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 |
|---|---|---|---|---|---|---|
| April 26, 2019 Filed Apr 29, 2019 21:29 UTC |
Long Suzette MGeneral Counsel/Corporate Sec.
|
GrantPhantom Stock Units · Derivative | 28 | $139.03 | $3,892.84 |
DisclosureSEC source: 0000018230-19-000144 · wf-form4_155657333472824.xml · derivative · entry 1 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,010 Underlying: Common Stock · 28 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 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 $139.03 and 1 share that was 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 |
| March 29, 2019 Filed Apr 2, 2019 15:27 UTC |
CALHOUN DAVID LDirector
|
GrantPhantom Stock Units · Derivative | 371 | $134.95 | $50,066.45 |
DisclosureSEC source: 0000018230-19-000130 · wf-form4_155421886042333.xml · derivative · entry 1 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,949 Underlying: Common Stock · 371 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 |
| March 29, 2019 Filed Apr 2, 2019 15:28 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 278 | $134.95 | $37,516.10 |
DisclosureSEC source: 0000018230-19-000131 · wf-form4_155421890038057.xml · derivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,021 Underlying: Common Stock · 278 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 |
| March 29, 2019 Filed Apr 2, 2019 15:29 UTC |
REED DEBRA LDirector
|
GrantPhantom Stock Units · Derivative | 278 | $134.95 | $37,516.10 |
DisclosureSEC source: 0000018230-19-000132 · wf-form4_155421894770210.xml · derivative · entry 1 REED DEBRA L · CIK 0001225947 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,128 Underlying: Common Stock · 278 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 |
| March 29, 2019 Filed Apr 2, 2019 15:30 UTC |
SCHWAB SUSAN CDirector
|
GrantPhantom Stock Units · Derivative | 278 | $134.95 | $37,516.10 |
DisclosureSEC source: 0000018230-19-000133 · wf-form4_155421898914085.xml · derivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,686 Underlying: Common Stock · 278 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 |
| March 29, 2019 Filed Apr 2, 2019 15:30 UTC |
WHITE MILES DDirector
|
GrantPhantom Stock Units · Derivative | 315 | $134.95 | $42,509.25 |
DisclosureSEC source: 0000018230-19-000134 · wf-form4_155421903711954.xml · derivative · entry 1 WHITE MILES D · CIK 0001239129 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,565 Underlying: Common Stock · 315 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 |
| March 26, 2019 Filed Mar 28, 2019 14:38 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 31 | $131.84 | $4,087.04 |
DisclosureSEC source: 0000018230-19-000123 · wf-form4_155378391299794.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,606 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 $131.84 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 |
| March 26, 2019 Filed Mar 28, 2019 14:39 UTC |
Long Suzette MGeneral Counsel/Corporate Sec.
|
GrantPhantom Stock Units · Derivative | 28 | $131.84 | $3,691.52 |
DisclosureSEC source: 0000018230-19-000124 · wf-form4_155378394964758.xml · derivative · entry 1 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,982 Underlying: Common Stock · 28 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 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 $131.84 and 1 share that was 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 |
| March 11, 2019 Filed Mar 12, 2019 20:57 UTC |
De Lange BobGroup President
|
GrantPhantom Stock Units · Derivative | 1,064 | $133.11 | $141,629.04 |
DisclosureSEC source: 0000018230-19-000115 · wf-form4_155242424391865.xml · derivative · entry 2 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,816 Underlying: Common Stock · 1,064 shares Expires not disclosed F1 · derivative.exercise_price: Each Phantom Stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F4 · shares: This total includes 532 shares that were credited to the reporting person's account under the Plan at a price per share of $133.11 and 532 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 |
| March 11, 2019 Filed Mar 12, 2019 20:58 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 4,535 | $133.11 | $603,653.85 |
DisclosureSEC source: 0000018230-19-000116 · wf-form4_155242428305743.xml · derivative · entry 2 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,575 Underlying: Common Stock · 4,535 shares Expires not disclosed F1 · derivative.exercise_price: Each Phantom Stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F4 · shares: This total includes 3,779 shares that were credited to the reporting person's account under the Plan at a price per share of $133.11 and 756 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 |
| March 11, 2019 Filed Mar 12, 2019 20:58 UTC |
Long Suzette MGeneral Counsel/Corporate Sec.
