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 |
|---|---|---|---|---|---|---|
| September 26, 2018 Filed Sep 28, 2018 21:18 UTC |
Copeland Jananne A.Chief Accounting Officer
|
GrantPhantom Stock Units · Derivative | 6 | $153.17 | $919.02 |
DisclosureSEC source: 0000018230-18-000253 · wf-form4_153816947759742.xml · derivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,220 Underlying: Common Stock · 6 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 4 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $153.17 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 |
| September 26, 2018 Filed Sep 28, 2018 21:18 UTC |
De Lange BobGroup President
|
GrantPhantom Stock Units · Derivative | 48 | $153.17 | $7,352.16 |
DisclosureSEC source: 0000018230-18-000254 · wf-form4_153816951744303.xml · derivative · entry 1 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48 Underlying: Common Stock · 48 shares Expires not disclosed F1 · derivative.exercise_price: Each Phantom Stock unit is the economic equivalent to one share of Caterpillar Inc. common stock. F2 · shares: This total includes 24 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $153.17 and 24 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 |
| September 26, 2018 Filed Sep 28, 2018 21:19 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 74 | $153.17 | $11,334.58 |
DisclosureSEC source: 0000018230-18-000255 · wf-form4_153816955982110.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,251 Underlying: Common Stock · 74 shares Expires not disclosed F1 · derivative.exercise_price: Each Phantom Stock unit is the economic equivalent to one share of Caterpillar Inc. common stock. F2 · shares: This total includes 49 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $153.17 and 25 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units 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 |
| September 26, 2018 Filed Sep 28, 2018 21:20 UTC |
Long Suzette MGeneral Counsel/Corporate Sec.
|
GrantPhantom Stock Units · Derivative | 78 | $153.17 | $11,947.26 |
DisclosureSEC source: 0000018230-18-000256 · wf-form4_153816960197609.xml · derivative · entry 1 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,019 Underlying: Common Stock · 78 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 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 $153.17 and 23 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units 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 |
| September 26, 2018 Filed Sep 28, 2018 21:21 UTC |
Younessi RaminGroup President
|
GrantPhantom Stock Units · Derivative | 8 | $153.17 | $1,225.36 |
DisclosureSEC source: 0000018230-18-000257 · wf-form4_153816964598114.xml · derivative · entry 1 Younessi Ramin · CIK 0001743079 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 251 Underlying: Common Stock · 8 shares Expires not disclosed F1 · derivative.exercise_price: Each Phantom Stock unit is the economic equivalent to one share of Caterpillar Inc. common stock. F2 · shares: This total includes 4 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $153.17 and 4 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 |
| September 07, 2018 Filed Sep 11, 2018 22:04 UTC |
BONFIELD ANDREW R JChief Financial Officer
|
GrantEmployee Stock Options · Derivative | 23,077 | $0.00 Strike: $141.32 | $0.00 |
DisclosureSEC source: 0000018230-18-000242 · wf-form4_153670347934871.xml · derivative · entry 2 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,077 Underlying: Common Stock · 23,077 shares Expires not disclosed F1 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on September 7, 2018 and vest equally in 1/3 increments on March 5, 2019, March 5, 2020 and March 5, 2021. F1 · derivative.expiration_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on September 7, 2018 and vest equally in 1/3 increments on March 5, 2019, March 5, 2020 and March 5, 2021. Read SEC document |
| September 07, 2018 Filed Sep 11, 2018 22:04 UTC |
BONFIELD ANDREW R JChief Financial Officer
|
GrantCommon Stock | 26,182 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-18-000242 · wf-form4_153670347934871.xml · nonDerivative · entry 1 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,182 Read SEC document |
| August 24, 2018 Filed Aug 27, 2018 18:40 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 82 | $138.21 | $11,333.22 |
DisclosureSEC source: 0000018230-18-000235 · wf-form4_153539522305433.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,177 Underlying: Common Stock · 82 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 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 $138.21 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 |
| August 24, 2018 Filed Aug 27, 2018 18:54 UTC |
Younessi RaminGroup President
|
GrantPhantom Stock Units · Derivative | 9 | $138.21 | $1,243.89 |
DisclosureSEC source: 0000018230-18-000237 · wf-form4_153539604507725.xml · derivative · entry 1 Younessi Ramin · CIK 0001743079 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 243 Underlying: Common Stock · 9 shares Expires not disclosed F1 · derivative.exercise_price: Each Phantom Stock unit is the economic equivalent to one share of Caterpillar Inc. common stock. F2 · shares: This total includes 5 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $138.21 and 4 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 24, 2018 Filed Aug 27, 2018 18:42 UTC |
Long Suzette MGeneral Counsel/Corporate Sec.
