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 |
|---|---|---|---|---|---|---|
| November 02, 2020 Filed Nov 4, 2020 20:27 UTC |
Younessi RaminGroup President
|
Exercise / conversionCommon Stock | 13,135 | $151.12 | $1,984,961.20 |
DisclosureSEC source: 0000018230-20-000299 · wf-form4_160452161910456.xml · nonDerivative · entry 1 Younessi Ramin · CIK 0001743079 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,312 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 |
| October 30, 2020 Filed Oct 30, 2020 22:29 UTC |
Ainsworth William PGroup President
|
SaleCommon Stock | 12,000 | $154.78 | $1,857,360.00 |
DisclosureSEC source: 0000018230-20-000287 · wf-form4_160409693573298.xml · nonDerivative · entry 2 Ainsworth William P · CIK 0001768624 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,501 Read SEC document |
| October 30, 2020 Filed Nov 3, 2020 00:10 UTC |
Long Suzette MGeneral Counsel/Corporate Sec.
|
SaleCommon Stock | 3,687 | $155.00 | $571,485.00 |
DisclosureSEC source: 0000018230-20-000292 · wf-form4_160436223743755.xml · nonDerivative · entry 1 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,549 Read SEC document |
| October 30, 2020 Filed Nov 3, 2020 00:11 UTC |
Younessi RaminGroup President
|
SaleCommon Stock | 3,554 | $154.60 | $549,448.40 |
DisclosureSEC source: 0000018230-20-000293 · wf-form4_160436225620198.xml · nonDerivative · entry 2 Younessi Ramin · CIK 0001743079 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,177 F2 · shares: This transaction was executed in multiple trades at prices ranging from $154.36 to $154.74. 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 |
| October 30, 2020 Filed Nov 3, 2020 00:11 UTC |
Younessi RaminGroup President
|
SaleCommon Stock | 16,938 | $154.09 | $2,609,976.42 |
DisclosureSEC source: 0000018230-20-000293 · wf-form4_160436225620198.xml · nonDerivative · entry 1 Younessi Ramin · CIK 0001743079 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,731 F1 · shares: This transaction was executed in multiple trades at prices ranging from $153.36 to $154.35. 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 |
| October 29, 2020 Filed Oct 30, 2020 22:28 UTC |
Marvel Gary MichaelChief Accounting Officer
|
Exercise / conversionEmployee Stock Options · Derivative | 4,318 | $96.31 Strike: $96.31 | $415,866.58 |
DisclosureSEC source: 0000018230-20-000285 · wf-form4_160409689876755.xml · derivative · entry 7 Marvel Gary Michael · CIK 0001768626 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,318 shares Expires 2024-03-03 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 |
| October 29, 2020 Filed Oct 30, 2020 22:28 UTC |
Marvel Gary MichaelChief Accounting Officer
|
Exercise / conversionEmployee Stock Options · Derivative | 2,180 | $89.75 Strike: $89.75 | $195,655.00 |
DisclosureSEC source: 0000018230-20-000285 · wf-form4_160409689876755.xml · derivative · entry 6 Marvel Gary Michael · CIK 0001768626 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,180 shares Expires 2023-03-04 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. Read SEC document |
| October 29, 2020 Filed Oct 30, 2020 22:28 UTC |
Marvel Gary MichaelChief Accounting Officer
|
SaleCommon Stock | 4,318 | $154.39 | $666,656.02 |
DisclosureSEC source: 0000018230-20-000285 · wf-form4_160409689876755.xml · nonDerivative · entry 4 Marvel Gary Michael · CIK 0001768626 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| October 29, 2020 Filed Oct 30, 2020 22:28 UTC |
Marvel Gary MichaelChief Accounting Officer
|
Exercise / conversionCommon Stock | 4,318 | $96.31 | $415,866.58 |
DisclosureSEC source: 0000018230-20-000285 · wf-form4_160409689876755.xml · nonDerivative · entry 3 Marvel Gary Michael · CIK 0001768626 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,318 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 |
| October 29, 2020 Filed Oct 30, 2020 22:28 UTC |
Marvel Gary MichaelChief Accounting Officer
|
SaleCommon Stock | 2,180 | $154.39 | $336,570.20 |
