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 |
|---|---|---|---|---|---|---|
| October 28, 2019 Filed Oct 29, 2019 19:19 UTC |
Johnson Denise CGroup President
|
Exercise / conversionCommon Stock | 14,777 | $74.77 | $1,104,876.29 |
DisclosureSEC source: 0000018230-19-000272 · wf-form4_157237669538143.xml · nonDerivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,464 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 30, 2019 17:34 UTC |
Long Suzette MGeneral Counsel/Corporate Sec.
|
Exercise / conversionEmployee Stock Options · Derivative | 3,943 | $0.00 Strike: $95.66 | $0.00 |
DisclosureSEC source: 0000018230-19-000278 · wf-form4_157245687228867.xml · derivative · entry 4 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,971 Underlying: Common Stock · 3,943 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 |
| October 28, 2019 Filed Oct 30, 2019 17:34 UTC |
Long Suzette MGeneral Counsel/Corporate Sec.
|
Tax withholdingCommon Stock | 3,250 | $139.73 | $454,122.50 |
DisclosureSEC source: 0000018230-19-000278 · wf-form4_157245687228867.xml · nonDerivative · entry 2 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,262 Read SEC document |
| October 28, 2019 Filed Oct 30, 2019 17:34 UTC |
Long Suzette MGeneral Counsel/Corporate Sec.
|
Exercise / conversionCommon Stock | 3,943 | $95.66 | $377,187.38 |
DisclosureSEC source: 0000018230-19-000278 · wf-form4_157245687228867.xml · nonDerivative · entry 1 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,512 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 30, 2019 17:35 UTC |
Umpleby III Donald JDirector · Chairman & CEO
|
Exercise / conversionStock Appreciation Rights · Derivative | 6,781 | $0.00 Strike: $57.85 | $0.00 |
DisclosureSEC source: 0000018230-19-000279 · wf-form4_157245689099618.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 · 6,781 shares Expires 2020-03-01 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 · security: Reported as "Employee Stock Option" on the Form 3 filed on January 11, 2013. Read SEC document |
| October 28, 2019 Filed Oct 30, 2019 17:35 UTC |
Umpleby III Donald JDirector · Chairman & CEO
|
Tax withholdingCommon Stock | 1,764 | $140.25 | $247,401.00 |
DisclosureSEC source: 0000018230-19-000279 · wf-form4_157245689099618.xml · nonDerivative · entry 3 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,810 Read SEC document |
| October 28, 2019 Filed Oct 30, 2019 17:35 UTC |
Umpleby III Donald JDirector · Chairman & CEO
|
Disposition to issuerCommon Stock | 2,797 | $140.25 | $392,279.25 |
DisclosureSEC source: 0000018230-19-000279 · wf-form4_157245689099618.xml · nonDerivative · entry 2 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,574 Read SEC document |
| October 28, 2019 Filed Oct 30, 2019 17:35 UTC |
Umpleby III Donald JDirector · Chairman & CEO
|
Exercise / conversionCommon Stock | 6,781 | $57.85 | $392,280.85 |
DisclosureSEC source: 0000018230-19-000279 · wf-form4_157245689099618.xml · nonDerivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,371 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 25, 2019 Filed Oct 29, 2019 19:18 UTC |
De Lange BobGroup President
|
GrantPhantom Stock Units · Derivative | 55 | $139.73 | $7,685.15 |
DisclosureSEC source: 0000018230-19-000271 · wf-form4_157237665619538.xml · derivative · entry 1 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,090 Underlying: Common Stock · 55 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 $139.73 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 |
| October 25, 2019 Filed Oct 29, 2019 19:19 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 86 | $139.73 | $12,016.78 |
DisclosureSEC source: 0000018230-19-000272 · wf-form4_157237669538143.xml · derivative · entry 6 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,777 Underlying: Common Stock · 86 shares Expires not disclosed F3 · 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. F4 · shares: This total includes 57 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $139.73 and 29 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F5 · derivative.exercise_date: The phantom stock units are to be settled 100% in cash upon the reporting person's retirement or separation from service. F5 · derivative.expiration_date: The phantom stock units are to be settled 100% in cash upon the reporting person's retirement or separation from service. F6 · balance_after: Includes dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. Read SEC document |
| September 30, 2019 Filed Oct 2, 2019 18:55 UTC |
CALHOUN DAVID LDirector
|
GrantPhantom Stock Units · Derivative | 435 | $126.49 | $55,023.15 |
DisclosureSEC source: 0000018230-19-000255 · wf-form4_157004252818993.xml · derivative · entry 1 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,007 Underlying: Common Stock · 435 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, 2019 Filed Oct 2, 2019 18:56 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 296 | $126.49 | $37,441.04 |
DisclosureSEC source: 0000018230-19-000256 · wf-form4_157004255573747.xml · derivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,413 Underlying: Common Stock · 296 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, 2019 Filed Oct 2, 2019 18:56 UTC |
Long Suzette MGeneral Counsel/Corporate Sec.
