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 |
|---|---|---|---|---|---|---|
| August 05, 2020 Filed Aug 6, 2020 22:40 UTC |
Ainsworth William PGroup President
|
Exercise / conversionEmployee Stock Options · Derivative | 15,199 | $0.00 Strike: $83.00 | $0.00 |
DisclosureSEC source: 0000018230-20-000220 · wf-form4_159675355598056.xml · derivative · entry 6 Ainsworth William P · CIK 0001768624 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 15,199 shares Expires 2025-03-02 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 2, 2015 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
|
Tax withholdingCommon Stock | 93,434 | $135.00 | $12,613,590.00 |
DisclosureSEC source: 0000018230-20-000220 · wf-form4_159675355598056.xml · nonDerivative · entry 4 Ainsworth William P · CIK 0001768624 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,089 Read SEC document |
| August 05, 2020 Filed Aug 6, 2020 22:40 UTC |
Ainsworth William PGroup President
|
Exercise / conversionCommon Stock | 69,486 | $95.66 | $6,647,030.76 |
DisclosureSEC source: 0000018230-20-000220 · wf-form4_159675355598056.xml · nonDerivative · entry 3 Ainsworth William P · CIK 0001768624 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 175,523 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 |
| August 05, 2020 Filed Aug 6, 2020 22:40 UTC |
Ainsworth William PGroup President
|
Exercise / conversionCommon Stock | 30,964 | $74.77 | $2,315,178.28 |
DisclosureSEC source: 0000018230-20-000220 · wf-form4_159675355598056.xml · nonDerivative · entry 2 Ainsworth William P · CIK 0001768624 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 106,037 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 |
| August 05, 2020 Filed Aug 6, 2020 22:40 UTC |
Ainsworth William PGroup President
|
Exercise / conversionCommon Stock | 15,199 | $83.00 | $1,261,517.00 |
DisclosureSEC source: 0000018230-20-000220 · wf-form4_159675355598056.xml · nonDerivative · entry 1 Ainsworth William P · CIK 0001768624 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,073 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 |
| August 04, 2020 Filed Aug 5, 2020 23:01 UTC |
Long Suzette MGeneral Counsel/Corporate Sec.
|
Exercise / conversionEmployee Stock Options · Derivative | 1,971 | $0.00 Strike: $95.66 | $0.00 |
DisclosureSEC source: 0000018230-20-000217 · wf-form4_159666850306674.xml · derivative · entry 4 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,971 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 the first, second and third anniversary of the grant date. Read SEC document |
| August 04, 2020 Filed Aug 5, 2020 23:01 UTC |
Long Suzette MGeneral Counsel/Corporate Sec.
|
OtherCommon Stock | 619 | $131.52 | $81,410.88 |
DisclosureSEC source: 0000018230-20-000217 · wf-form4_159666850306674.xml · nonDerivative · entry 3 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Indirect · Held by 401(k) Plan Disclosed balance after: 0 Read SEC document |
| August 04, 2020 Filed Aug 5, 2020 23:01 UTC |
Long Suzette MGeneral Counsel/Corporate Sec.
|
Tax withholdingCommon Stock | 1,673 | $131.26 | $219,597.98 |
DisclosureSEC source: 0000018230-20-000217 · wf-form4_159666850306674.xml · nonDerivative · entry 2 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,062 Read SEC document |
| August 04, 2020 Filed Aug 5, 2020 23:01 UTC |
Long Suzette MGeneral Counsel/Corporate Sec.
