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 08, 2022 Filed Feb 10, 2022 18:40 UTC |
BONFIELD ANDREW R JChief Financial Officer
|
GrantCommon Stock | 13,964 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-22-000032 · wf-form4_164451838913135.xml · nonDerivative · entry 1 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,436 Read SEC document |
| February 08, 2022 Filed Feb 10, 2022 18:40 UTC |
Fassino Anthony D.Group President
|
Tax withholdingCommon Stock | 1,221 | $200.77 | $245,140.17 |
DisclosureSEC source: 0000018230-22-000033 · wf-form4_164451840800121.xml · nonDerivative · entry 2 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,705 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 |
| February 08, 2022 Filed Feb 10, 2022 18:40 UTC |
Fassino Anthony D.Group President
|
GrantCommon Stock | 4,073 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-22-000033 · wf-form4_164451840800121.xml · nonDerivative · entry 1 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,926 Read SEC document |
| February 08, 2022 Filed Feb 10, 2022 18:40 UTC |
Creed Joseph EGroup President
|
Tax withholdingCommon Stock | 1,122 | $200.77 | $225,263.94 |
DisclosureSEC source: 0000018230-22-000034 · wf-form4_164451842628521.xml · nonDerivative · entry 2 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,757 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 |
| February 08, 2022 Filed Feb 10, 2022 18:40 UTC |
Creed Joseph EGroup President
|
GrantCommon Stock | 3,879 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-22-000034 · wf-form4_164451842628521.xml · nonDerivative · entry 1 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,879 Read SEC document |
| February 08, 2022 Filed Feb 10, 2022 18:41 UTC |
De Lange BobGroup President
|
Tax withholdingCommon Stock | 5,499 | $200.77 | $1,104,034.23 |
DisclosureSEC source: 0000018230-22-000035 · wf-form4_164451845119587.xml · nonDerivative · entry 2 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,817 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 |
| February 08, 2022 Filed Feb 10, 2022 18:41 UTC |
De Lange BobGroup President
|
GrantCommon Stock | 12,413 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-22-000035 · wf-form4_164451845119587.xml · nonDerivative · entry 1 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,316 Read SEC document |
| February 08, 2022 Filed Feb 10, 2022 18:42 UTC |
Johnson Denise CGroup President
|
Tax withholdingCommon Stock | 5,359 | $200.77 | $1,075,926.43 |
DisclosureSEC source: 0000018230-22-000038 · wf-form4_164451851584704.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: 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 |
| February 08, 2022 Filed Feb 10, 2022 18:42 UTC |
Johnson Denise CGroup President
|
GrantCommon Stock | 13,964 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-22-000038 · wf-form4_164451851584704.xml · nonDerivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,964 Read SEC document |
| February 08, 2022 Filed Feb 10, 2022 18:41 UTC |
Marvel Gary MichaelChief Accounting Officer
|
Tax withholdingCommon Stock | 296 | $200.77 | $59,427.92 |
DisclosureSEC source: 0000018230-22-000036 · wf-form4_164451846804179.xml · nonDerivative · entry 2 Marvel Gary Michael · CIK 0001768626 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 674 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 |
| February 08, 2022 Filed Feb 10, 2022 18:41 UTC |
Marvel Gary MichaelChief Accounting Officer
|
GrantCommon Stock | 970 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-22-000036 · wf-form4_164451846804179.xml · nonDerivative · entry 1 Marvel Gary Michael · CIK 0001768626 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 970 Read SEC document |
| February 08, 2022 Filed Feb 10, 2022 18:42 UTC |
Long Suzette MCLO/General Counsel
|
Tax withholdingCommon Stock | 4,781 | $200.77 | $959,881.37 |
DisclosureSEC source: 0000018230-22-000039 · wf-form4_164451854858754.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 · 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 |
| February 08, 2022 Filed Feb 10, 2022 18:42 UTC |
Long Suzette MCLO/General Counsel
|
GrantCommon Stock | 12,413 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-22-000039 · wf-form4_164451854858754.xml · nonDerivative · entry 1 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,962 Read SEC document |
| February 08, 2022 Filed Feb 10, 2022 18:41 UTC |
Johnson Cheryl HChief Human Resources Officer
|
Tax withholdingCommon Stock | 2,986 | $200.77 | $599,499.22 |
DisclosureSEC source: 0000018230-22-000037 · wf-form4_164451848586813.xml · nonDerivative · entry 2 Johnson Cheryl H · CIK 0001552649 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,653 F2 · 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 |
| February 08, 2022 Filed Feb 10, 2022 18:41 UTC |
Johnson Cheryl HChief Human Resources Officer
|
