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 |
|---|---|---|---|---|---|---|
| March 02, 2020 Filed Mar 3, 2020 23:36 UTC |
Umpleby III Donald JDirector · Chairman & CEO
|
GrantEmployee Stock Options · Derivative | 227,103 | $0.00 Strike: $127.60 | $0.00 |
DisclosureSEC source: 0000018230-20-000103 · wf-form4_158327859982165.xml · derivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 227,103 Underlying: Common Stock · 227,103 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 23:37 UTC |
WHITE MILES DDirector
|
GrantCommon Stock | 1,176 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-20-000104 · wf-form4_158327862234166.xml · nonDerivative · entry 1 WHITE MILES D · CIK 0001239129 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,922 F1 · balance_after: Includes adjustments for dividends accrued and to correct company's inadvertent clerical error. Read SEC document |
| March 02, 2020 Filed Mar 3, 2020 23:37 UTC |
WILKINS RAYFORD JRDirector
|
GrantCommon Stock | 1,176 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-20-000105 · wf-form4_158327864374985.xml · nonDerivative · entry 1 WILKINS RAYFORD JR · CIK 0001184395 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,253 F1 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| March 02, 2020 Filed Mar 3, 2020 23:38 UTC |
Ainsworth William PGroup President
|
GrantEmployee Stock Options · Derivative | 80,833 | $0.00 Strike: $127.60 | $0.00 |
DisclosureSEC source: 0000018230-20-000106 · wf-form4_158327866759029.xml · derivative · entry 1 Ainsworth William P · CIK 0001768624 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,833 Underlying: Common Stock · 80,833 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 |
| February 20, 2020 Filed Feb 24, 2020 18:48 UTC |
Marvel Gary MichaelChief Accounting Officer
|
SaleCommon Stock | 589 | $137.83 | $81,181.87 |
DisclosureSEC source: 0000018230-20-000068 · wf-form4_158257010545077.xml · nonDerivative · entry 1 Marvel Gary Michael · CIK 0001768626 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| February 11, 2020 Filed Feb 13, 2020 18:58 UTC |
De Lange BobGroup President
|
Tax withholdingCommon Stock | 5,175 | $136.15 | $704,576.25 |
DisclosureSEC source: 0000018230-20-000033 · wf-form4_158162030303884.xml · nonDerivative · entry 2 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,804 F2 · shares: Represents shares withheld from the reporting person to satisfy tax obligations arising from the vesting of performance-based restricted stock units granted on March 6, 2017. Read SEC document |
| February 11, 2020 Filed Feb 13, 2020 18:58 UTC |
De Lange BobGroup President
|
GrantCommon Stock | 14,112 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-20-000033 · wf-form4_158162030303884.xml · nonDerivative · entry 1 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,979 F1 · balance_after: Adjusted to correct inadvertent clerical error. Read SEC document |
| February 11, 2020 Filed Feb 13, 2020 18:59 UTC |
Marvel Gary MichaelChief Accounting Officer
|
Tax withholdingCommon Stock | 305 | $136.15 | $41,525.75 |
DisclosureSEC source: 0000018230-20-000034 · wf-form4_158162032470509.xml · nonDerivative · entry 2 Marvel Gary Michael · CIK 0001768626 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 589 F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligations arising from the vesting of performance-based restricted stock units granted on March 6, 2017. Read SEC document |
| February 11, 2020 Filed Feb 13, 2020 18:59 UTC |
Marvel Gary MichaelChief Accounting Officer
|
GrantCommon Stock | 894 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-20-000034 · wf-form4_158162032470509.xml · nonDerivative · entry 1 Marvel Gary Michael · CIK 0001768626 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 894 Read SEC document |
| February 11, 2020 Filed Feb 13, 2020 18:59 UTC |
Johnson Denise CGroup President
|
Tax withholdingCommon Stock | 6,898 | $136.15 | $939,162.70 |
DisclosureSEC source: 0000018230-20-000035 · wf-form4_158162034641067.xml · nonDerivative · entry 2 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,718 F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligations arising from the vesting of performance-based restricted stock units granted on March 6, 2017. Read SEC document |
| February 11, 2020 Filed Feb 13, 2020 18:59 UTC |
Johnson Denise CGroup President
|
GrantCommon Stock | 18,294 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-20-000035 · wf-form4_158162034641067.xml · nonDerivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,616 Read SEC document |
| February 11, 2020 Filed Feb 13, 2020 18:59 UTC |
Long Suzette MGeneral Counsel/Corporate Sec.