|
GrantPhantom Stock Units · Derivative | 1,180 | $133.11 | $157,069.80 |
DisclosureSEC source: 0000018230-19-000117 · wf-form4_155242431973475.xml · derivative · entry 2 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,954 Underlying: Common Stock · 1,180 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F4 · shares: This total includes 590 shares that were credited to the reporting person's account under the Plan at a price per share of $133.11 and 590 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 |
| March 08, 2019 Filed Mar 12, 2019 20:57 UTC |
De Lange BobGroup President
|
GrantPhantom Stock Units · Derivative | 416 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-19-000115 · wf-form4_155242424391865.xml · derivative · entry 1 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,752 Underlying: Common Stock · 416 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: The Phantom Stock units were contributed to the reporting person 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 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 |
| March 08, 2019 Filed Mar 12, 2019 20:58 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 448 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-19-000116 · wf-form4_155242428305743.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,040 Underlying: Common Stock · 448 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: The Phantom Stock units were contributed to the reporting person 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 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 |
| March 08, 2019 Filed Mar 12, 2019 20:58 UTC |
Long Suzette MGeneral Counsel/Corporate Sec.
|
GrantPhantom Stock Units · Derivative | 405 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-19-000117 · wf-form4_155242431973475.xml · derivative · entry 1 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,774 Underlying: Common Stock · 405 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: The Phantom Stock units were contributed to the reporting person 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 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 |
| March 06, 2019 Filed Mar 8, 2019 19:01 UTC |
Long Suzette MGeneral Counsel/Corporate Sec.
|
Tax withholdingCommon Stock | 390 | $136.19 | $53,114.10 |
DisclosureSEC source: 0000018230-19-000111 · wf-form4_155207165464995.xml · nonDerivative · entry 2 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,909 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, 2019 Filed Mar 8, 2019 19:01 UTC |
Long Suzette MGeneral Counsel/Corporate Sec.
|
Tax withholdingCommon Stock | 2,161 | $136.19 | $294,306.59 |
DisclosureSEC source: 0000018230-19-000111 · wf-form4_155207165464995.xml · nonDerivative · entry 1 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,299 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 05, 2019 Filed Mar 6, 2019 23:05 UTC |
WHITE MILES DDirector
|
Tax withholdingCommon Stock | 427 | $137.73 | $58,810.71 |
DisclosureSEC source: 0000018230-19-000108 · wf-form4_155191348886893.xml · nonDerivative · entry 2 WHITE MILES D · CIK 0001239129 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,462 Read SEC document |
| March 04, 2019 Filed Mar 5, 2019 23:04 UTC |
BONFIELD ANDREW R JChief Financial Officer
|
GrantEmployee Stock Options · Derivative | 54,038 | $0.00 Strike: $138.35 | $0.00 |
DisclosureSEC source: 0000018230-19-000075 · wf-form4_155182705397264.xml · derivative · entry 1 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,038 Underlying: Common Stock · 54,038 shares Expires 2029-03-04 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 04, 2019 Filed Mar 5, 2019 23:05 UTC |
De Lange BobGroup President
|
GrantEmployee Stock Options · Derivative | 48,034 | $0.00 Strike: $138.35 | $0.00 |
DisclosureSEC source: 0000018230-19-000076 · wf-form4_155182708988951.xml · derivative · entry 1 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,034 Underlying: Common Stock · 48,034 shares Expires 2029-03-04 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 04, 2019 Filed Mar 5, 2019 23:05 UTC |
Marvel Gary MichaelChief Accounting Officer
|
GrantEmployee Stock Options · Derivative | 3,753 | $0.00 Strike: $138.35 | $0.00 |
DisclosureSEC source: 0000018230-19-000077 · wf-form4_155182712594345.xml · derivative · entry 1 Marvel Gary Michael · CIK 0001768626 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,753 Underlying: Common Stock · 3,753 shares Expires 2029-03-04 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 04, 2019 Filed Mar 5, 2019 23:06 UTC |
Johnson Cheryl HChief Human Resources Officer
|
GrantEmployee Stock Options · Derivative | 28,520 | $0.00 Strike: $138.35 | $0.00 |
DisclosureSEC source: 0000018230-19-000078 · wf-form4_155182715867993.xml · derivative · entry 1 Johnson Cheryl H · CIK 0001552649 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,520 Underlying: Common Stock · 28,520 shares Expires 2029-03-04 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 04, 2019 Filed Mar 5, 2019 23:06 UTC |
Johnson Denise CGroup President
|
GrantEmployee Stock Options · Derivative | 54,038 | $0.00 Strike: $138.35 | $0.00 |
DisclosureSEC source: 0000018230-19-000079 · wf-form4_155182719455321.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,038 Underlying: Common Stock · 54,038 shares Expires 2029-03-04 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 04, 2019 Filed Mar 5, 2019 23:07 UTC |
Younessi RaminGroup President
|
GrantEmployee Stock Options · Derivative | 54,038 | $0.00 Strike: $138.35 | $0.00 |
DisclosureSEC source: 0000018230-19-000081 · wf-form4_155182726583784.xml · derivative · entry 1 Younessi Ramin · CIK 0001743079 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,038 Underlying: Common Stock · 54,038 shares Expires 2029-03-04 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 04, 2019 Filed Mar 5, 2019 23:07 UTC |
Long Suzette MGeneral Counsel/Corporate Sec.