|
GrantPhantom Stock Units · Derivative | 86 | $138.21 | $11,886.06 |
DisclosureSEC source: 0000018230-18-000236 · wf-form4_153539536141803.xml · derivative · entry 1 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,941 Underlying: Common Stock · 86 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 61 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $138.21 and 25 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units 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 02, 2018 Filed Aug 6, 2018 23:01 UTC |
Long Suzette MGeneral Counsel/Corporate Sec.
|
OtherPhantom Stock Units · Derivative | 3,319 | $138.01 | $458,055.19 |
DisclosureSEC source: 0000018230-18-000226 · wf-form4_153359647140605.xml · derivative · entry 1 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,855 Underlying: Common Stock · 3,319 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 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F2 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| July 26, 2018 Filed Jul 30, 2018 18:25 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 80 | $142.58 | $11,406.40 |
DisclosureSEC source: 0000018230-18-000222 · wf-form4_153297513666665.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,095 Underlying: Common Stock · 80 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 52 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $142.58 and 28 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units 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, 2018 Filed Jul 30, 2018 18:26 UTC |
Younessi RaminGroup President
|
GrantPhantom Stock Units · Derivative | 9 | $142.58 | $1,283.22 |
DisclosureSEC source: 0000018230-18-000223 · wf-form4_153297516779714.xml · derivative · entry 1 Younessi Ramin · CIK 0001743079 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 234 Underlying: Common Stock · 9 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 5 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $142.58 and 4 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 25, 2018 Filed Jul 27, 2018 19:13 UTC |
Johnson Cheryl HChief Human Resources Officer
|
Tax withholdingCommon Stock | 3,461 | $138.86 | $480,594.46 |
DisclosureSEC source: 0000018230-18-000215 · wf-form4_153271880518791.xml · nonDerivative · entry 1 Johnson Cheryl H · CIK 0001552649 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,254 F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligations arising from the vest of restricted stock units granted on 7/25/2017. Read SEC document |
| June 29, 2018 Filed Jul 3, 2018 21:42 UTC |
Ayotte KellyDirector
|
GrantPhantom Stock Units · Derivative | 137 | $136.72 | $18,730.64 |
DisclosureSEC source: 0000018230-18-000207 · wf-form4_153065413220093.xml · derivative · entry 1 Ayotte Kelly · CIK 0001702559 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 485 Underlying: Common Stock · 137 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 29, 2018 Filed Jul 3, 2018 21:42 UTC |
CALHOUN DAVID LDirector
|
GrantPhantom Stock Units · Derivative | 274 | $136.72 | $37,461.28 |
DisclosureSEC source: 0000018230-18-000208 · wf-form4_153065416148503.xml · derivative · entry 1 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,777 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 29, 2018 Filed Jul 3, 2018 21:43 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 274 | $136.72 | $37,461.28 |
DisclosureSEC source: 0000018230-18-000209 · wf-form4_153065418765767.xml · derivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,567 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 29, 2018 Filed Jul 3, 2018 21:43 UTC |
REED DEBRA LDirector
|
GrantPhantom Stock Units · Derivative | 274 | $136.72 | $37,461.28 |
DisclosureSEC source: 0000018230-18-000210 · wf-form4_153065421503347.xml · derivative · entry 1 REED DEBRA L · CIK 0001225947 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,199 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 29, 2018 Filed Jul 3, 2018 21:44 UTC |
SCHWAB SUSAN CDirector
|
GrantPhantom Stock Units · Derivative | 274 | $136.71 | $37,458.54 |
DisclosureSEC source: 0000018230-18-000211 · wf-form4_153065424263956.xml · derivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,629 Underlying: Common Stock · 274 shares Expires not disclosed F1 · derivative.exercise_price: Each Phantom Stock unit is the economic equivalent to 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 29, 2018 Filed Jul 3, 2018 21:44 UTC |