|
Exercise / conversionCommon Stock | 1,971 | $95.66 | $188,545.86 |
DisclosureSEC source: 0000018230-20-000217 · wf-form4_159666850306674.xml · nonDerivative · entry 1 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,735 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 |
| August 04, 2020 Filed Aug 5, 2020 23:02 UTC |
Younessi RaminGroup President
|
Exercise / conversionEmployee Stock Options · Derivative | 15,277 | $0.00 Strike: $95.66 | $0.00 |
DisclosureSEC source: 0000018230-20-000218 · wf-form4_159666851837362.xml · derivative · entry 3 Younessi Ramin · CIK 0001743079 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 15,277 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 the first, second and third anniversaries of the grant date. Read SEC document |
| August 04, 2020 Filed Aug 5, 2020 23:02 UTC |
Younessi RaminGroup President
|
Tax withholdingCommon Stock | 12,990 | $130.80 | $1,699,092.00 |
DisclosureSEC source: 0000018230-20-000218 · wf-form4_159666851837362.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 |
| August 04, 2020 Filed Aug 5, 2020 23:02 UTC |
Younessi RaminGroup President
|
Exercise / conversionCommon Stock | 15,277 | $95.66 | $1,461,397.82 |
DisclosureSEC source: 0000018230-20-000218 · wf-form4_159666851837362.xml · nonDerivative · entry 1 Younessi Ramin · CIK 0001743079 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,659 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 |
| July 25, 2020 Filed Jul 28, 2020 18:48 UTC |
Johnson Cheryl HChief Human Resources Officer
|
Tax withholdingCommon Stock | 921 | $138.70 | $127,742.70 |
DisclosureSEC source: 0000018230-20-000208 · wf-form4_159596206476998.xml · nonDerivative · entry 1 Johnson Cheryl H · CIK 0001552649 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,008 F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligations arising from the vesting of restricted stock units granted on July 25, 2017. F2 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| July 24, 2020 Filed Jul 28, 2020 18:47 UTC |
De Lange BobGroup President
|
GrantPhantom Stock Units · Derivative | 56 | $137.58 | $7,704.48 |
DisclosureSEC source: 0000018230-20-000207 · wf-form4_159596204246992.xml · derivative · entry 1 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,373 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 $137.58 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 |
| July 24, 2020 Filed Jul 28, 2020 18:48 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 60 | $137.58 | $8,254.80 |
DisclosureSEC source: 0000018230-20-000209 · wf-form4_159596208512210.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,930 Underlying: Common Stock · 60 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 30 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $137.58 and 30 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. Read SEC document |
| June 30, 2020 Filed Jul 1, 2020 22:13 UTC |
CALHOUN DAVID LDirector
|
GrantPhantom Stock Units · Derivative | 438 | $125.54 | $54,986.52 |
DisclosureSEC source: 0000018230-20-000198 · wf-form4_159364154056815.xml · derivative · entry 1 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,671 Underlying: Common Stock · 438 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, 2020 Filed Jul 1, 2020 22:14 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 299 | $125.54 | $37,536.46 |
DisclosureSEC source: 0000018230-20-000199 · wf-form4_159364162456145.xml · derivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,128 Underlying: Common Stock · 299 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, 2020 Filed Jul 1, 2020 22:17 UTC |
SCHWAB SUSAN CDirector
|
GrantPhantom Stock Units · Derivative | 299 | $125.54 | $37,536.46 |
DisclosureSEC source: 0000018230-20-000200 · wf-form4_159364174505162.xml · derivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,672 Underlying: Common Stock · 299 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, 2020 Filed Jul 1, 2020 22:18 UTC |
WHITE MILES DDirector
|
GrantPhantom Stock Units · Derivative | 349 | $125.54 | $43,813.46 |
DisclosureSEC source: 0000018230-20-000201 · wf-form4_159364186512480.xml · derivative · entry 1 WHITE MILES D · CIK 0001239129 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,673 Underlying: Common Stock · 349 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 26, 2020 Filed Jun 29, 2020 22:27 UTC |
De Lange BobGroup President
|
GrantPhantom Stock Units · Derivative | 63 | $122.39 | $7,710.57 |
DisclosureSEC source: 0000018230-20-000192 · wf-form4_159346965790141.xml · derivative · entry 1 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,421 Underlying: Common Stock · 63 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 32 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $122.39 and 31 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 26, 2020 Filed Jun 29, 2020 22:28 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 67 | $122.39 | $8,200.13 |
DisclosureSEC source: 0000018230-20-000193 · wf-form4_159346968325753.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,300 Underlying: Common Stock · 67 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 34 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $122.39 and 33 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. Read SEC document |
| May 26, 2020 Filed May 29, 2020 11:59 UTC |
De Lange BobGroup President
|