DisclosureSEC source: 0000018230-20-000285 · wf-form4_160409689876755.xml · nonDerivative · entry 2 Marvel Gary Michael · CIK 0001768626 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| October 29, 2020 Filed Oct 30, 2020 22:28 UTC |
Marvel Gary MichaelChief Accounting Officer
|
Exercise / conversionCommon Stock | 2,180 | $89.75 | $195,655.00 |
DisclosureSEC source: 0000018230-20-000285 · wf-form4_160409689876755.xml · nonDerivative · entry 1 Marvel Gary Michael · CIK 0001768626 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,180 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 |
| October 29, 2020 Filed Oct 30, 2020 22:28 UTC |
Younessi RaminGroup President
|
Exercise / conversionEmployee Stock Options · Derivative | 18,013 | $0.00 Strike: $138.35 | $0.00 |
DisclosureSEC source: 0000018230-20-000286 · wf-form4_160409691692039.xml · derivative · entry 3 Younessi Ramin · CIK 0001743079 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,025 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. F1 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. Long-Term Incentive Plan on March 4, 2019 and vest equally in 1/3 increments on the first, second and third anniversary of the grant date. Read SEC document |
| October 29, 2020 Filed Oct 30, 2020 22:28 UTC |
Younessi RaminGroup President
|
SaleCommon Stock | 18,013 | $151.00 | $2,719,963.00 |
DisclosureSEC source: 0000018230-20-000286 · wf-form4_160409691692039.xml · nonDerivative · entry 2 Younessi Ramin · CIK 0001743079 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,669 Read SEC document |
| October 29, 2020 Filed Oct 30, 2020 22:28 UTC |
Younessi RaminGroup President
|
Exercise / conversionCommon Stock | 18,013 | $138.35 | $2,492,098.55 |
DisclosureSEC source: 0000018230-20-000286 · wf-form4_160409691692039.xml · nonDerivative · entry 1 Younessi Ramin · CIK 0001743079 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,682 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 |
| October 26, 2020 Filed Oct 28, 2020 14:13 UTC |
De Lange BobGroup President
|
GrantPhantom Stock Units · Derivative | 47 | $163.20 | $7,670.40 |
DisclosureSEC source: 0000018230-20-000280 · wf-form4_160389440524411.xml · derivative · entry 1 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,734 Underlying: Common Stock · 47 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 24 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $163.20 and 23 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. Read SEC document |
| October 26, 2020 Filed Oct 28, 2020 14:13 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 50 | $163.20 | $8,160.00 |
DisclosureSEC source: 0000018230-20-000281 · wf-form4_160389442272506.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,929 Underlying: Common Stock · 50 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 25 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $163.20 and 25 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 12, 2020 Filed Oct 13, 2020 22:14 UTC |
Long Suzette MGeneral Counsel/Corporate Sec.
|
Exercise / conversionEmployee Stock Options · Derivative | 30,960 | $0.00 Strike: $151.12 | $0.00 |
DisclosureSEC source: 0000018230-20-000261 · wf-form4_160262722969127.xml · derivative · entry 3 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,480 Underlying: Common Stock · 30,960 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. F1 · 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 anniversary of the grant date. Read SEC document |
| October 12, 2020 Filed Oct 13, 2020 22:14 UTC |
Long Suzette MGeneral Counsel/Corporate Sec.
|
Tax withholdingCommon Stock | 29,728 | $162.74 | $4,837,934.72 |
DisclosureSEC source: 0000018230-20-000261 · wf-form4_160262722969127.xml · nonDerivative · entry 2 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,236 Read SEC document |
| October 12, 2020 Filed Oct 13, 2020 22:14 UTC |
Long Suzette MGeneral Counsel/Corporate Sec.
