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 13, 2021 Filed Jun 15, 2021 18:31 UTC |
Creed Joseph EGroup President
|
Tax withholdingCommon Stock | 1,009 | $218.79 | $220,759.11 |
DisclosureSEC source: 0000018230-21-000176 · wf-form4_162378188938663.xml · nonDerivative · entry 1 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,038 Read SEC document |
| June 04, 2021 Filed Jun 7, 2021 18:30 UTC |
Creed Joseph EGroup President
|
Exercise / conversionEmployee Stock Options · Derivative | 7,699 | $127.60 Strike: $127.60 | $982,392.40 |
DisclosureSEC source: 0000018230-21-000168 · wf-form4_162309063353548.xml · derivative · entry 4 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,396 Underlying: Common Stock · 7,699 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. F3 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar 2014 Long-Term Incentive Plan on March 2, 2020 and vest and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| June 04, 2021 Filed Jun 7, 2021 18:30 UTC |
Creed Joseph EGroup President
|
SaleCommon Stock | 7,699 | $245.12 | $1,887,178.88 |
DisclosureSEC source: 0000018230-21-000168 · wf-form4_162309063353548.xml · nonDerivative · entry 2 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,047 Read SEC document |
| June 04, 2021 Filed Jun 7, 2021 18:30 UTC |
Creed Joseph EGroup President
|
Exercise / conversionCommon Stock | 7,699 | $127.60 | $982,392.40 |
DisclosureSEC source: 0000018230-21-000168 · wf-form4_162309063353548.xml · nonDerivative · entry 1 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,746 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 |
| May 26, 2021 Filed May 28, 2021 20:36 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 29 | $237.71 | $6,893.59 |
DisclosureSEC source: 0000018230-21-000166 · wf-form4_162223415286718.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,758 Underlying: Common Stock · 29 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 $237.71 and 14 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 07, 2021 Filed May 11, 2021 21:06 UTC |
Umpleby III Donald JDirector · Chairman & CEO
|
GiftCommon Stock | 4,495 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-21-000160 · wf-form4_162076718562191.xml · nonDerivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 179,692 F1 · shares: Represents a donation of ordinary shares to The Ayco Charitable Foundation, a Donor Advised Fund. F2 · balance_after: Reflects transfer of 5,890 shares on May 7, 2021. This transfer was exempt form reporting pursuant to Rule 16a-13 under the Act. Read SEC document |
| May 05, 2021 Filed May 6, 2021 18:22 UTC |
MacLennan DavidDirector
|
PurchaseCommon Stock | 420 | $237.86 | $99,901.20 |
DisclosureSEC source: 0000018230-21-000157 · wf-form4_162032528634477.xml · nonDerivative · entry 1 MacLennan David · CIK 0001498535 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 890 Read SEC document |
| May 03, 2021 Filed May 4, 2021 18:48 UTC |
Marvel Gary MichaelChief Accounting Officer
|
SaleCommon Stock | 567 | $230.00 | $130,410.00 |
DisclosureSEC source: 0000018230-21-000148 · wf-form4_162015407507371.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 |
| May 03, 2021 Filed May 5, 2021 18:12 UTC |
MacLennan DavidDirector
|
GrantCommon Stock | 470 | $228.17 | $107,239.90 |
DisclosureSEC source: 0000018230-21-000155 · wf-form4_162023831694377.xml · nonDerivative · entry 1 MacLennan David · CIK 0001498535 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 470 Read SEC document |
| March 31, 2021 Filed Apr 2, 2021 13:31 UTC |
CALHOUN DAVID LDirector
|
GrantPhantom Stock Units · Derivative | 236 | $232.93 | $54,971.48 |
DisclosureSEC source: 0000018230-21-000132 · wf-form4_161737017031779.xml · derivative · entry 1 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,896 Underlying: Common Stock · 236 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, 2021 Filed Apr 2, 2021 13:33 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 161 | $232.93 | $37,501.73 |
DisclosureSEC source: 0000018230-21-000133 · wf-form4_161737031886349.xml · derivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,425 Underlying: Common Stock · 161 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, 2021 Filed Apr 2, 2021 13:36 UTC |