GrantPhantom Stock Units · Derivative | 36 | $117.41 | $4,226.76 |
DisclosureSEC source: 0000018230-20-000162 · wf-form4_159075356716984.xml · derivative · entry 1 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,046 Underlying: Common Stock · 36 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 18 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of 117.41 and 18 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. Read SEC document |
| May 26, 2020 Filed May 29, 2020 12:00 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 58 | $117.41 | $6,809.78 |
DisclosureSEC source: 0000018230-20-000163 · wf-form4_159075359211285.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,934 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 117.41 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 |
| May 01, 2020 Filed May 4, 2020 19:45 UTC |
Ainsworth William PGroup President
|
Tax withholdingCommon Stock | 53 | $112.58 | $5,966.74 |
DisclosureSEC source: 0000018230-20-000151 · wf-form4_158862150309358.xml · nonDerivative · entry 1 Ainsworth William P · CIK 0001768624 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,874 F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligations arising from the vesting of restricted stock units granted on May 1, 2015. Read SEC document |
| March 31, 2020 Filed Apr 2, 2020 16:54 UTC |
CALHOUN DAVID LDirector
|
GrantPhantom Stock Units · Derivative | 484 | $113.59 | $54,977.56 |
DisclosureSEC source: 0000018230-20-000132 · wf-form4_158584644985773.xml · derivative · entry 1 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,089 Underlying: Common Stock · 484 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, 2020 Filed Apr 2, 2020 16:54 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 330 | $113.59 | $37,484.70 |
DisclosureSEC source: 0000018230-20-000133 · wf-form4_158584647658742.xml · derivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,511 Underlying: Common Stock · 330 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, 2020 Filed Apr 2, 2020 16:55 UTC |
SCHWAB SUSAN CDirector
|
GrantPhantom Stock Units · Derivative | 330 | $113.59 | $37,484.70 |
DisclosureSEC source: 0000018230-20-000134 · wf-form4_158584650017457.xml · derivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,246 Underlying: Common Stock · 330 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, 2020 Filed Apr 2, 2020 16:55 UTC |
WHITE MILES DDirector
|
GrantPhantom Stock Units · Derivative | 385 | $113.59 | $43,732.15 |
DisclosureSEC source: 0000018230-20-000135 · wf-form4_158584652305427.xml · derivative · entry 1 WHITE MILES D · CIK 0001239129 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,224 Underlying: Common Stock · 385 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: Adjusted to correct company's inadvertent clerical error. Includes adjustments for dividends accrued. Read SEC document |
| March 11, 2020 Filed Mar 12, 2020 20:19 UTC |
De Lange BobGroup President
|
GrantPhantom Stock Units · Derivative | 977 | $100.69 | $98,374.13 |
DisclosureSEC source: 0000018230-20-000123 · wf-form4_158404438087810.xml · derivative · entry 1 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,428 Underlying: Common Stock · 977 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 489 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $100.69 and 488 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 of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. Read SEC document |
| March 11, 2020 Filed Mar 12, 2020 20:20 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 3,003 | $100.69 | $302,372.07 |
DisclosureSEC source: 0000018230-20-000124 · wf-form4_158404440345020.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,675 Underlying: Common Stock · 3,003 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 2503 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $100.69 and 500 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 of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. Read SEC document |
| March 06, 2020 Filed Mar 10, 2020 14:43 UTC |
De Lange BobGroup President
|
GrantPhantom Stock Units · Derivative | 684 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-20-000112 · wf-form4_158385138010010.xml · derivative · entry 1 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,213 Underlying: Common Stock · 684 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: The phantom stock units were contributed to the reporting person's account pursuant to the terms of the Caterpillar Inc. Supplemental Deferred Compensation Plan ( 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 of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. Read SEC document |
| March 06, 2020 Filed Mar 10, 2020 14:43 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 727 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-20-000113 · wf-form4_158385140161738.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,629 Underlying: Common Stock · 727 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: The phantom stock units were contributed to the reporting person's account pursuant to the terms of the Caterpillar Inc. Supplemental Deferred Compensation Plan ( 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 of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. Read SEC document |
| March 06, 2020 Filed Mar 10, 2020 14:44 UTC |
Long Suzette MGeneral Counsel/Corporate Sec.