|
Exercise / conversionCommon Stock | 30,960 | $151.12 | $4,678,675.20 |
DisclosureSEC source: 0000018230-20-000261 · wf-form4_160262722969127.xml · nonDerivative · entry 1 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,964 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 |
| September 30, 2020 Filed Oct 2, 2020 00:09 UTC |
CALHOUN DAVID LDirector
|
GrantPhantom Stock Units · Derivative | 368 | $149.34 | $54,957.12 |
DisclosureSEC source: 0000018230-20-000256 · wf-form4_160159736654141.xml · derivative · entry 1 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,165 Underlying: Common Stock · 368 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, 2020 Filed Oct 2, 2020 00:10 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 251 | $149.34 | $37,484.34 |
DisclosureSEC source: 0000018230-20-000257 · wf-form4_160159738372758.xml · derivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,651 Underlying: Common Stock · 251 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, 2020 Filed Oct 2, 2020 00:10 UTC |
SCHWAB SUSAN CDirector
|
GrantPhantom Stock Units · Derivative | 251 | $149.34 | $37,484.34 |
DisclosureSEC source: 0000018230-20-000258 · wf-form4_160159740335756.xml · derivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,033 Underlying: Common Stock · 251 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, 2020 Filed Oct 2, 2020 00:10 UTC |
WHITE MILES DDirector
|
GrantPhantom Stock Units · Derivative | 293 | $149.34 | $43,756.62 |
DisclosureSEC source: 0000018230-20-000259 · wf-form4_160159742308168.xml · derivative · entry 1 WHITE MILES D · CIK 0001239129 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,054 Underlying: Common Stock · 293 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 25, 2020 Filed Sep 28, 2020 23:35 UTC |
De Lange BobGroup President
|
GrantPhantom Stock Units · Derivative | 53 | $145.91 | $7,733.23 |
DisclosureSEC source: 0000018230-20-000250 · wf-form4_160133609084519.xml · derivative · entry 1 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,485 Underlying: Common Stock · 53 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 27 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $145.91 and 26 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 25, 2020 Filed Sep 28, 2020 23:35 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 56 | $145.91 | $8,170.96 |
DisclosureSEC source: 0000018230-20-000251 · wf-form4_160133611150977.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,068 Underlying: Common Stock · 56 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 28 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of 145.91 and 28 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 09, 2020 Filed Sep 10, 2020 22:40 UTC |
Long Suzette MGeneral Counsel/Corporate Sec.
|
Exercise / conversionEmployee Stock Options · Derivative | 16,012 | $0.00 Strike: $138.35 | $0.00 |
DisclosureSEC source: 0000018230-20-000244 · wf-form4_159977759833032.xml · derivative · entry 3 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,022 Underlying: Common Stock · 16,012 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. Long-Term Incentive Plan on March 4, 2019 and vest equally in 1/3 increments on the first, second and third anniversary of the grant date. Read SEC document |
| September 09, 2020 Filed Sep 10, 2020 22:40 UTC |
Long Suzette MGeneral Counsel/Corporate Sec.
|
Tax withholdingCommon Stock | 15,070 | $154.67 | $2,330,876.90 |
DisclosureSEC source: 0000018230-20-000244 · wf-form4_159977759833032.xml · nonDerivative · entry 2 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,004 Read SEC document |
| September 09, 2020 Filed Sep 10, 2020 22:40 UTC |
Long Suzette MGeneral Counsel/Corporate Sec.