SCHWAB SUSAN CDirector
|
GrantPhantom Stock Units · Derivative | 161 | $232.93 | $37,501.73 |
DisclosureSEC source: 0000018230-21-000134 · wf-form4_161737045454982.xml · derivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,568 Underlying: Common Stock · 161 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 25, 2021 Filed Mar 26, 2021 20:08 UTC |
Johnson GeraldDirector
|
GrantCommon Stock | 557 | $224.25 | $124,907.25 |
DisclosureSEC source: 0000018230-21-000125 · wf-form4_161678931646705.xml · nonDerivative · entry 1 Johnson Gerald · CIK 0001772226 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 557 Read SEC document |
| March 08, 2021 Filed Mar 10, 2021 23:05 UTC |
Johnson Denise CGroup President
|
Exercise / conversionEmployee Stock Options · Derivative | 23,737 | $127.60 Strike: $127.60 | $3,028,841.20 |
DisclosureSEC source: 0000018230-21-000120 · wf-form4_161541753636574.xml · derivative · entry 13 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,473 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. F10 · 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 08, 2021 Filed Mar 10, 2021 23:05 UTC |
Johnson Denise CGroup President
|
Exercise / conversionEmployee Stock Options · Derivative | 18,013 | $138.35 Strike: $138.35 | $2,492,098.55 |
DisclosureSEC source: 0000018230-21-000120 · wf-form4_161541753636574.xml · derivative · entry 12 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,012 Underlying: Common Stock · 18,013 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. F9 · 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 08, 2021 Filed Mar 10, 2021 23:05 UTC |
Johnson Denise CGroup President
|
Exercise / conversionEmployee Stock Option · Derivative | 18,763 | $151.12 Strike: $151.12 | $2,835,464.56 |
DisclosureSEC source: 0000018230-21-000120 · wf-form4_161541753636574.xml · derivative · entry 11 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 18,763 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. F8 · 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 |
| March 08, 2021 Filed Mar 10, 2021 23:05 UTC |
Johnson Denise CGroup President
|
SaleCommon Stock | 3,548 | $220.69 | $783,008.12 |
DisclosureSEC source: 0000018230-21-000120 · wf-form4_161541753636574.xml · nonDerivative · entry 10 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F7 · price: This transaction was executed in multiple trades at prices ranging from $220.30 to $221.18. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| March 08, 2021 Filed Mar 10, 2021 23:05 UTC |
Johnson Denise CGroup President
|
SaleCommon Stock | 10,707 | $219.75 | $2,352,863.25 |
DisclosureSEC source: 0000018230-21-000120 · wf-form4_161541753636574.xml · nonDerivative · entry 9 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,548 F6 · price: This transaction was executed in multiple trades at prices ranging from $219.30 to $220.29 The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| March 08, 2021 Filed Mar 10, 2021 23:05 UTC |
Johnson Denise CGroup President
|
SaleCommon Stock | 5,927 | $218.98 | $1,297,894.46 |
DisclosureSEC source: 0000018230-21-000120 · wf-form4_161541753636574.xml · nonDerivative · entry 8 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,255 F5 · price: This transaction was executed in multiple trades at prices ranging from $218.30 to $219.28. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| March 08, 2021 Filed Mar 10, 2021 23:05 UTC |
Johnson Denise CGroup President
|
SaleCommon Stock | 23,737 | $220.42 | $5,232,109.54 |
DisclosureSEC source: 0000018230-21-000120 · wf-form4_161541753636574.xml · nonDerivative · entry 7 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,182 F4 · price: This transaction was executed in multiple trades at prices ranging from $219.99 to $220.97. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| March 08, 2021 Filed Mar 10, 2021 23:05 UTC |
Johnson Denise CGroup President
|
Exercise / conversionCommon Stock | 23,737 | $127.60 | $3,028,841.20 |
DisclosureSEC source: 0000018230-21-000120 · wf-form4_161541753636574.xml · nonDerivative · entry 6 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,919 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 08, 2021 Filed Mar 10, 2021 23:05 UTC |