|
Tax withholdingCommon Stock | 390 | $120.34 | $46,932.60 |
DisclosureSEC source: 0000018230-20-000114 · wf-form4_158385142613234.xml · nonDerivative · entry 2 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,764 F2 · shares: Represents shares withheld from the reporting person to satisfy tax obligations arising from the vesting of restricted stock units granted on August 14, 2017. Read SEC document |
| March 06, 2020 Filed Mar 10, 2020 14:44 UTC |
Long Suzette MGeneral Counsel/Corporate Sec.
|
Tax withholdingCommon Stock | 1,821 | $120.34 | $219,139.14 |
DisclosureSEC source: 0000018230-20-000114 · wf-form4_158385142613234.xml · nonDerivative · entry 1 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,154 F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligations arising from the vesting of restricted stock units granted on March 6, 2017. Read SEC document |
| March 04, 2020 Filed Mar 5, 2020 20:00 UTC |
WHITE MILES DDirector
|
Tax withholdingCommon Stock | 469 | $125.88 | $59,037.72 |
DisclosureSEC source: 0000018230-20-000108 · wf-form4_158343840491672.xml · nonDerivative · entry 1 WHITE MILES D · CIK 0001239129 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,453 Read SEC document |
| March 02, 2020 Filed Mar 3, 2020 23:31 UTC |
BONFIELD ANDREW R JChief Financial Officer
|
GrantEmployee Stock Options · Derivative | 69,286 | $0.00 Strike: $127.60 | $0.00 |
DisclosureSEC source: 0000018230-20-000088 · wf-form4_158327826321772.xml · derivative · entry 1 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,286 Underlying: Common Stock · 69,286 shares Expires 2030-03-02 F1 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan and vest equally in 1/3 increments beginning on the first anniversary of the grant date. Read SEC document |
| March 02, 2020 Filed Mar 3, 2020 23:31 UTC |
Ayotte KellyDirector
|
GrantCommon Stock | 1,176 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-20-000089 · wf-form4_158327828441834.xml · nonDerivative · entry 1 Ayotte Kelly · CIK 0001702559 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,768 F1 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| March 02, 2020 Filed Mar 3, 2020 23:32 UTC |
CALHOUN DAVID LDirector
|
GrantCommon Stock | 1,176 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-20-000090 · wf-form4_158327830584440.xml · nonDerivative · entry 1 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,159 F1 · balance_after: Includes adjustments for dividends accrued and reflects exempt transfer pursuant to Rule 16a-13 under the Securities Exchange Act of 1934, as amended relating to Reporting Person's grantor retained annuity trust. Read SEC document |
| March 02, 2020 Filed Mar 3, 2020 23:32 UTC |
De Lange BobGroup President
|
GrantEmployee Stock Options · Derivative | 71,210 | $0.00 Strike: $127.60 | $0.00 |
DisclosureSEC source: 0000018230-20-000091 · wf-form4_158327832813174.xml · derivative · entry 1 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,210 Underlying: Common Stock · 71,210 shares Expires 2030-03-02 F1 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan and vest equally in 1/3 increments beginning on the first anniversary of the grant date. Read SEC document |
| March 02, 2020 Filed Mar 3, 2020 23:32 UTC |
DICKINSON DANIEL MDirector
|
GrantCommon Stock | 1,176 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-20-000092 · wf-form4_158327835072690.xml · nonDerivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,554 F1 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| March 02, 2020 Filed Mar 3, 2020 23:33 UTC |
GALLARDO JUANDirector
|
GrantCommon Stock | 1,176 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-20-000093 · wf-form4_158327837184086.xml · nonDerivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 276,124 F1 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| March 02, 2020 Filed Mar 3, 2020 23:33 UTC |
Marvel Gary MichaelChief Accounting Officer
|
GrantEmployee Stock Options · Derivative | 4,812 | $0.00 Strike: $127.60 | $0.00 |