|
Exercise / conversionCommon Stock | 16,012 | $138.35 | $2,215,260.20 |
DisclosureSEC source: 0000018230-20-000244 · wf-form4_159977759833032.xml · nonDerivative · entry 1 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,074 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 |
| September 08, 2020 Filed Sep 9, 2020 22:59 UTC |
Johnson Denise CGroup President
|
Exercise / conversionEmployee Stock Options · Derivative | 34,496 | $0.00 Strike: $95.66 | $0.00 |
DisclosureSEC source: 0000018230-20-000241 · wf-form4_159969238214833.xml · derivative · entry 4 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 34,496 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. F1 · 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 each of the first, second and third anniversaries of the grant date. Read SEC document |
| September 08, 2020 Filed Sep 9, 2020 22:59 UTC |
Johnson Denise CGroup President
|
SaleCommon Stock | 19,549 | $146.74 | $2,868,620.26 |
DisclosureSEC source: 0000018230-20-000241 · wf-form4_159969238214833.xml · nonDerivative · entry 3 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,396 Read SEC document |
| September 08, 2020 Filed Sep 9, 2020 22:59 UTC |
Johnson Denise CGroup President
|
Tax withholdingCommon Stock | 22,269 | $148.18 | $3,299,820.42 |
DisclosureSEC source: 0000018230-20-000241 · wf-form4_159969238214833.xml · nonDerivative · entry 2 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,945 Read SEC document |
| September 08, 2020 Filed Sep 9, 2020 22:59 UTC |
Johnson Denise CGroup President
|
Exercise / conversionCommon Stock | 34,496 | $95.66 | $3,299,887.36 |
DisclosureSEC source: 0000018230-20-000241 · wf-form4_159969238214833.xml · nonDerivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,214 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 |
| September 08, 2020 Filed Sep 9, 2020 23:36 UTC |
De Lange BobGroup President
|
Exercise / conversionEmployee Stock Option · Derivative | 3,994 | $0.00 Strike: $89.75 | $0.00 |
DisclosureSEC source: 0000018230-20-000242 · wf-form4_159969456450649.xml · derivative · entry 4 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,994 shares Expires 2023-03-04 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. Read SEC document |
| September 08, 2020 Filed Sep 9, 2020 23:36 UTC |
De Lange BobGroup President
|
SaleCommon Stock | 1,575 | $147.00 | $231,525.00 |
DisclosureSEC source: 0000018230-20-000242 · wf-form4_159969456450649.xml · nonDerivative · entry 3 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,804 Read SEC document |
| September 08, 2020 Filed Sep 9, 2020 23:36 UTC |
De Lange BobGroup President
|
Tax withholdingCommon Stock | 2,419 | $148.18 | $358,447.42 |
DisclosureSEC source: 0000018230-20-000242 · wf-form4_159969456450649.xml · nonDerivative · entry 2 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,379 Read SEC document |
| September 08, 2020 Filed Sep 9, 2020 23:36 UTC |
De Lange BobGroup President
|
Exercise / conversionCommon Stock | 3,994 | $89.75 | $358,461.50 |
DisclosureSEC source: 0000018230-20-000242 · wf-form4_159969456450649.xml · nonDerivative · entry 1 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,798 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 |
| September 07, 2020 Filed Sep 9, 2020 22:59 UTC |
BONFIELD ANDREW R JChief Financial Officer
|
Tax withholdingCommon Stock | 5,836 | $148.24 | $865,128.64 |
DisclosureSEC source: 0000018230-20-000240 · wf-form4_159969236467916.xml · nonDerivative · entry 1 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,632 F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligations arising from the vesting of restricted stock units granted on September 7, 2018. F2 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| September 02, 2020 Filed Sep 3, 2020 22:41 UTC |
Umpleby III Donald JDirector · Chairman & CEO
|
Exercise / conversionEmployee Stock Options · Derivative | 79,976 | $0.00 Strike: $89.75 | $0.00 |
DisclosureSEC source: 0000018230-20-000233 · wf-form4_159917283873003.xml · derivative · entry 10 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 79,976 shares Expires 2023-03-04 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. Read SEC document |
| September 02, 2020 Filed Sep 3, 2020 22:41 UTC |
Umpleby III Donald JDirector · Chairman & CEO
|
Exercise / conversionEmployee Stock Options · Derivative | 21,416 | $0.00 Strike: $110.09 | $0.00 |
DisclosureSEC source: 0000018230-20-000233 · wf-form4_159917283873003.xml · derivative · entry 9 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 21,416 shares Expires 2022-03-05 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. Read SEC document |
| September 02, 2020 Filed Sep 3, 2020 22:41 UTC |