GrantCommon Stock | 7,371 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-22-000037 · wf-form4_164451848586813.xml · nonDerivative · entry 1 Johnson Cheryl H · CIK 0001552649 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,639 F1 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| February 08, 2022 Filed Feb 10, 2022 21:27 UTC |
Umpleby III Donald JDirector · Chairman and CEO
|
Tax withholdingCommon Stock | 17,984 | $200.77 | $3,610,647.68 |
DisclosureSEC source: 0001104659-22-019407 · tm226127-1_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: 156,275 F3 · 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 |
| February 07, 2022 Filed Feb 9, 2022 17:28 UTC |
MacLennan DavidDirector
|
PurchaseCommon Stock | 480 | $199.50 | $95,760.00 |
DisclosureSEC source: 0000018230-22-000023 · wf-form4_164442768815552.xml · nonDerivative · entry 1 MacLennan David · CIK 0001498535 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,877 F1 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| January 18, 2022 Filed Jan 19, 2022 20:52 UTC |
Creed Joseph EGroup President
|
Exercise / conversionEmployee Stock Options · Derivative | 5,004 | $138.35 Strike: $138.35 | $692,303.40 |
DisclosureSEC source: 0000018230-22-000011 · wf-form4_164262553304046.xml · derivative · entry 4 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,007 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 March 4, 2019 and vest equally in 1/3 increments on each of the first, second and third anniversaries of the grant date. Read SEC document |
| January 18, 2022 Filed Jan 19, 2022 20:52 UTC |
Creed Joseph EGroup President
|
SaleCommon Stock | 5,004 | $230.00 | $1,150,920.00 |
DisclosureSEC source: 0000018230-22-000011 · wf-form4_164262553304046.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 |
| January 18, 2022 Filed Jan 19, 2022 20:52 UTC |
Creed Joseph EGroup President
|
GrantCommon Stock | 5,004 | $138.35 | $692,303.40 |
DisclosureSEC source: 0000018230-22-000011 · wf-form4_164262553304046.xml · nonDerivative · entry 1 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,004 Read SEC document |
| January 07, 2022 Filed Jan 10, 2022 22:38 UTC |
De Lange BobGroup President
|
Exercise / conversionEmployee Stock Option · Derivative | 23,435 | $74.77 Strike: $74.77 | $1,752,234.95 |
DisclosureSEC source: 0000018230-22-000008 · wf-form4_164185423346213.xml · derivative · entry 3 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,435 Underlying: Common Stock · 23,435 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. F2 · 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 |
| January 07, 2022 Filed Jan 10, 2022 22:38 UTC |
De Lange BobGroup President
|
SaleCommon Stock | 23,435 | $225.00 | $5,272,875.00 |
DisclosureSEC source: 0000018230-22-000008 · wf-form4_164185423346213.xml · nonDerivative · entry 2 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,903 Read SEC document |
| January 07, 2022 Filed Jan 10, 2022 22:38 UTC |
De Lange BobGroup President
|
Exercise / conversionCommon Stock | 23,435 | $74.77 | $1,752,234.95 |
DisclosureSEC source: 0000018230-22-000008 · wf-form4_164185423346213.xml · nonDerivative · entry 1 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,338 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| January 07, 2022 Filed Jan 10, 2022 22:39 UTC |
Johnson Cheryl HChief Human Resources Officer
|
Exercise / conversionEmployee Stock Options · Derivative | 6,415 | $127.60 Strike: $127.60 | $818,554.00 |
DisclosureSEC source: 0000018230-22-000009 · wf-form4_164185431602267.xml · derivative · entry 4 Johnson Cheryl H · CIK 0001552649 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,077 Underlying: Common Stock · 6,415 shares Expires 2030-03-02 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 2, 2020 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| January 07, 2022 Filed Jan 10, 2022 22:39 UTC |
Johnson Cheryl HChief Human Resources Officer
|
SaleCommon Stock | 6,415 | $225.00 | $1,443,375.00 |
DisclosureSEC source: 0000018230-22-000009 · wf-form4_164185431602267.xml · nonDerivative · entry 2 Johnson Cheryl H · CIK 0001552649 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,268 F2 · price: This transaction was executed in multiple trades at prices ranging from $225.00 to $225.04. 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 |
| January 07, 2022 Filed Jan 10, 2022 22:39 UTC |
Johnson Cheryl HChief Human Resources Officer
|
Exercise / conversionCommon Stock | 6,415 | $127.60 | $818,554.00 |
DisclosureSEC source: 0000018230-22-000009 · wf-form4_164185431602267.xml · nonDerivative · entry 1 Johnson Cheryl H · CIK 0001552649 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,683 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| December 31, 2021 Filed Jan 3, 2022 16:57 UTC |
CALHOUN DAVID LDirector
|
GrantPhantom Stock Units · Derivative | 266 | $206.71 | $54,984.86 |