|
GrantEmployee Stock Options · Derivative | 48,034 | $0.00 Strike: $138.35 | $0.00 |
DisclosureSEC source: 0000018230-19-000080 · wf-form4_155182723027767.xml · derivative · entry 1 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,034 Underlying: Common Stock · 48,034 shares Expires 2029-03-04 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 04, 2019 Filed Mar 5, 2019 23:08 UTC |
Umpleby III Donald JDirector · Chairman & CEO
|
GrantEmployee Stock Option · Derivative | 163,615 | $0.00 Strike: $138.35 | $0.00 |
DisclosureSEC source: 0000018230-19-000082 · wf-form4_155182730243110.xml · derivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 163,615 Underlying: Common Stock · 163,615 shares Expires 2029-03-04 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 04, 2019 Filed Mar 5, 2019 23:09 UTC |
Ainsworth William PGroup President
|
GrantEmployee Stock Options · Derivative | 54,038 | $0.00 Strike: $138.35 | $0.00 |
DisclosureSEC source: 0000018230-19-000083 · wf-form4_155182734306881.xml · derivative · entry 1 Ainsworth William P · CIK 0001768624 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,038 Underlying: Common Stock · 54,038 shares Expires 2029-03-04 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 04, 2019 Filed Mar 6, 2019 22:59 UTC |
Ayotte KellyDirector
|
GrantCommon Stock | 1,084 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-19-000099 · wf-form4_155191314924033.xml · nonDerivative · entry 1 Ayotte Kelly · CIK 0001702559 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,559 F1 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| March 04, 2019 Filed Mar 6, 2019 23:00 UTC |
CALHOUN DAVID LDirector
|
GrantCommon Stock | 2,891 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-19-000100 · wf-form4_155191318586947.xml · nonDerivative · entry 1 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,134 F1 · balance_after: Includes adjustments for dividends accrued. F2 · balance_after: Reflects the transfer of 8,600 shares from a grantor retained annuity trust to the Reporting Person during 2018. This transfer was exempt from reporting pursuant to Rule 16a-13 under the Securities Exchange Act of 1934, as amended. Read SEC document |
| March 04, 2019 Filed Mar 6, 2019 23:00 UTC |
DICKINSON DANIEL MDirector
|
GrantCommon Stock | 1,084 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-19-000101 · wf-form4_155191322430550.xml · nonDerivative · entry 2 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,345 Read SEC document |
| March 04, 2019 Filed Mar 6, 2019 23:01 UTC |
GALLARDO JUANDirector
|
GrantCommon Stock | 1,084 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-19-000102 · wf-form4_155191325973472.xml · nonDerivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 274,256 F1 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| March 04, 2019 Filed Mar 6, 2019 23:01 UTC |
Muilenburg Dennis ADirector
|
GrantCommon Stock | 1,084 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-19-000103 · wf-form4_155191329748400.xml · nonDerivative · entry 1 Muilenburg Dennis A · CIK 0001471763 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,966 F1 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| March 04, 2019 Filed Mar 6, 2019 23:02 UTC |
OSBORN WILLIAM ADirector
|
GrantCommon Stock | 1,084 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-19-000104 · wf-form4_155191333387437.xml · nonDerivative · entry 1 OSBORN WILLIAM A · CIK 0001171797 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,746 F1 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| March 04, 2019 Filed Mar 6, 2019 23:03 UTC |
REED DEBRA LDirector
|
GrantCommon Stock | 1,084 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-19-000105 · wf-form4_155191337483883.xml · nonDerivative · entry 1 REED DEBRA L · CIK 0001225947 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,155 F1 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| March 04, 2019 Filed Mar 6, 2019 23:03 UTC |
RUST EDWARD B JRDirector
|
GrantCommon Stock | 1,084 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-19-000106 · wf-form4_155191340989744.xml · nonDerivative · entry 1 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,181 F1 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| March 04, 2019 Filed Mar 6, 2019 23:04 UTC |
SCHWAB SUSAN CDirector
|
GrantCommon Stock | 1,084 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-19-000107 · wf-form4_155191344991056.xml · nonDerivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,880 F1 · balance_after: Reflects adjustment for dividends accrued. F2 · balance_after: Reflects adjustment for clerical error to total shares of common stock of the Issuer previously reported as beneficially owned by Reporting Person. Read SEC document |
| March 04, 2019 Filed Mar 6, 2019 23:05 UTC |
WHITE MILES DDirector
|
GrantCommon Stock | 1,084 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-19-000108 · wf-form4_155191348886893.xml · nonDerivative · entry 1 WHITE MILES D · CIK 0001239129 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,865 F1 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| March 04, 2019 Filed Mar 6, 2019 23:05 UTC |
WILKINS RAYFORD JRDirector
|
GrantCommon Stock | 1,084 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-19-000109 · wf-form4_155191352591117.xml · nonDerivative · entry 1 WILKINS RAYFORD JR · CIK 0001184395 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,044 F1 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| March 04, 2019 Filed Jun 13, 2019 16:39 UTC Amendment |
CALHOUN DAVID LDirector
|
GrantCommon Stock | 1,084 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-19-000171 · wf-form4a_156044394926830.xml · nonDerivative · entry 1 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,327 F1 · shares: This amended report is being filed to correct the number of restricted stock units granted to the reporting person on March 4, 2019, which was reported incorrectly in the original report due to an administrative error. This amendment corrects the number of restricted stock units granted to the reporting person from 2,891 to 1,084. Read SEC document |
| February 26, 2019 Filed Feb 27, 2019 22:09 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 30 | $137.98 | $4,139.40 |
DisclosureSEC source: 0000018230-19-000058 · wf-form4_155130537413449.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,592 Underlying: Common Stock · 30 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 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 $137.98 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 |
| February 26, 2019 Filed Feb 27, 2019 22:10 UTC |
Long Suzette MGeneral Counsel/Corporate Sec.