|
Tax withholdingCommon Stock | 332 | $136.15 | $45,201.80 |
DisclosureSEC source: 0000018230-20-000036 · wf-form4_158162036583800.xml · nonDerivative · entry 2 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,975 F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligations arising from the vesting of performance-based restricted stock units granted on March 6, 2017. Read SEC document |
| February 11, 2020 Filed Feb 13, 2020 18:59 UTC |
Long Suzette MGeneral Counsel/Corporate Sec.
|
GrantCommon Stock | 1,045 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-20-000036 · wf-form4_158162036583800.xml · nonDerivative · entry 1 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,307 Read SEC document |
| February 11, 2020 Filed Feb 13, 2020 19:00 UTC |
Younessi RaminGroup President
|
Tax withholdingCommon Stock | 2,514 | $136.45 | $343,035.30 |
DisclosureSEC source: 0000018230-20-000037 · wf-form4_158162038568333.xml · nonDerivative · entry 2 Younessi Ramin · CIK 0001743079 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,382 F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligations arising from the vesting of performance-based restricted stock units granted on March 6, 2017. Read SEC document |
| February 11, 2020 Filed Feb 13, 2020 19:00 UTC |
Younessi RaminGroup President
|
GrantCommon Stock | 8,102 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-20-000037 · wf-form4_158162038568333.xml · nonDerivative · entry 1 Younessi Ramin · CIK 0001743079 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,896 Read SEC document |
| February 11, 2020 Filed Feb 13, 2020 19:00 UTC |
Umpleby III Donald JDirector · Chairman & CEO
|
Tax withholdingCommon Stock | 15,684 | $136.15 | $2,135,376.60 |
DisclosureSEC source: 0000018230-20-000038 · wf-form4_158162041050590.xml · nonDerivative · entry 2 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 79,092 F2 · shares: Represents shares withheld from the reporting person to satisfy tax obligations arising from the vesting of performance-based restricted stock units granted on March 6, 2017. Read SEC document |
| February 11, 2020 Filed Feb 13, 2020 19:00 UTC |
Umpleby III Donald JDirector · Chairman & CEO
|
GrantCommon Stock | 37,895 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-20-000038 · wf-form4_158162041050590.xml · nonDerivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,776 F1 · balance_after: Reflects the transfer of 6,895 shares to a grantor retained annuity trust on November 29, 2019. This transfer was exempt from reporting pursuant to Rule 16a-13 under the Securities Exchange Act of 1934, as amended. Read SEC document |
| February 11, 2020 Filed Feb 13, 2020 19:00 UTC |
Ainsworth William PGroup President
|
Tax withholdingCommon Stock | 4,372 | $136.15 | $595,247.80 |
DisclosureSEC source: 0000018230-20-000039 · wf-form4_158162043266870.xml · nonDerivative · entry 2 Ainsworth William P · CIK 0001768624 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,927 F2 · shares: Represents shares withheld from the reporting person to satisfy tax obligations arising from the vesting of performance-based restricted stock units granted on March 6, 2017. Read SEC document |
| February 11, 2020 Filed Feb 13, 2020 19:00 UTC |
Ainsworth William PGroup President
|
GrantCommon Stock | 12,283 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-20-000039 · wf-form4_158162043266870.xml · nonDerivative · entry 1 Ainsworth William P · CIK 0001768624 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,299 F1 · balance_after: Adjusted to correct inadvertent clerical error. Read SEC document |
| December 31, 2019 Filed Jan 2, 2020 22:53 UTC |
CALHOUN DAVID LDirector
|
GrantPhantom Stock Units · Derivative | 373 | $147.51 | $55,021.23 |
DisclosureSEC source: 0000018230-20-000008 · wf-form4_157800561728446.xml · derivative · entry 1 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,489 Underlying: Common Stock · 373 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| December 31, 2019 Filed Jan 2, 2020 22:54 UTC |