WHITE MILES DDirector
|
GrantPhantom Stock Units · Derivative | 311 | $136.72 | $42,519.92 |
DisclosureSEC source: 0000018230-18-000212 · wf-form4_153065426951672.xml · derivative · entry 1 WHITE MILES D · CIK 0001239129 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,461 Underlying: Common Stock · 311 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, 2018 Filed Jun 27, 2018 19:29 UTC |
Johnson Denise CGroup President
|
GrantCommon Stock · Derivative | 84 | $135.54 | $11,385.36 |
DisclosureSEC source: 0000018230-18-000188 · wf-form4_153012772509284.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,015 Underlying: Common Stock · 84 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 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 $135.54 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 |
| June 13, 2018 Filed Jun 14, 2018 20:35 UTC |
Creed Joseph EInterim CFO
|
GrantCommon Stock | 7,111 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-18-000170 · wf-form4_152900853349895.xml · nonDerivative · entry 1 Creed Joseph E · CIK 0001739859 · Interim CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,283 F1 · shares: The restricted stock units were granted under the Company's 2014 Long-Term Incentive Plan and have a three year pro-rata vesting schedule, vesting one-third on each of the first three anniversaries of the grant date. Read SEC document |
| May 25, 2018 Filed May 29, 2018 20:58 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 40 | $155.85 | $6,234.00 |
DisclosureSEC source: 0000018230-18-000156 · wf-form4_152762744185414.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,931 Underlying: Common Stock · 40 shares Expires not disclosed F1 · derivative.exercise_price: Each Phantom Stock unit is equivalent to one share of Caterpillar Inc. common stock. F2 · shares: This total includes 32 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $155.85 and 8 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 14, 2018 Filed May 15, 2018 17:19 UTC |
CALHOUN DAVID LDirector
|
PurchaseCommon Stock | 5,000 | $155.37 | $776,850.00 |
DisclosureSEC source: 0000018230-18-000152 · wf-form4_152640474950184.xml · nonDerivative · entry 1 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,579 Read SEC document |
| May 11, 2018 Filed May 15, 2018 17:19 UTC |
Creed Joseph EInterim CFO
|
Exercise / conversionEmployee Stock Options · Derivative | 2,150 | $0.00 Strike: $89.75 | $0.00 |
DisclosureSEC source: 0000018230-18-000153 · wf-form4_152640476926621.xml · derivative · entry 7 Creed Joseph E · CIK 0001739859 · Interim CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,210 Underlying: Common Stock · 2,150 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 |
| May 11, 2018 Filed May 15, 2018 17:19 UTC |
Creed Joseph EInterim CFO
|
Exercise / conversionEmployee Stock Options · Derivative | 2,382 | $0.00 Strike: $110.09 | $0.00 |
DisclosureSEC source: 0000018230-18-000153 · wf-form4_152640476926621.xml · derivative · entry 6 Creed Joseph E · CIK 0001739859 · Interim CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,382 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 |
| May 11, 2018 Filed May 15, 2018 17:19 UTC |
Creed Joseph EInterim CFO
|
SaleCommon Stock | 2,150 | $155.67 | $334,690.50 |
DisclosureSEC source: 0000018230-18-000153 · wf-form4_152640476926621.xml · nonDerivative · entry 4 Creed Joseph E · CIK 0001739859 · Interim CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 172 Read SEC document |
| May 11, 2018 Filed May 15, 2018 17:19 UTC |
Creed Joseph EInterim CFO
|
Exercise / conversionCommon Stock | 2,150 | $89.75 | $192,962.50 |
DisclosureSEC source: 0000018230-18-000153 · wf-form4_152640476926621.xml · nonDerivative · entry 3 Creed Joseph E · CIK 0001739859 · Interim CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,322 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 11, 2018 Filed May 15, 2018 17:19 UTC |
Creed Joseph EInterim CFO
|
SaleCommon Stock | 2,382 | $155.67 | $370,805.94 |
DisclosureSEC source: 0000018230-18-000153 · wf-form4_152640476926621.xml · nonDerivative · entry 2 Creed Joseph E · CIK 0001739859 · Interim CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 172 Read SEC document |
| May 11, 2018 Filed May 15, 2018 17:19 UTC |
Creed Joseph EInterim CFO
|
Exercise / conversionCommon Stock | 2,382 | $110.09 | $262,234.38 |