Johnson Denise CGroup President
|
SaleCommon Stock | 8,872 | $219.42 | $1,946,694.24 |
DisclosureSEC source: 0000018230-21-000120 · wf-form4_161541753636574.xml · nonDerivative · entry 5 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,182 F3 · price: This transaction was executed in multiple trades at prices ranging from $219.21 to $219.81. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| March 08, 2021 Filed Mar 10, 2021 23:05 UTC |
Johnson Denise CGroup President
|
SaleCommon Stock | 9,141 | $218.88 | $2,000,782.08 |
DisclosureSEC source: 0000018230-21-000120 · wf-form4_161541753636574.xml · nonDerivative · entry 4 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,054 F2 · price: This transaction was executed in multiple trades at prices ranging from $218.21 to $219.20. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| March 08, 2021 Filed Mar 10, 2021 23:05 UTC |
Johnson Denise CGroup President
|
Exercise / conversionCommon Stock | 18,013 | $138.35 | $2,492,098.55 |
DisclosureSEC source: 0000018230-21-000120 · wf-form4_161541753636574.xml · nonDerivative · entry 3 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,195 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 08, 2021 Filed Mar 10, 2021 23:05 UTC |
Johnson Denise CGroup President
|
SaleCommon Stock | 18,763 | $219.85 | $4,125,045.55 |
DisclosureSEC source: 0000018230-21-000120 · wf-form4_161541753636574.xml · nonDerivative · entry 2 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,182 F1 · price: This transaction was executed in multiple trades at prices ranging from $219.61 to $220.04. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| March 08, 2021 Filed Mar 10, 2021 23:05 UTC |
Johnson Denise CGroup President
|
Exercise / conversionCommon Stock | 18,763 | $151.12 | $2,835,464.56 |
DisclosureSEC source: 0000018230-21-000120 · wf-form4_161541753636574.xml · nonDerivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,945 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 08, 2021 Filed Mar 10, 2021 23:06 UTC |
Long Suzette MCLO/General Counsel
|
Exercise / conversionEmployee Stock Options · Derivative | 20,529 | $127.60 Strike: $127.60 | $2,619,500.40 |
DisclosureSEC source: 0000018230-21-000121 · wf-form4_161541756298239.xml · derivative · entry 19 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,058 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. F14 · 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 08, 2021 Filed Mar 10, 2021 23:06 UTC |
Long Suzette MCLO/General Counsel
|
Exercise / conversionEmployee Stock Options · Derivative | 16,011 | $138.35 Strike: $138.35 | $2,215,121.85 |
DisclosureSEC source: 0000018230-21-000121 · wf-form4_161541756298239.xml · derivative · entry 18 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,011 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. F13 · 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 08, 2021 Filed Mar 10, 2021 23:06 UTC |
Long Suzette MCLO/General Counsel
|
Exercise / conversionEmployee Stock Option · Derivative | 15,480 | $151.12 Strike: $151.12 | $2,339,337.60 |
DisclosureSEC source: 0000018230-21-000121 · wf-form4_161541756298239.xml · derivative · entry 17 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 15,480 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. F12 · 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 |
| March 08, 2021 Filed Mar 10, 2021 23:06 UTC |
Long Suzette MCLO/General Counsel
|
SaleCommon Stock | 1,772 | $220.84 | $391,328.48 |
DisclosureSEC source: 0000018230-21-000121 · wf-form4_161541756298239.xml · nonDerivative · entry 15 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,549 F10 · price: This transaction was executed in multiple trades at prices ranging from $220.21 to $220.97. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| March 08, 2021 Filed Mar 10, 2021 23:06 UTC |
Long Suzette MCLO/General Counsel
|
SaleCommon Stock | 3,050 | $219.69 | $670,054.50 |
DisclosureSEC source: 0000018230-21-000121 · wf-form4_161541756298239.xml · nonDerivative · entry 14 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,321 F9 · price: This transaction was executed in multiple trades at prices ranging from $219.21 to $220.19. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| March 08, 2021 Filed Mar 10, 2021 23:06 UTC |