|
SaleCommon Stock | 5,019 | $126.34 | $634,100.46 |
DisclosureSEC source: 0000018230-19-000257 · wf-form4_157004257944089.xml · nonDerivative · entry 1 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,569 F1 · shares: These shares were sold pursuant to a Rule 10b5-1 plan adopted by the reporting person on August 29, 2019. Read SEC document |
| September 30, 2019 Filed Oct 2, 2019 18:57 UTC |
REED DEBRA LDirector
|
GrantPhantom Stock Units · Derivative | 296 | $126.49 | $37,441.04 |
DisclosureSEC source: 0000018230-19-000258 · wf-form4_157004260555725.xml · derivative · entry 1 REED DEBRA L · CIK 0001225947 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,799 Underlying: Common Stock · 296 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, 2019 Filed Oct 2, 2019 18:57 UTC |
SCHWAB SUSAN CDirector
|
GrantPhantom Stock Units · Derivative | 296 | $126.49 | $37,441.04 |
DisclosureSEC source: 0000018230-19-000259 · wf-form4_157004263243167.xml · derivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,460 Underlying: Common Stock · 296 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, 2019 Filed Oct 2, 2019 18:58 UTC |
WHITE MILES DDirector
|
GrantPhantom Stock Units · Derivative | 346 | $126.49 | $43,765.54 |
DisclosureSEC source: 0000018230-19-000260 · wf-form4_157004265886053.xml · derivative · entry 1 WHITE MILES D · CIK 0001239129 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,386 Underlying: Common Stock · 346 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 26, 2019 Filed Sep 30, 2019 20:27 UTC |
De Lange BobGroup President
|
GrantPhantom Stock Units · Derivative | 60 | $126.39 | $7,583.40 |
DisclosureSEC source: 0000018230-19-000247 · wf-form4_156987524859300.xml · derivative · entry 1 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,152 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 $126.39 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 were acquired under the 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 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 26, 2019 Filed Sep 30, 2019 20:28 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 95 | $126.39 | $12,007.05 |
DisclosureSEC source: 0000018230-19-000248 · wf-form4_156987527449321.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,335 Underlying: Common Stock · 95 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 63 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $126.39 and 32 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 were acquired under the 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 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. Also adjusted to include 3,292 phantom stock units initially reported on Form 3 filed on January 27, 2016 and unintentionally omitted from subsequent filings. Read SEC document |
| September 07, 2019 Filed Sep 10, 2019 20:45 UTC |
BONFIELD ANDREW R JChief Financial Officer
|
Tax withholdingCommon Stock | 5,883 | $125.30 | $737,139.90 |
DisclosureSEC source: 0000018230-19-000241 · wf-form4_156814832652975.xml · nonDerivative · entry 1 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,060 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 |
| August 28, 2019 Filed Aug 30, 2019 20:45 UTC |
Umpleby III Donald JDirector · Chairman & CEO
|
OtherPhantom Stock Units · Derivative | 9,413 | $114.86 | $1,081,177.18 |
DisclosureSEC source: 0000018230-19-000236 · wf-form4_156719790574298.xml · derivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,683 Underlying: Common Stock · 9,413 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the Caterpillar Inc. Supplemental Deferred Compensation Plan as reported is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · derivative.exercise_date: The phantom stock units are settled 100% in cash upon the reporting person's retirement or separation from service. F2 · derivative.expiration_date: The phantom stock units are settled 100% in cash upon the reporting person's retirement or separation from service. F3 · balance_after: Includes adjustments for dividends accrued. Also adjusted to correct total holdings after the transactions reported on Forms 4 filed on July 31, 2015, November 16, 2015 and December 2, 2015. Read SEC document |
| August 26, 2019 Filed Aug 28, 2019 18:55 UTC |
De Lange BobGroup President
|
GrantPhantom Stock Units · Derivative | 67 | $114.42 | $7,666.14 |