REED DEBRA LDirector
|
GrantPhantom Stock Units · Derivative | 254 | $147.51 | $37,467.54 |
DisclosureSEC source: 0000018230-20-000010 · wf-form4_157800566285467.xml · derivative · entry 1 REED DEBRA L · CIK 0001225947 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,103 Underlying: Common Stock · 254 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| December 31, 2019 Filed Jan 2, 2020 22:54 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 254 | $147.51 | $37,467.54 |
DisclosureSEC source: 0000018230-20-000009 · wf-form4_157800564169232.xml · derivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,918 Underlying: Common Stock · 254 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| December 31, 2019 Filed Jan 2, 2020 22:55 UTC |
SCHWAB SUSAN CDirector
|
GrantPhantom Stock Units · Derivative | 254 | $147.51 | $37,467.54 |
DisclosureSEC source: 0000018230-20-000011 · wf-form4_157800568563281.xml · derivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,812 Underlying: Common Stock · 254 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| December 31, 2019 Filed Jan 2, 2020 22:55 UTC |
WHITE MILES DDirector
|
GrantPhantom Stock Units · Derivative | 297 | $147.51 | $43,810.47 |
DisclosureSEC source: 0000018230-20-000012 · wf-form4_157800570573452.xml · derivative · entry 1 WHITE MILES D · CIK 0001239129 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,758 Underlying: Common Stock · 297 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| December 27, 2019 Filed Dec 30, 2019 21:32 UTC |
De Lange BobGroup President
|
GrantPhantom Stock Units · Derivative | 207 | $148.28 | $30,693.96 |
DisclosureSEC source: 0000018230-19-000301 · wf-form4_157774151896879.xml · derivative · entry 1 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,477 Underlying: Common Stock · 207 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 26 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $148.28 and 26 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. The total also includes 155 shares that were credited to the reporting person's account to correct a Plan administration error. F3 · derivative.exercise_date: The phantom stock units are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. Read SEC document |
| December 27, 2019 Filed Dec 30, 2019 21:32 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 81 | $148.28 | $12,010.68 |
DisclosureSEC source: 0000018230-19-000302 · wf-form4_157774153979515.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,639 Underlying: Common Stock · 81 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 54 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $148.28 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 |
| November 26, 2019 Filed Nov 27, 2019 17:18 UTC |
De Lange BobGroup President
|
GrantPhantom Stock Units · Derivative | 53 | $146.09 | $7,742.77 |
DisclosureSEC source: 0000018230-19-000294 · wf-form4_157487510446212.xml · derivative · entry 1 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,279 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 $146.09 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 |
| November 26, 2019 Filed Nov 27, 2019 17:19 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 83 | $146.09 | $12,125.47 |
DisclosureSEC source: 0000018230-19-000295 · wf-form4_157487513464818.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,609 Underlying: Common Stock · 83 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 55 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $146.09 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 |
| November 05, 2019 Filed Nov 6, 2019 19:15 UTC |
Johnson Denise CGroup President
|
SaleCommon Stock | 936 | $146.74 | $137,348.64 |
DisclosureSEC source: 0000018230-19-000288 · wf-form4_157306768795800.xml · nonDerivative · entry 2 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Jerry Johnson Trust Disclosed balance after: 0 Read SEC document |