DisclosureSEC source: 0000018230-22-000004 · wf-form4_164122905089754.xml · derivative · entry 1 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,988 Underlying: Common Stock · 266 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 31, 2021 Filed Jan 3, 2022 16:57 UTC |
SCHWAB SUSAN CDirector
|
GrantPhantom Stock Units · Derivative | 181 | $206.71 | $37,414.51 |
DisclosureSEC source: 0000018230-22-000005 · wf-form4_164122906605991.xml · derivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,368 Underlying: Common Stock · 181 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 23, 2021 Filed Dec 27, 2021 21:05 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 41 | $206.20 | $8,454.20 |
DisclosureSEC source: 0000018230-21-000268 · wf-form4_164063913353816.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,949 Underlying: Common Stock · 41 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 21 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $206.20 and 20 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 |
| December 23, 2021 Filed Dec 27, 2021 21:05 UTC |
Creed Joseph EGroup President
|
GrantPhantom Stock Units · Derivative | 32 | $206.20 | $6,598.40 |
DisclosureSEC source: 0000018230-21-000267 · wf-form4_164063911761192.xml · derivative · entry 1 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,330 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 $206.20 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 |
| December 01, 2021 Filed Feb 10, 2022 21:27 UTC |
Umpleby III Donald JDirector · Chairman and CEO
|
GiftCommon Stock | 1,520 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-22-019407 · tm226127-1_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 F4 · shares: Gift of shares to an irrevocable trust of which a member of the reporting person's immediate family serves as trustee end of which the reporting person's decendants are beneficiaries. Read SEC document |
| November 26, 2021 Filed Nov 29, 2021 22:56 UTC |
Creed Joseph EGroup President
|
GrantPhantom Stock Units · Derivative | 33 | $198.73 | $6,558.09 |
DisclosureSEC source: 0000018230-21-000263 · wf-form4_163822657658020.xml · derivative · entry 1 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,628 Underlying: Common Stock · 33 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 17 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $198.73 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 |
| November 26, 2021 Filed Nov 29, 2021 22:57 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 43 | $198.73 | $8,545.39 |
DisclosureSEC source: 0000018230-21-000264 · wf-form4_163822660561880.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,337 Underlying: Common Stock · 43 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 $198.73 and 21 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 |
| November 01, 2021 Filed Nov 2, 2021 19:29 UTC |
Creed Joseph EGroup President
|
SaleCommon Stock | 5,038 | $204.09 | $1,028,205.42 |
DisclosureSEC source: 0000018230-21-000254 · wf-form4_163588137296454.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 |
| October 26, 2021 Filed Oct 27, 2021 19:44 UTC |
Creed Joseph EGroup President
|
GrantPhantom Stock Units · Derivative | 33 | $199.64 | $6,588.12 |
DisclosureSEC source: 0000018230-21-000247 · wf-form4_163536387379254.xml · derivative · entry 1 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,439 Underlying: Common Stock · 33 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 17 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $199.64 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 |
| October 26, 2021 Filed Oct 27, 2021 19:45 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 43 | $199.64 | $8,584.52 |
DisclosureSEC source: 0000018230-21-000248 · wf-form4_163536388977098.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,620 Underlying: Common Stock · 43 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 $199.64 and 21 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, 2021 Filed Oct 1, 2021 19:08 UTC |
CALHOUN DAVID LDirector
|
GrantPhantom Stock Units · Derivative | 282 | $195.25 | $55,060.50 |
DisclosureSEC source: 0000018230-21-000242 · wf-form4_163311531470764.xml · derivative · entry 1 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,620 Underlying: Common Stock · 282 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, 2021 Filed Oct 1, 2021 19:09 UTC |
SCHWAB SUSAN CDirector
|
GrantPhantom Stock Units · Derivative | 192 | $195.25 | $37,488.00 |
DisclosureSEC source: 0000018230-21-000243 · wf-form4_163311533029477.xml · derivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,098 Underlying: Common Stock · 192 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 24, 2021 Filed Sep 27, 2021 21:15 UTC |
Creed Joseph EGroup President
|
GrantPhantom Stock Units · Derivative | 34 | $196.82 | $6,691.88 |
