2022 14:35 UTC |
Long Suzette MCLO/General Counsel
|
SaleCommon Stock | 3,816 | $220.00 | $839,520.00 |
DisclosureSEC source: 0000018230-22-000082 · wf-form4_164787329453316.xml · nonDerivative · entry 5 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,365 Read SEC document |
| March 17, 2022 Filed Mar 21, 2022 14:35 UTC |
Long Suzette MCLO/General Counsel
|
SaleCommon Stock | 20,529 | $220.00 | $4,516,380.00 |
DisclosureSEC source: 0000018230-22-000082 · wf-form4_164787329453316.xml · nonDerivative · entry 4 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,181 Read SEC document |
| March 17, 2022 Filed Mar 21, 2022 14:35 UTC |
Long Suzette MCLO/General Counsel
|
Exercise / conversionCommon Stock | 20,529 | $127.60 | $2,619,500.40 |
DisclosureSEC source: 0000018230-22-000082 · wf-form4_164787329453316.xml · nonDerivative · entry 3 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,710 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 |
| March 17, 2022 Filed Mar 21, 2022 14:35 UTC |
Long Suzette MCLO/General Counsel
|
SaleCommon Stock | 16,011 | $220.00 | $3,522,420.00 |
DisclosureSEC source: 0000018230-22-000082 · wf-form4_164787329453316.xml · nonDerivative · entry 2 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,181 F1 · price: This transaction was executed in multiple trades at prices ranging from $220.00 to $220.01. 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 |
| March 17, 2022 Filed Mar 21, 2022 14:35 UTC |
Long Suzette MCLO/General Counsel
|
Exercise / conversionCommon Stock | 16,011 | $138.35 | $2,215,121.85 |
DisclosureSEC source: 0000018230-22-000082 · wf-form4_164787329453316.xml · nonDerivative · entry 1 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,192 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 |
| March 14, 2022 Filed Mar 15, 2022 21:51 UTC |
Creed Joseph EGroup President
|
GrantPhantom Stock Units · Derivative | 684 | $215.44 | $147,360.96 |
DisclosureSEC source: 0000018230-22-000079 · wf-form4_164738105855816.xml · derivative · entry 2 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,221 Underlying: Common Stock · 684 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. F4 · shares: This total includes 342 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $215.44 and 342 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. 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 14, 2022 Filed Mar 15, 2022 21:51 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 987 | $215.44 | $212,639.28 |
DisclosureSEC source: 0000018230-22-000080 · wf-form4_164738108626372.xml · derivative · entry 2 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,583 Underlying: Common Stock · 987 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. F4 · shares: This total includes 494 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $215.44 and 493 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. 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 11, 2022 Filed Mar 15, 2022 21:51 UTC |
Creed Joseph EGroup President
|
GrantPhantom Stock Units · Derivative | 87 | $214.83 | $18,690.21 |
DisclosureSEC source: 0000018230-22-000079 · wf-form4_164738105855816.xml · derivative · entry 1 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,477 Underlying: Common Stock · 87 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 11, 2022 Filed Mar 15, 2022 21:51 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 129 | $214.83 | $27,713.07 |
DisclosureSEC source: 0000018230-22-000080 · wf-form4_164738108626372.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,335 Underlying: Common Stock · 129 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 09, 2022 Filed Mar 11, 2022 15:25 UTC |
BONFIELD ANDREW R JChief Financial Officer
|
Exercise / conversionEmployee Stock Options · Derivative | 23,095 | $0.00 Strike: $127.60 | $0.00 |
DisclosureSEC source: 0000018230-22-000076 · wf-form4_164701234358562.xml · derivative · entry 6 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,095 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. 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 |
| March 09, 2022 Filed Mar 11, 2022 15:25 UTC |
BONFIELD ANDREW R JChief Financial Officer
|
Exercise / conversionEmployee Stock Options · Derivative | 18,012 | $0.00 Strike: $138.35 | $0.00 |
DisclosureSEC source: 0000018230-22-000076 · wf-form4_164701234358562.xml · derivative · entry 5 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Not disclosed 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. F1 · 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 |
| March 09, 2022 Filed Mar 11, 2022 15:25 UTC |
BONFIELD ANDREW R JChief Financial Officer
|
Tax withholdingCommon Stock | 18,027 | $210.53 | $3,795,224.31 |
DisclosureSEC source: 0000018230-22-000076 · wf-form4_164701234358562.xml · nonDerivative · entry 4 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,487 Read SEC document |
| March 09, 2022 Filed Mar 11, 2022 15:25 UTC |
BONFIELD ANDREW R JChief Financial Officer
|
Exercise / conversionCommon Stock | 23,095 | $127.60 | $2,946,922.00 |
DisclosureSEC source: 0000018230-22-000076 · wf-form4_164701234358562.xml · nonDerivative · entry 3 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,514 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 |
| March 09, 2022 Filed Mar 11, 2022 15:25 UTC |