| November 05, 2019 Filed Nov 6, 2019 19:15 UTC |
Johnson Denise CGroup President
|
SaleCommon Stock | 4,172 | $146.67 | $611,907.24 |
DisclosureSEC source: 0000018230-19-000288 · wf-form4_157306768795800.xml · nonDerivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,322 F1 · balance_after: Adjusted to correct inadvertent clerical error. Read SEC document |
| November 04, 2019 Filed Nov 6, 2019 19:14 UTC |
De Lange BobGroup President
|
Exercise / conversionEmployee Stock Option · Derivative | 2,952 | $0.00 Strike: $110.09 | $0.00 |
DisclosureSEC source: 0000018230-19-000287 · wf-form4_157306766597718.xml · derivative · entry 7 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,952 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 |
| November 04, 2019 Filed Nov 6, 2019 19:14 UTC |
De Lange BobGroup President
|
Exercise / conversionStock Appreciation Rights · Derivative | 3,359 | $0.00 Strike: $102.13 | $0.00 |
DisclosureSEC source: 0000018230-19-000287 · wf-form4_157306766597718.xml · derivative · entry 6 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,359 shares Expires 2021-03-07 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: Reported as "Employee Stock Option" on Form 3 filed January 11, 2017. Read SEC document |
| November 04, 2019 Filed Nov 6, 2019 19:14 UTC |
De Lange BobGroup President
|
Tax withholdingCommon Stock | 2,546 | $146.18 | $372,174.28 |
DisclosureSEC source: 0000018230-19-000287 · wf-form4_157306766597718.xml · nonDerivative · entry 5 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,837 Read SEC document |
| November 04, 2019 Filed Nov 6, 2019 19:14 UTC |
De Lange BobGroup President
|
Exercise / conversionCommon Stock | 2,952 | $110.09 | $324,985.68 |
DisclosureSEC source: 0000018230-19-000287 · wf-form4_157306766597718.xml · nonDerivative · entry 4 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,383 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 |
| November 04, 2019 Filed Nov 6, 2019 19:14 UTC |
De Lange BobGroup President
|
Tax withholdingCommon Stock | 448 | $146.01 | $65,412.48 |
DisclosureSEC source: 0000018230-19-000287 · wf-form4_157306766597718.xml · nonDerivative · entry 3 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,431 Read SEC document |
| November 04, 2019 Filed Nov 6, 2019 19:14 UTC |
De Lange BobGroup President
|
Disposition to issuerCommon Stock | 2,349 | $146.01 | $342,977.49 |
DisclosureSEC source: 0000018230-19-000287 · wf-form4_157306766597718.xml · nonDerivative · entry 2 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,879 Read SEC document |
| November 04, 2019 Filed Nov 6, 2019 19:14 UTC |
De Lange BobGroup President
|
Exercise / conversionCommon Stock | 3,359 | $102.13 | $343,054.67 |
DisclosureSEC source: 0000018230-19-000287 · wf-form4_157306766597718.xml · nonDerivative · entry 1 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,228 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 |
| November 04, 2019 Filed Nov 6, 2019 19:15 UTC |
Umpleby III Donald JDirector · Chairman & CEO
|
Exercise / conversionStock Appreciation Rights · Derivative | 22,696 | $0.00 Strike: $102.13 | $0.00 |
DisclosureSEC source: 0000018230-19-000289 · wf-form4_157306770712663.xml · derivative · entry 5 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 22,696 shares Expires 2021-03-07 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 · security: Reported as "Employee Stock Option" on Form 3 filed on January 11, 2013. Read SEC document |
| November 04, 2019 Filed Nov 6, 2019 19:15 UTC |
Umpleby III Donald JDirector · Chairman & CEO
|
Tax withholdingCommon Stock | 3,021 | $146.01 | $441,096.21 |
DisclosureSEC source: 0000018230-19-000289 · wf-form4_157306770712663.xml · nonDerivative · entry 3 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,776 Read SEC document |
| November 04, 2019 Filed Nov 6, 2019 19:15 UTC |
Umpleby III Donald JDirector · Chairman & CEO
|
Disposition to issuerCommon Stock | 15,875 | $146.01 | $2,317,908.75 |