DisclosureSEC source: 0000018230-21-000236 · wf-form4_163277731622694.xml · derivative · entry 1 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,304 Underlying: Common Stock · 34 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 17 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $196.82 and 17 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 24, 2021 Filed Sep 27, 2021 21:16 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 43 | $196.82 | $8,463.26 |
DisclosureSEC source: 0000018230-21-000237 · wf-form4_163277734705139.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,135 Underlying: Common Stock · 43 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 $196.82 and 21 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, 2021 Filed Aug 27, 2021 19:34 UTC |
Creed Joseph EGroup President
|
GrantPhantom Stock Units · Derivative | 31 | $211.24 | $6,548.44 |
DisclosureSEC source: 0000018230-21-000229 · wf-form4_163009282748212.xml · derivative · entry 1 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,357 Underlying: Common Stock · 31 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 $211.24 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 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, 2021 Filed Aug 27, 2021 19:34 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 40 | $211.24 | $8,449.60 |
DisclosureSEC source: 0000018230-21-000230 · wf-form4_163009284402621.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,472 Underlying: Common Stock · 40 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 $211.24 and 20 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 04, 2021 Filed Aug 5, 2021 16:36 UTC |
MacLennan DavidDirector
|
PurchaseCommon Stock | 500 | $206.20 | $103,100.00 |
DisclosureSEC source: 0000018230-21-000226 · wf-form4_162818135641099.xml · nonDerivative · entry 1 MacLennan David · CIK 0001498535 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,392 F1 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| July 26, 2021 Filed Jul 27, 2021 21:58 UTC |
Creed Joseph EGroup President
|
GrantPhantom Stock Units · Derivative | 32 | $211.03 | $6,752.96 |
DisclosureSEC source: 0000018230-21-000208 · wf-form4_162742297344257.xml · derivative · entry 1 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,203 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 $211.03 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 |
| July 26, 2021 Filed Jul 27, 2021 21:59 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 41 | $211.03 | $8,652.23 |
DisclosureSEC source: 0000018230-21-000209 · wf-form4_162742310544320.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,890 Underlying: Common Stock · 41 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 21 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $211.03 and 20 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 06, 2021 Filed Feb 10, 2022 21:27 UTC |
Umpleby III Donald JDirector · Chairman and CEO
|
GrantCommon Stock | 42,281 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-22-019407 · tm226127-1_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: 174,259 F1 · balance_after: Represents 33,000 shares transferred on July 6, 2021 and 24,000 shares transferred on August 3, 2021 to Grantor Retained Annuity Trusts. F2 · balance_after: Represents 6,411 shares received on August 10, 2021 and 2,875 shares received on December 1, 2021 from Grantor Retained Annuity Trusts. Read SEC document |
| June 30, 2021 Filed Jul 1, 2021 20:33 UTC |
CALHOUN DAVID LDirector
|
GrantPhantom Stock Units · Derivative | 255 | $216.00 | $55,080.00 |
DisclosureSEC source: 0000018230-21-000204 · wf-form4_162517154451988.xml · derivative · entry 1 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,239 Underlying: Common Stock · 255 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, 2021 Filed Jul 1, 2021 20:34 UTC |
SCHWAB SUSAN CDirector
|
GrantPhantom Stock Units · Derivative | 174 | $216.00 | $37,584.00 |
DisclosureSEC source: 0000018230-21-000205 · wf-form4_162517162438520.xml · derivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,820 Underlying: Common Stock · 174 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 25, 2021 Filed Jun 28, 2021 21:32 UTC |
Creed Joseph EGroup President
|
GrantPhantom Stock Units · Derivative | 24 | $216.31 | $5,191.44 |
DisclosureSEC source: 0000018230-21-000200 · wf-form4_162491593307964.xml · derivative · entry 1 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,249 Underlying: Common Stock · 24 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 12 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $216.31 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 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 25, 2021 Filed Jun 28, 2021 21:33 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 40 | $216.31 | $8,652.40 |
DisclosureSEC source: 0000018230-21-000201 · wf-form4_162491597555176.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,197 Underlying: Common Stock · 40 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 $216.31 and 20 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.