DisclosureSEC source: 0000018230-19-000233 · wf-form4_156701851380489.xml · derivative · entry 2 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,031 Underlying: Common Stock · 67 shares Expires not disclosed F1 · derivative.exercise_price: Each Phantom Stock unit is 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 $114.42 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 were acquired under the 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 Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| August 26, 2019 Filed Aug 28, 2019 18:55 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 105 | $114.42 | $12,014.10 |
DisclosureSEC source: 0000018230-19-000234 · wf-form4_156701853266565.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,987 Underlying: Common Stock · 105 shares Expires not disclosed F1 · derivative.exercise_price: Each Phantom Stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 70 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $114.42 and 35 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 were acquired under the 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 Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| July 29, 2019 Filed Jul 30, 2019 18:40 UTC |
Younessi RaminGroup President
|
Exercise / conversionEmployee Stock Options · Derivative | 15,277 | $0.00 Strike: $95.66 | $0.00 |
DisclosureSEC source: 0000018230-19-000221 · wf-form4_156451201871809.xml · derivative · entry 3 Younessi Ramin · CIK 0001743079 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,277 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 each of the first, second and third anniversaries of the grant date. Read SEC document |
| July 29, 2019 Filed Jul 30, 2019 18:40 UTC |
Younessi RaminGroup President
|
Tax withholdingCommon Stock | 12,866 | $133.47 | $1,717,225.02 |
DisclosureSEC source: 0000018230-19-000221 · wf-form4_156451201871809.xml · nonDerivative · entry 2 Younessi Ramin · CIK 0001743079 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,794 Read SEC document |
| July 29, 2019 Filed Jul 30, 2019 18:40 UTC |
Younessi RaminGroup President
|
Exercise / conversionCommon Stock | 15,277 | $95.66 | $1,461,397.82 |
DisclosureSEC source: 0000018230-19-000221 · wf-form4_156451201871809.xml · nonDerivative · entry 1 Younessi Ramin · CIK 0001743079 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,660 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 26, 2019 Filed Jul 29, 2019 20:08 UTC |
De Lange BobGroup President
|
GrantPhantom Stock Units · Derivative | 58 | $132.92 | $7,709.36 |
DisclosureSEC source: 0000018230-19-000218 · wf-form4_156443087465838.xml · derivative · entry 1 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,964 Underlying: Common Stock · 58 shares Expires not disclosed F1 · derivative.exercise_price: Each Phantom Stock unit is 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 $132.92 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 were acquired under the 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 Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| July 26, 2019 Filed Jul 29, 2019 20:08 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 91 | $132.92 | $12,095.72 |
DisclosureSEC source: 0000018230-19-000219 · wf-form4_156443089577769.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,882 Underlying: Common Stock · 91 shares Expires not disclosed F1 · derivative.exercise_price: Each Phantom Stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 60 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $132.92 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 were acquired under the 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 Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| July 26, 2019 Filed Aug 28, 2019 18:55 UTC |
De Lange BobGroup President
|
GiftCommon Stock | 190 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-19-000233 · wf-form4_156701851380489.xml · nonDerivative · entry 1 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,869 Read SEC document |
| July 25, 2019 Filed Jul 29, 2019 17:45 UTC |
Johnson Cheryl HChief Human Resources Officer
|
Tax withholdingCommon Stock | 1,393 | $132.96 | $185,213.28 |
DisclosureSEC source: 0000018230-19-000215 · wf-form4_156442229702273.xml · nonDerivative · entry 1 Johnson Cheryl H · CIK 0001552649 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,861 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. Read SEC document |
| June 28, 2019 Filed Jul 2, 2019 15:16 UTC |
CALHOUN DAVID LDirector
|
GrantPhantom Stock Units · Derivative | 399 | $136.64 | $54,519.36 |
DisclosureSEC source: 0000018230-19-000200 · wf-form4_156208056918339.xml · derivative · entry 1 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,446 Underlying: Common Stock · 399 shares Expires not disclosed F1 · derivative.exercise_price: Each Phantom Stock unit is 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 28, 2019 Filed Jul 2, 2019 15:16 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 274 | $136.64 | $37,439.36 |