Long Suzette MCLO/General Counsel
|
SaleCommon Stock | 2,469 | $218.81 | $540,241.89 |
DisclosureSEC source: 0000018230-21-000121 · wf-form4_161541756298239.xml · nonDerivative · entry 13 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,371 F8 · price: This transaction was executed in multiple trades at prices ranging from $218.21 to $219.16. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| March 08, 2021 Filed Mar 10, 2021 23:06 UTC |
Long Suzette MCLO/General Counsel
|
SaleCommon Stock | 2,685 | $220.80 | $592,848.00 |
DisclosureSEC source: 0000018230-21-000121 · wf-form4_161541756298239.xml · nonDerivative · entry 12 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,840 F7 · price: This transaction was executed in multiple trades at prices ranging from $220.37 to $220.97. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| March 08, 2021 Filed Mar 10, 2021 23:06 UTC |
Long Suzette MCLO/General Counsel
|
SaleCommon Stock | 9,704 | $219.84 | $2,133,327.36 |
DisclosureSEC source: 0000018230-21-000121 · wf-form4_161541756298239.xml · nonDerivative · entry 11 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,525 F6 · price: This transaction was executed in multiple trades at prices ranging from $219.37 to $220.33. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| March 08, 2021 Filed Mar 10, 2021 23:06 UTC |
Long Suzette MCLO/General Counsel
|
SaleCommon Stock | 8,140 | $219.03 | $1,782,904.20 |
DisclosureSEC source: 0000018230-21-000121 · wf-form4_161541756298239.xml · nonDerivative · entry 10 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,229 F5 · price: This transaction was executed in multiple trades at prices ranging from $218.37 to $219.33. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| March 08, 2021 Filed Mar 10, 2021 23:06 UTC |
Long Suzette MCLO/General Counsel
|
Exercise / conversionCommon Stock | 20,529 | $127.60 | $2,619,500.40 |
DisclosureSEC source: 0000018230-21-000121 · wf-form4_161541756298239.xml · nonDerivative · entry 9 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,369 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 08, 2021 Filed Mar 10, 2021 23:06 UTC |
Long Suzette MCLO/General Counsel
|
SaleCommon Stock | 3,104 | $220.66 | $684,928.64 |
DisclosureSEC source: 0000018230-21-000121 · wf-form4_161541756298239.xml · nonDerivative · entry 8 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,840 F4 · price: This transaction was executed in multiple trades at prices ranging from $220.27 to $220.97. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| March 08, 2021 Filed Mar 10, 2021 23:06 UTC |
Long Suzette MCLO/General Counsel
|
SaleCommon Stock | 8,346 | $219.74 | $1,833,950.04 |
DisclosureSEC source: 0000018230-21-000121 · wf-form4_161541756298239.xml · nonDerivative · entry 7 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,944 F2 · price: This transaction was executed in multiple trades at prices ranging from $219.27 to $220.17. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| March 08, 2021 Filed Mar 10, 2021 23:06 UTC |
Long Suzette MCLO/General Counsel
|
SaleCommon Stock | 4,561 | $218.91 | $998,448.51 |
DisclosureSEC source: 0000018230-21-000121 · wf-form4_161541756298239.xml · nonDerivative · entry 6 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,290 F1 · price: This transaction was executed in multiple trades at prices ranging from $218.27 to $219.26. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| March 08, 2021 Filed Mar 10, 2021 23:06 UTC |
Long Suzette MCLO/General Counsel
|
Exercise / conversionCommon Stock | 16,011 | $138.35 | $2,215,121.85 |
DisclosureSEC source: 0000018230-21-000121 · wf-form4_161541756298239.xml · nonDerivative · entry 5 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,851 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 08, 2021 Filed Mar 10, 2021 23:06 UTC |
Long Suzette MCLO/General Counsel
|
SaleCommon Stock | 2,920 | $220.68 | $644,385.60 |