DisclosureSEC source: 0000018230-18-000153 · wf-form4_152640476926621.xml · nonDerivative · entry 1 Creed Joseph E · CIK 0001739859 · Interim CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,554 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 07, 2018 Filed May 9, 2018 18:35 UTC |
Pellette Thomas AGroup President
|
Exercise / conversionEmployee Stock Option · Derivative | 28,220 | $0.00 Strike: $96.31 | $0.00 |
DisclosureSEC source: 0000018230-18-000145 · wf-form4_152589089319397.xml · derivative · entry 13 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 28,220 shares Expires 2024-03-03 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| May 07, 2018 Filed May 9, 2018 18:35 UTC |
Pellette Thomas AGroup President
|
Exercise / conversionEmployee Stock Option · Derivative | 20,569 | $0.00 Strike: $89.75 | $0.00 |
DisclosureSEC source: 0000018230-18-000145 · wf-form4_152589089319397.xml · derivative · entry 12 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 20,569 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 |
| May 07, 2018 Filed May 9, 2018 18:35 UTC |
Pellette Thomas AGroup President
|
Exercise / conversionEmployee Stock Option · Derivative | 4,456 | $0.00 Strike: $110.09 | $0.00 |
DisclosureSEC source: 0000018230-18-000145 · wf-form4_152589089319397.xml · derivative · entry 11 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,456 shares Expires 2022-03-04 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 |
| May 07, 2018 Filed May 9, 2018 18:35 UTC |
Pellette Thomas AGroup President
|
Exercise / conversionStock Appreciation Right · Derivative | 3,842 | $0.00 Strike: $102.13 | $0.00 |
DisclosureSEC source: 0000018230-18-000145 · wf-form4_152589089319397.xml · derivative · entry 10 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,842 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. Read SEC document |
| May 07, 2018 Filed May 9, 2018 18:35 UTC |
Pellette Thomas AGroup President
|
SaleCommon Stock | 53,245 | $150.16 | $7,995,269.20 |
DisclosureSEC source: 0000018230-18-000145 · wf-form4_152589089319397.xml · nonDerivative · entry 7 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,069 F2 · shares: The sale price reported in Column 4 is a weighted average sale price. The corresponding shares were sold in multiple transactions at prices ranging from $150.00 to $150.43, inclusive. The reporting person undertakes to provide Caterpillar Inc., and any security holder of Caterpillar Inc., or the staff of the Securities and Exchange Commission, upon request, information regarding the number of shares sold at each price within the range. Read SEC document |
| May 07, 2018 Filed May 9, 2018 18:35 UTC |
Pellette Thomas AGroup President
|
Exercise / conversionCommon Stock | 28,220 | $96.31 | $2,717,868.20 |
DisclosureSEC source: 0000018230-18-000145 · wf-form4_152589089319397.xml · nonDerivative · entry 6 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,314 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 07, 2018 Filed May 9, 2018 18:35 UTC |
Pellette Thomas AGroup President
|
Exercise / conversionCommon Stock | 20,569 | $89.75 | $1,846,067.75 |
DisclosureSEC source: 0000018230-18-000145 · wf-form4_152589089319397.xml · nonDerivative · entry 5 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,094 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 07, 2018 Filed May 9, 2018 18:35 UTC |
Pellette Thomas AGroup President
|
Exercise / conversionCommon Stock | 4,456 | $110.09 | $490,561.04 |
DisclosureSEC source: 0000018230-18-000145 · wf-form4_152589089319397.xml · nonDerivative · entry 4 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,525 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 07, 2018 Filed May 9, 2018 18:35 UTC |
Pellette Thomas AGroup President
|
SaleCommon Stock | 1,236 | $150.56 | $186,092.16 |
DisclosureSEC source: 0000018230-18-000145 · wf-form4_152589089319397.xml · nonDerivative · entry 3 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,069 Read SEC document |
| May 07, 2018 Filed May 9, 2018 18:35 UTC |
Pellette Thomas AGroup President
|
Disposition to issuerCommon Stock | 2,606 | $150.54 | $392,307.24 |
DisclosureSEC source: 0000018230-18-000145 · wf-form4_152589089319397.xml · nonDerivative · entry 2 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,305 Read SEC document |
| May 07, 2018 Filed May 9, 2018 18:35 UTC |
Pellette Thomas AGroup President
|
Exercise / conversionCommon Stock | 3,842 | $102.13 | $392,383.46 |