DisclosureSEC source: 0000018230-19-000201 · wf-form4_156208058724498.xml · derivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,531 Underlying: Common Stock · 274 shares Expires not disclosed F1 · derivative.exercise_price: Each Phantom Stock unit is 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 28, 2019 Filed Jul 2, 2019 15:17 UTC |
REED DEBRA LDirector
|
GrantPhantom Stock Units · Derivative | 274 | $136.64 | $37,439.36 |
DisclosureSEC source: 0000018230-19-000202 · wf-form4_156208060552526.xml · derivative · entry 1 REED DEBRA L · CIK 0001225947 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,445 Underlying: Common Stock · 274 shares Expires not disclosed F1 · derivative.exercise_price: Each Phantom Stock unit is 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 28, 2019 Filed Jul 2, 2019 15:17 UTC |
WHITE MILES DDirector
|
GrantPhantom Stock Units · Derivative | 320 | $136.64 | $43,724.80 |
DisclosureSEC source: 0000018230-19-000203 · wf-form4_156208062415653.xml · derivative · entry 1 WHITE MILES D · CIK 0001239129 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,952 Underlying: Common Stock · 320 shares Expires not disclosed F1 · derivative.exercise_price: Each Phantom Stock unit is 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 28, 2019 Filed Jul 2, 2019 20:55 UTC |
SCHWAB SUSAN CDirector
|
GrantPhantom Stock Units · Derivative | 274 | $136.64 | $37,439.36 |
DisclosureSEC source: 0000018230-19-000206 · wf-form4_156210093792708.xml · derivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,049 Underlying: Common Stock · 274 shares Expires not disclosed F1 · derivative.exercise_price: Each Phantom Stock unit is 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, 2019 Filed Jun 27, 2019 15:51 UTC |
De Lange BobGroup President
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GrantPhantom Stock Units · Derivative | 57 | $135.15 | $7,703.55 |
DisclosureSEC source: 0000018230-19-000190 · wf-form4_156165066001806.xml · derivative · entry 1 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,906 Underlying: Common Stock · 57 shares Expires not disclosed F1 · derivative.exercise_price: Each Phantom Stock unit is 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 $135.15 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 were acquired under the 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 Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| June 26, 2019 Filed Jun 27, 2019 15:51 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 89 | $135.15 | $12,028.35 |
DisclosureSEC source: 0000018230-19-000191 · wf-form4_156165067907744.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,791 Underlying: Common Stock · 89 shares Expires not disclosed F1 · derivative.exercise_price: Each Phantom Stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 59 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $135.15 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 were acquired under the 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 Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| May 28, 2019 Filed May 29, 2019 21:25 UTC |
Long Suzette MGeneral Counsel/Corporate Sec.
|
Exercise / conversionEmployee Stock Option · Derivative | 5,922 | $0.00 Strike: $74.77 | $0.00 |
DisclosureSEC source: 0000018230-19-000163 · wf-form4_155916508772580.xml · derivative · entry 7 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,922 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. F5 · derivative.exercise_date: The stock options vested equally in 1/3 increments beginning on the first anniversary of the grant date. Read SEC document |
| May 28, 2019 Filed May 29, 2019 21:25 UTC |
Long Suzette MGeneral Counsel/Corporate Sec.
|
Exercise / conversionEmployee Stock Option · Derivative | 2,219 | $0.00 Strike: $83.00 | $0.00 |
DisclosureSEC source: 0000018230-19-000163 · wf-form4_155916508772580.xml · derivative · entry 6 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,219 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. F5 · derivative.exercise_date: The stock options vested equally in 1/3 increments beginning on the first anniversary of the grant date. Read SEC document |
| May 28, 2019 Filed May 29, 2019 21:25 UTC |
Long Suzette MGeneral Counsel/Corporate Sec.
|
Tax withholdingCommon Stock | 6,462 | $122.25 | $789,979.50 |
DisclosureSEC source: 0000018230-19-000163 · wf-form4_155916508772580.xml · nonDerivative · entry 3 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,588 Read SEC document |
| May 28, 2019 Filed May 29, 2019 21:25 UTC |
Long Suzette MGeneral Counsel/Corporate Sec.