DisclosureSEC source: 0000018230-20-000094 · wf-form4_158327839387934.xml · derivative · entry 1 Marvel Gary Michael · CIK 0001768626 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,812 Underlying: Common Stock · 4,812 shares Expires 2030-03-02 F1 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan and vest equally in 1/3 increments beginning on the first anniversary of the grant date. Read SEC document |
| March 02, 2020 Filed Mar 3, 2020 23:33 UTC |
Johnson Cheryl HChief Human Resources Officer
|
GrantEmployee Stock Options · Derivative | 38,492 | $0.00 Strike: $127.60 | $0.00 |
DisclosureSEC source: 0000018230-20-000095 · wf-form4_158327841534895.xml · derivative · entry 1 Johnson Cheryl H · CIK 0001552649 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,492 Underlying: Common Stock · 38,492 shares Expires 2030-03-02 F1 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan and vest equally in 1/3 increments beginning on the first anniversary of the grant date. Read SEC document |
| March 02, 2020 Filed Mar 3, 2020 23:34 UTC |
Johnson Denise CGroup President
|
GrantEmployee Stock Options · Derivative | 71,210 | $0.00 Strike: $127.60 | $0.00 |
DisclosureSEC source: 0000018230-20-000096 · wf-form4_158327843863268.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,210 Underlying: Common Stock · 71,210 shares Expires 2030-03-02 F1 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan and vest equally in 1/3 increments beginning on the first anniversary of the grant date. Read SEC document |
| March 02, 2020 Filed Mar 3, 2020 23:34 UTC |
Long Suzette MGeneral Counsel/Corporate Sec.
|
GrantEmployee Stock Options · Derivative | 61,587 | $0.00 Strike: $127.60 | $0.00 |
DisclosureSEC source: 0000018230-20-000097 · wf-form4_158327846143492.xml · derivative · entry 1 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,587 Underlying: Common Stock · 61,587 shares Expires 2030-03-02 F1 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan and vest equally in 1/3 increments beginning on the first anniversary of the grant date. Read SEC document |
| March 02, 2020 Filed Mar 3, 2020 23:35 UTC |
OSBORN WILLIAM ADirector
|
GrantCommon Stock | 1,176 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-20-000098 · wf-form4_158327848341180.xml · nonDerivative · entry 1 OSBORN WILLIAM A · CIK 0001171797 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,955 F1 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| March 02, 2020 Filed Mar 3, 2020 23:35 UTC |
Younessi RaminGroup President
|
GrantEmployee Stock Options · Derivative | 69,286 | $0.00 Strike: $127.60 | $0.00 |
DisclosureSEC source: 0000018230-20-000099 · wf-form4_158327850648933.xml · derivative · entry 1 Younessi Ramin · CIK 0001743079 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,286 Underlying: Common Stock · 69,286 shares Expires 2030-03-02 F1 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan and vest equally in 1/3 increments beginning on the first anniversary of the grant date. Read SEC document |
| March 02, 2020 Filed Mar 3, 2020 23:35 UTC |
REED DEBRA LDirector
|
GrantCommon Stock | 1,176 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-20-000100 · wf-form4_158327852976992.xml · nonDerivative · entry 1 REED DEBRA L · CIK 0001225947 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,364 F1 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| March 02, 2020 Filed Mar 3, 2020 23:36 UTC |
RUST EDWARD B JRDirector
|
GrantCommon Stock | 1,176 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-20-000101 · wf-form4_158327855150384.xml · nonDerivative · entry 1 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,402 F1 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| March 02, 2020 Filed Mar 3, 2020 23:36 UTC |
SCHWAB SUSAN CDirector
|
GrantCommon Stock | 1,176 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-20-000102 · wf-form4_158327857833809.xml · nonDerivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,469 F1 · balance_after: Includes adjustments for dividends accrued. 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.