DisclosureSEC source: 0000018230-21-000121 · wf-form4_161541756298239.xml · nonDerivative · entry 4 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,840 F3 · price: This transaction was executed in multiple trades at prices ranging from $220.27 to $221.26. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| March 08, 2021 Filed Mar 10, 2021 23:06 UTC |
Long Suzette MCLO/General Counsel
|
SaleCommon Stock | 8,516 | $219.69 | $1,870,880.04 |
DisclosureSEC source: 0000018230-21-000121 · wf-form4_161541756298239.xml · nonDerivative · entry 3 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,760 F2 · price: This transaction was executed in multiple trades at prices ranging from $219.27 to $220.17. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| March 08, 2021 Filed Mar 10, 2021 23:06 UTC |
Long Suzette MCLO/General Counsel
|
SaleCommon Stock | 4,044 | $218.92 | $885,312.48 |
DisclosureSEC source: 0000018230-21-000121 · wf-form4_161541756298239.xml · nonDerivative · entry 2 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,276 F1 · price: This transaction was executed in multiple trades at prices ranging from $218.27 to $219.26. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| March 08, 2021 Filed Mar 10, 2021 23:06 UTC |
Long Suzette MCLO/General Counsel
|
Exercise / conversionCommon Stock | 15,480 | $151.12 | $2,339,337.60 |
DisclosureSEC source: 0000018230-21-000121 · wf-form4_161541756298239.xml · nonDerivative · entry 1 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,320 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 08, 2021 Filed Mar 11, 2021 00:37 UTC |
Marvel Gary MichaelChief Accounting Officer
|
Exercise / conversionEmployee Stock Options · Derivative | 5,056 | $95.66 Strike: $95.66 | $483,656.96 |
DisclosureSEC source: 0000018230-21-000123 · wf-form4_161542305770389.xml · derivative · entry 4 Marvel Gary Michael · CIK 0001768626 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,056 shares Expires 2027-03-06 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 6, 2017 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| March 08, 2021 Filed Mar 11, 2021 00:37 UTC |
Marvel Gary MichaelChief Accounting Officer
|
SaleCommon Stock | 5,056 | $220.97 | $1,117,224.32 |
DisclosureSEC source: 0000018230-21-000123 · wf-form4_161542305770389.xml · nonDerivative · entry 2 Marvel Gary Michael · CIK 0001768626 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 567 Read SEC document |
| March 08, 2021 Filed Mar 11, 2021 00:37 UTC |
Marvel Gary MichaelChief Accounting Officer
|
Exercise / conversionCommon Stock | 5,056 | $95.66 | $483,656.96 |
DisclosureSEC source: 0000018230-21-000123 · wf-form4_161542305770389.xml · nonDerivative · entry 1 Marvel Gary Michael · CIK 0001768626 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,623 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 05, 2021 Filed Mar 9, 2021 21:02 UTC |
BONFIELD ANDREW R JChief Financial Officer
|
Exercise / conversionEmployee Stock Options · Derivative | 23,096 | $127.60 Strike: $127.60 | $2,947,049.60 |
DisclosureSEC source: 0000018230-21-000111 · wf-form4_161532374136659.xml · derivative · entry 9 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,190 Underlying: Common Stock · 23,096 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. F3 · 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 05, 2021 Filed Mar 9, 2021 21:02 UTC |
BONFIELD ANDREW R JChief Financial Officer
|
Exercise / conversionEmployee Stock Options · Derivative | 36,026 | $138.35 Strike: $138.35 | $4,984,197.10 |
DisclosureSEC source: 0000018230-21-000111 · wf-form4_161532374136659.xml · derivative · entry 8 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,012 Underlying: Common Stock · 36,026 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 |
| March 05, 2021 Filed Mar 9, 2021 21:02 UTC |
BONFIELD ANDREW R JChief Financial Officer
|
Exercise / conversionEmployee Stock Options · Derivative | 23,077 | $141.32 Strike: $141.32 | $3,261,241.64 |
DisclosureSEC source: 0000018230-21-000111 · wf-form4_161532374136659.xml · derivative · entry 7 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 23,077 shares Expires 2028-09-07 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 September 7, 2018 and vest equally in 1/3 increments March 5, 2019, March 5, 2020 and March 5, 2021. 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.