DisclosureSEC source: 0000018230-18-000145 · wf-form4_152589089319397.xml · nonDerivative · entry 1 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,911 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: This amount reflects 7,521 shares that were transferred to Pellette Family Trust. Read SEC document |
| May 01, 2018 Filed May 3, 2018 22:14 UTC |
Copeland Jananne A.Chief Accounting Officer
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Tax withholdingCommon Stock | 79 | $142.37 | $11,247.23 |
DisclosureSEC source: 0000018230-18-000140 · wf-form4_152538564666941.xml · nonDerivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,209 F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligations arising from the vesting of restricted stock units granted on 5/1/2014, of which one-third vested on 5/1/2018. Read SEC document |
| May 01, 2018 Filed May 3, 2018 22:14 UTC |
Johnson Denise CGroup President
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Tax withholdingCommon Stock | 126 | $142.37 | $17,938.62 |
DisclosureSEC source: 0000018230-18-000141 · wf-form4_152538566303136.xml · nonDerivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,882 F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligations arising from the vesting of restricted stock units granted on 5/1/2014, of which one-third vested on 5/1/2018. Read SEC document |
| April 26, 2018 Filed Apr 30, 2018 22:38 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 28 | $146.31 | $4,096.68 |
DisclosureSEC source: 0000018230-18-000133 · wf-form4_152512784322697.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,891 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 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 $146.31 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 29, 2018 Filed Apr 2, 2018 23:49 UTC |
Ayotte KellyDirector
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GrantPhantom Stock Units · Derivative | 127 | $147.17 | $18,690.59 |
DisclosureSEC source: 0000018230-18-000117 · wf-form4_152271296053828.xml · derivative · entry 1 Ayotte Kelly · CIK 0001702559 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 347 Underlying: Common Stock · 127 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, 2018 Filed Apr 2, 2018 23:49 UTC |
CALHOUN DAVID LDirector
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GrantPhantom Stock Units · Derivative | 255 | $147.17 | $37,528.35 |
DisclosureSEC source: 0000018230-18-000118 · wf-form4_152271297669269.xml · derivative · entry 1 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,444 Underlying: Common Stock · 255 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, 2018 Filed Apr 2, 2018 23:50 UTC |
GALLARDO JUANDirector
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GrantPhantom Stock Units · Derivative | 255 | $147.17 | $37,528.35 |
DisclosureSEC source: 0000018230-18-000119 · wf-form4_152271299319541.xml · derivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,140 Underlying: Common Stock · 255 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, 2018 Filed Apr 2, 2018 23:50 UTC |
REED DEBRA LDirector
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GrantPhantom Stock Units · Derivative | 255 | $147.17 | $37,528.35 |
DisclosureSEC source: 0000018230-18-000120 · wf-form4_152271300964855.xml · derivative · entry 1 REED DEBRA L · CIK 0001225947 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,901 Underlying: Common Stock · 255 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, 2018 Filed Apr 2, 2018 23:51 UTC |
SCHWAB SUSAN CDirector
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GrantPhantom Stock Units · Derivative | 255 | $147.17 | $37,528.35 |
DisclosureSEC source: 0000018230-18-000121 · wf-form4_152271302842329.xml · derivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,301 Underlying: Common Stock · 255 shares Expires not disclosed F1 · derivative.exercise_price: Each Phantom Stock unit is the economic equivalent to 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, 2018 Filed Apr 2, 2018 23:51 UTC |
WHITE MILES DDirector
|
GrantPhantom Stock Units · Derivative | 289 | $147.17 | $42,532.13 |
DisclosureSEC source: 0000018230-18-000122 · wf-form4_152271306501556.xml · derivative · entry 1 WHITE MILES D · CIK 0001239129 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,112 Underlying: Common Stock · 289 shares Expires not disclosed F1 · derivative.exercise_price: Each Phantom Stock unit is the economic equivalent to 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.