BONFIELD ANDREW R JChief Financial Officer
|
Tax withholdingCommon Stock | 14,572 | $210.53 | $3,067,843.16 |
DisclosureSEC source: 0000018230-22-000076 · wf-form4_164701234358562.xml · nonDerivative · entry 2 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,419 Read SEC document |
| March 09, 2022 Filed Mar 11, 2022 15:25 UTC |
BONFIELD ANDREW R JChief Financial Officer
|
Exercise / conversionCommon Stock | 18,012 | $138.35 | $2,491,960.20 |
DisclosureSEC source: 0000018230-22-000076 · wf-form4_164701234358562.xml · nonDerivative · entry 1 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,991 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 |
| March 07, 2022 Filed Mar 8, 2022 23:21 UTC |
BONFIELD ANDREW R JChief Financial Officer
|
GrantEmployee Stock Options · Derivative | 42,559 | $0.00 Strike: $196.70 | $0.00 |
DisclosureSEC source: 0000018230-22-000067 · wf-form4_164678169449573.xml · derivative · entry 1 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,559 Underlying: Common Stock · 42,559 shares Expires 2032-03-07 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 07, 2022 Filed Mar 8, 2022 23:22 UTC |
Fassino Anthony D.Group President
|
GrantEmployee Stock Options · Derivative | 35,788 | $0.00 Strike: $196.70 | $0.00 |
DisclosureSEC source: 0000018230-22-000068 · wf-form4_164678171220210.xml · derivative · entry 1 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,788 Underlying: Common Stock · 35,788 shares Expires 2032-03-07 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 07, 2022 Filed Mar 8, 2022 23:22 UTC |
Creed Joseph EGroup President
|
GrantEmployee Stock Options · Derivative | 35,788 | $0.00 Strike: $196.70 | $0.00 |
DisclosureSEC source: 0000018230-22-000069 · wf-form4_164678173263326.xml · derivative · entry 1 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,788 Underlying: Common Stock · 35,788 shares Expires 2032-03-07 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 07, 2022 Filed Mar 8, 2022 23:22 UTC |
De Lange BobGroup President
|
GrantEmployee Stock Options · Derivative | 35,788 | $0.00 Strike: $196.70 | $0.00 |
DisclosureSEC source: 0000018230-22-000070 · wf-form4_164678175997511.xml · derivative · entry 1 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,788 Underlying: Common Stock · 35,788 shares Expires 2032-03-07 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 07, 2022 Filed Mar 8, 2022 23:23 UTC |
Johnson Cheryl HChief Human Resources Officer
|
GrantEmployee Stock Options · Derivative | 24,181 | $0.00 Strike: $196.70 | $0.00 |
DisclosureSEC source: 0000018230-22-000071 · wf-form4_164678178092660.xml · derivative · entry 1 Johnson Cheryl H · CIK 0001552649 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,181 Underlying: Common Stock · 24,181 shares Expires 2032-03-07 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 07, 2022 Filed Mar 8, 2022 23:23 UTC |
Johnson Denise CGroup President
|
GrantEmployee Stock Options · Derivative | 35,788 | $0.00 Strike: $196.70 | $0.00 |
DisclosureSEC source: 0000018230-22-000072 · wf-form4_164678179715384.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,788 Underlying: Common Stock · 35,788 shares Expires 2032-03-07 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 07, 2022 Filed Mar 8, 2022 23:23 UTC |
Long Suzette MCLO/General Counsel
|
GrantEmployee Stock Options · Derivative | 32,887 | $0.00 Strike: $196.70 | $0.00 |
DisclosureSEC source: 0000018230-22-000073 · wf-form4_164678182188071.xml · derivative · entry 1 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,887 Underlying: Common Stock · 32,887 shares Expires 2032-03-07 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 07, 2022 Filed Mar 8, 2022 23:24 UTC |
Umpleby III Donald JDirector · Chairman & CEO
|
GrantEmployee Stock Options · Derivative | 130,579 | $0.00 Strike: $196.70 | $0.00 |
DisclosureSEC source: 0000018230-22-000074 · wf-form4_164678184094203.xml · derivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 130,579 Underlying: Common Stock · 130,579 shares Expires 2032-03-07 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 01, 2022 Filed Mar 2, 2022 17:58 UTC |
WHITE MILES DDirector
|
Tax withholdingCommon Stock | 293 | $184.43 | $54,037.99 |
DisclosureSEC source: 0000018230-22-000058 · wf-form4_164624387332454.xml · nonDerivative · entry 1 WHITE MILES D · CIK 0001239129 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,382 F1 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| February 16, 2022 Filed Feb 17, 2022 18:54 UTC |
Marvel Gary MichaelChief Accounting Officer
|
SaleCommon Stock | 674 | $203.11 | $136,896.14 |
DisclosureSEC source: 0000018230-22-000056 · wf-form4_164512403039667.xml · nonDerivative · entry 1 Marvel Gary Michael · CIK 0001768626 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| February 08, 2022 Filed Feb 10, 2022 18:40 UTC |
BONFIELD ANDREW R JChief Financial Officer
|
Tax withholdingCommon Stock | 5,457 | $200.77 | $1,095,601.89 |
DisclosureSEC source: 0000018230-22-000032 · wf-form4_164451838913135.xml · nonDerivative · entry 2 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,979 F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligations arising from the vesting of performance-based restricted stock units granted on March 4, 2019. 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.