|
Exercise / conversionCommon Stock | 5,922 | $74.77 | $442,787.94 |
DisclosureSEC source: 0000018230-19-000163 · wf-form4_155916508772580.xml · nonDerivative · entry 2 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,050 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 |
| May 28, 2019 Filed May 29, 2019 21:25 UTC |
Long Suzette MGeneral Counsel/Corporate Sec.
|
Exercise / conversionCommon Stock | 2,219 | $83.00 | $184,177.00 |
DisclosureSEC source: 0000018230-19-000163 · wf-form4_155916508772580.xml · nonDerivative · entry 1 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,128 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 |
| May 24, 2019 Filed May 29, 2019 21:24 UTC |
De Lange BobGroup President
|
GrantPhantom Stock Units · Derivative | 33 | $122.90 | $4,055.70 |
DisclosureSEC source: 0000018230-19-000161 · wf-form4_155916502978577.xml · derivative · entry 1 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,849 Underlying: Common Stock · 33 shares Expires not disclosed F1 · derivative.exercise_price: Each Phantom Stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 17 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $122.90 and 16 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the 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 Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| May 24, 2019 Filed May 29, 2019 21:24 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 65 | $122.90 | $7,988.50 |
DisclosureSEC source: 0000018230-19-000162 · wf-form4_155916505869112.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,702 Underlying: Common Stock · 65 shares Expires not disclosed F1 · derivative.exercise_price: Each Phantom Stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 48 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $122.90 and 17 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the 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 Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| May 24, 2019 Filed May 29, 2019 21:25 UTC |
Long Suzette MGeneral Counsel/Corporate Sec.
|
GrantPhantom Stock Units · Derivative | 34 | $122.90 | $4,178.60 |
DisclosureSEC source: 0000018230-19-000163 · wf-form4_155916508772580.xml · derivative · entry 5 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,044 Underlying: Common Stock · 34 shares Expires not disclosed F2 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F3 · shares: This total includes 31 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $122.90 and 3 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F4 · derivative.exercise_date: The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · derivative.expiration_date: The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| May 22, 2019 Filed May 23, 2019 15:58 UTC |
Younessi RaminGroup President
|
Exercise / conversionEmployee Stock Options · Derivative | 12,803 | $0.00 Strike: $74.77 | $0.00 |
DisclosureSEC source: 0000018230-19-000157 · wf-form4_155862711728843.xml · derivative · entry 3 Younessi Ramin · CIK 0001743079 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 12,803 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. F1 · 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 |
| May 22, 2019 Filed May 23, 2019 15:58 UTC |
Younessi RaminGroup President
|
Tax withholdingCommon Stock | 10,036 | $123.62 | $1,240,650.32 |
DisclosureSEC source: 0000018230-19-000157 · wf-form4_155862711728843.xml · nonDerivative · entry 2 Younessi Ramin · CIK 0001743079 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,383 Read SEC document |
| May 22, 2019 Filed May 23, 2019 15:58 UTC |
Younessi RaminGroup President
|
Exercise / conversionCommon Stock | 12,803 | $74.77 | $957,280.31 |
DisclosureSEC source: 0000018230-19-000157 · wf-form4_155862711728843.xml · nonDerivative · entry 1 Younessi Ramin · CIK 0001743079 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,419 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 |
| May 01, 2019 Filed May 3, 2019 16:44 UTC |
Johnson Denise CGroup President
|
Tax withholdingCommon Stock | 126 | $138.79 | $17,487.54 |
DisclosureSEC source: 0000018230-19-000150 · wf-form4_155690186957396.xml · nonDerivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,687 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, 2014. Read SEC document |
| May 01, 2019 Filed May 3, 2019 16:45 UTC |
Ainsworth William PGroup President
|
Tax withholdingCommon Stock | 34 | $138.79 | $4,718.86 |
DisclosureSEC source: 0000018230-19-000151 · wf-form4_155690190917219.xml · nonDerivative · entry 1 Ainsworth William P · CIK 0001768624 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,766 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 |
| April 26, 2019 Filed Apr 29, 2019 21:28 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 31 | $139.03 | $4,309.93 |
DisclosureSEC source: 0000018230-19-000143 · wf-form4_155657329162153.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,637 Underlying: Common Stock · 31 shares Expires not disclosed F1 · derivative.exercise_price: Each Phantom Stock unit is 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 $139.03 and 2 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 were acquired under the 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 Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. 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.