DisclosureSEC source: 0000018230-19-000289 · wf-form4_157306770712663.xml · nonDerivative · entry 2 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,797 Read SEC document |
| November 04, 2019 Filed Nov 6, 2019 19:15 UTC |
Umpleby III Donald JDirector · Chairman & CEO
|
Exercise / conversionCommon Stock | 22,696 | $102.13 | $2,317,942.48 |
DisclosureSEC source: 0000018230-19-000289 · wf-form4_157306770712663.xml · nonDerivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,672 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: Adjusted to correct inadvertent clerical error. Read SEC document |
| November 01, 2019 Filed Nov 5, 2019 20:10 UTC |
Johnson Denise CGroup President
|
Exercise / conversionCommon Stock · Derivative | 68,993 | $95.66 Strike: $95.66 | $6,599,870.38 |
DisclosureSEC source: 0000018230-19-000283 · wf-form4_157298460858301.xml · derivative · entry 6 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,496 Underlying: Common Stock · 68,993 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 each of the first, second and third anniversaries of the grant date. Read SEC document |
| November 01, 2019 Filed Nov 5, 2019 20:10 UTC |
Johnson Denise CGroup President
|
SaleCommon Stock | 34,496 | $144.00 | $4,967,424.00 |
DisclosureSEC source: 0000018230-19-000283 · wf-form4_157298460858301.xml · nonDerivative · entry 3 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,687 Read SEC document |
| November 01, 2019 Filed Nov 5, 2019 20:10 UTC |
Johnson Denise CGroup President
|
SaleCommon Stock | 34,497 | $142.01 | $4,898,918.97 |
DisclosureSEC source: 0000018230-19-000283 · wf-form4_157298460858301.xml · nonDerivative · entry 2 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,183 Read SEC document |
| November 01, 2019 Filed Nov 5, 2019 20:10 UTC |
Johnson Denise CGroup President
|
Exercise / conversionCommon Stock | 68,993 | $95.66 | $6,599,870.38 |
DisclosureSEC source: 0000018230-19-000283 · wf-form4_157298460858301.xml · nonDerivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,680 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, 2019 Filed Oct 30, 2019 17:34 UTC |
Marvel Gary MichaelChief Accounting Officer
|
Exercise / conversionEmployee Stock Options · Derivative | 2,180 | $0.00 Strike: $89.75 | $0.00 |
DisclosureSEC source: 0000018230-19-000277 · wf-form4_157245685291617.xml · derivative · entry 4 Marvel Gary Michael · CIK 0001768626 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,180 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, 2019 Filed Oct 30, 2019 17:34 UTC |
Marvel Gary MichaelChief Accounting Officer
|
SaleCommon Stock | 2,180 | $139.38 | $303,848.40 |
DisclosureSEC source: 0000018230-19-000277 · wf-form4_157245685291617.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, 2019 Filed Oct 30, 2019 17:34 UTC |
Marvel Gary MichaelChief Accounting Officer
|
Exercise / conversionCommon Stock | 2,180 | $89.75 | $195,655.00 |
DisclosureSEC source: 0000018230-19-000277 · wf-form4_157245685291617.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 28, 2019 Filed Oct 29, 2019 19:19 UTC |
Johnson Denise CGroup President
|
Exercise / conversionEmployee Stock Options · Derivative | 14,777 | $0.00 Strike: $74.77 | $0.00 |
DisclosureSEC source: 0000018230-19-000272 · wf-form4_157237669538143.xml · derivative · entry 5 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 14,777 shares Expires 2026-03-07 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 7, 2016 and vest equally in 1/3 increments on each of the first, second and third anniversaries of the grant date. Read SEC document |
| October 28, 2019 Filed Oct 29, 2019 19:19 UTC |
Johnson Denise CGroup President
|
SaleCommon Stock | 14,777 | $140.00 | $2,068,780.00 |
DisclosureSEC source: 0000018230-19-000272 · wf-form4_157237669538143.xml · nonDerivative · entry 2 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,687 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.