Umpleby III Donald JDirector · Chairman & CEO
|
Tax withholdingCommon Stock | 62,310 | $148.73 | $9,267,366.30 |
DisclosureSEC source: 0000018230-20-000233 · wf-form4_159917283873003.xml · nonDerivative · entry 4 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,001 Read SEC document |
| September 02, 2020 Filed Sep 3, 2020 22:41 UTC |
Umpleby III Donald JDirector · Chairman & CEO
|
Exercise / conversionCommon Stock | 79,976 | $89.75 | $7,177,846.00 |
DisclosureSEC source: 0000018230-20-000233 · wf-form4_159917283873003.xml · nonDerivative · entry 3 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 112,311 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 |
| September 02, 2020 Filed Sep 3, 2020 22:41 UTC |
Umpleby III Donald JDirector · Chairman & CEO
|
Tax withholdingCommon Stock | 18,323 | $148.62 | $2,723,164.26 |
DisclosureSEC source: 0000018230-20-000233 · wf-form4_159917283873003.xml · nonDerivative · entry 2 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,335 Read SEC document |
| September 02, 2020 Filed Sep 3, 2020 22:41 UTC |
Umpleby III Donald JDirector · Chairman & CEO
|
Exercise / conversionCommon Stock | 21,416 | $110.09 | $2,357,687.44 |
DisclosureSEC source: 0000018230-20-000233 · wf-form4_159917283873003.xml · nonDerivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,658 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: Reflects the transfer of 27,650 shares on May 7, 2020 and 22,200 shares on August 7, 2020 to grantor retained annuity trusts. These transfers were exempt from reporting pursuant to Rule 16a-13 under the Securities and Exchange Act of 1934, as amended. Read SEC document |
| August 26, 2020 Filed Aug 27, 2020 21:42 UTC |
De Lange BobGroup President
|
GrantPhantom Stock Units · Derivative | 54 | $141.83 | $7,658.82 |
DisclosureSEC source: 0000018230-20-000227 · wf-form4_159856452388832.xml · derivative · entry 1 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,438 Underlying: Common Stock · 54 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 27 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $141.83 and 27 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. Read SEC document |
| August 26, 2020 Filed Aug 27, 2020 21:42 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 58 | $141.83 | $8,226.14 |
DisclosureSEC source: 0000018230-20-000228 · wf-form4_159856454196246.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,031 Underlying: Common Stock · 58 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 29 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $141.83 and 29 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 11, 2020 Filed Oct 30, 2020 22:29 UTC |
Ainsworth William PGroup President
|
GiftCommon Stock | 5,588 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-20-000287 · wf-form4_160409693573298.xml · nonDerivative · entry 1 Ainsworth William P · CIK 0001768624 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,501 Read SEC document |
| August 10, 2020 Filed Jan 25, 2021 23:38 UTC |
OSBORN WILLIAM ADirector
|
GiftCommon Stock | 1,471 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-21-000016 · wf-form4_161161790955930.xml · nonDerivative · entry 1 OSBORN WILLIAM A · CIK 0001171797 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,510 F1 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| August 06, 2020 Filed Aug 10, 2020 14:41 UTC |
Johnson Denise CGroup President
|
OtherCommon Stock | 4,855 | $134.39 | $652,463.45 |
DisclosureSEC source: 0000018230-20-000221 · wf-form4_159707046000815.xml · nonDerivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Indirect · Held by 401(k) Plan Disclosed balance after: 0 Read SEC document |
| August 05, 2020 Filed Aug 6, 2020 22:40 UTC |
Ainsworth William PGroup President
|
Exercise / conversionEmployee Stock Options · Derivative | 69,486 | $0.00 Strike: $95.66 | $0.00 |
DisclosureSEC source: 0000018230-20-000220 · wf-form4_159675355598056.xml · derivative · entry 8 Ainsworth William P · CIK 0001768624 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 69,486 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. F4 · 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 |
| August 05, 2020 Filed Aug 6, 2020 22:40 UTC |
Ainsworth William PGroup President
|
Exercise / conversionEmployee Stock Options · Derivative | 30,964 | $0.00 Strike: $74.77 | $0.00 |
DisclosureSEC source: 0000018230-20-000220 · wf-form4_159675355598056.xml · derivative · entry 7 Ainsworth William P · CIK 0001768624 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 30,964 shares Expires 2026-03-07 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 7, 2016 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.