|
GrantPhantom Stock Units · Derivative | 27 | $137.98 | $3,725.46 |
DisclosureSEC source: 0000018230-19-000059 · wf-form4_155130540139936.xml · derivative · entry 1 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,369 Underlying: Common Stock · 27 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 25 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $137.98 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 |
| February 25, 2019 Filed Feb 26, 2019 19:56 UTC |
De Lange BobGroup President
|
Exercise / conversionStock Appreciation Right · Derivative | 2,157 | $0.00 Strike: $57.85 | $0.00 |
DisclosureSEC source: 0000018230-19-000055 · wf-form4_155121096205951.xml · derivative · entry 4 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,157 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. Read SEC document |
| February 25, 2019 Filed Feb 26, 2019 19:56 UTC |
De Lange BobGroup President
|
Tax withholdingCommon Stock | 540 | $141.37 | $76,339.80 |
DisclosureSEC source: 0000018230-19-000055 · wf-form4_155121096205951.xml · nonDerivative · entry 3 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,059 Read SEC document |
| February 25, 2019 Filed Feb 26, 2019 19:56 UTC |
De Lange BobGroup President
|
Disposition to issuerCommon Stock | 882 | $141.37 | $124,688.34 |
DisclosureSEC source: 0000018230-19-000055 · wf-form4_155121096205951.xml · nonDerivative · entry 2 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,599 Read SEC document |
| February 25, 2019 Filed Feb 26, 2019 19:56 UTC |
De Lange BobGroup President
|
Exercise / conversionCommon Stock | 2,157 | $57.85 | $124,782.45 |
DisclosureSEC source: 0000018230-19-000055 · wf-form4_155121096205951.xml · nonDerivative · entry 1 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,481 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 |
| February 12, 2019 Filed Feb 14, 2019 22:29 UTC |
Copeland Jananne A.Chief Accounting Officer
|
Tax withholdingCommon Stock | 566 | $131.78 | $74,587.48 |
DisclosureSEC source: 0000018230-19-000042 · wf-form4_155018333519537.xml · nonDerivative · entry 2 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,449 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 7, 2016. Read SEC document |
| February 12, 2019 Filed Feb 14, 2019 22:29 UTC |
Copeland Jananne A.Chief Accounting Officer
|
GrantCommon Stock | 1,806 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-19-000042 · wf-form4_155018333519537.xml · nonDerivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,015 Read SEC document |
| February 12, 2019 Filed Feb 14, 2019 22:29 UTC |
De Lange BobGroup President
|
Tax withholdingCommon Stock | 2,195 | $131.78 | $289,257.10 |
DisclosureSEC source: 0000018230-19-000043 · wf-form4_155018336711767.xml · nonDerivative · entry 3 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,324 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 7, 2016. Read SEC document |
| February 12, 2019 Filed Feb 14, 2019 22:29 UTC |
De Lange BobGroup President
|
GrantCommon Stock | 7,409 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-19-000043 · wf-form4_155018336711767.xml · nonDerivative · entry 2 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,519 Read SEC document |
| February 12, 2019 Filed Feb 14, 2019 22:30 UTC |
Johnson Denise CGroup President
|
Tax withholdingCommon Stock | 2,077 | $131.78 | $273,707.06 |
DisclosureSEC source: 0000018230-19-000044 · wf-form4_155018339885103.xml · nonDerivative · entry 2 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,813 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 7, 2016. Read SEC document |
| February 12, 2019 Filed Feb 14, 2019 22:30 UTC |
Johnson Denise CGroup President
|
GrantCommon Stock | 7,008 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-19-000044 · wf-form4_155018339885103.xml · nonDerivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,890 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.