Last 12 months
Inside the activity.
2 purchase rows · 91 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 1 | 16 |
| Dec 2025 | 0 | 14 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 21 |
| Mar 2026 | 0 | 5 |
| Apr 2026 | 0 | 0 |
| May 2026 | 1 | 21 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 14 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| March 26, 2018 Filed Mar 27, 2018 19:33 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 26 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-18-000110 · wf-form4_152217920605287.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,863 Underlying: Common Stock · 26 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 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 $149.19 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 12, 2018 Filed Mar 13, 2018 21:33 UTC |
Copeland Jananne A.Chief Accounting Officer
|
GrantPhantom Stock Units · Derivative | 268 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-18-000106 · wf-form4_152097680361388.xml · derivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,214 Underlying: Common Stock · 268 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 179 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $154.50 and 89 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 retirment 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 retirment or separation from service. Read SEC document |
| March 12, 2018 Filed Mar 13, 2018 21:34 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 2,293 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-18-000107 · wf-form4_152097682303188.xml · derivative · entry 2 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,837 Underlying: Common Stock · 2,293 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F3 · shares: This total includes 1911 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $154.50 and 382 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F2 · 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. F2 · 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 12, 2018 Filed Mar 13, 2018 21:34 UTC |
Pellette Thomas AGroup President
|
GrantPhantom Stock Units · Derivative | 380 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-18-000108 · wf-form4_152097685128152.xml · derivative · entry 1 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 897 Underlying: Common Stock · 380 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 253 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $154.50 and 127 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 retirment 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 retirment or separation from service. Read SEC document |
| March 09, 2018 Filed Mar 13, 2018 21:34 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 125 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-18-000107 · wf-form4_152097682303188.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,544 Underlying: Common Stock · 125 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 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 Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| March 06, 2018 Filed Mar 8, 2018 00:03 UTC |
GALLARDO JUANDirector
|
Tax withholdingCommon Stock | 393 | $153.33 | $60,258.69 |
DisclosureSEC source: 0000018230-18-000087 · wf-form4_152046737314141.xml · nonDerivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 273,650 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 06, 2018 Filed Mar 8, 2018 00:04 UTC |
Long Suzette MGeneral Counsel/Corporate Sec.
|
Tax withholdingCommon Stock | 2,153 | $153.33 | $330,119.49 |
DisclosureSEC source: 0000018230-18-000090 · wf-form4_152046743696786.xml · nonDerivative · entry 1 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,493 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 and August 14, 2017. Read SEC document |
| March 06, 2018 Filed Mar 8, 2018 00:07 UTC |
WHITE MILES DDirector
|
Tax withholdingCommon Stock | 549 | $153.33 | $84,178.17 |
DisclosureSEC source: 0000018230-18-000098 · wf-form4_152046760699875.xml · nonDerivative · entry 2 WHITE MILES D · CIK 0001239129 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,757 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, 2018 Filed Mar 7, 2018 23:56 UTC |
Ayotte KellyDirector
|
GrantCommon Stock | 993 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-18-000081 · wf-form4_152046696036813.xml · nonDerivative · entry 1 Ayotte Kelly · CIK 0001702559 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,451 Read SEC document |
| March 05, 2018 Filed Mar 7, 2018 23:56 UTC |
CALHOUN DAVID LDirector
|
GrantCommon Stock | 2,647 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-18-000082 · wf-form4_152046697850960.xml · nonDerivative · entry 1 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,579 F1 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| March 05, 2018 Filed Mar 7, 2018 23:57 UTC |
Charter Robert BGroup President
|
GrantEmployee Stock Option · Derivative | 43,625 | $0.00 Strike: $151.12 | $0.00 |
DisclosureSEC source: 0000018230-18-000083 · wf-form4_152046701132734.xml · derivative · entry 1 Charter Robert B · CIK 0001628074 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,625 Underlying: Common Stock · 43,625 shares Expires 2028-03-05 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 05, 2018 Filed Mar 7, 2018 23:57 UTC |
Copeland Jananne A.Chief Accounting Officer
|
GrantEmployee Stock Option · Derivative | 3,518 | $0.00 Strike: $151.12 | $0.00 |
DisclosureSEC source: 0000018230-18-000084 · wf-form4_152046702838588.xml · derivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,518 Underlying: Common Stock · 3,518 shares Expires 2028-03-05 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 05, 2018 Filed Mar 7, 2018 23:57 UTC |
De Lange BobGroup President
|
GrantEmployee Stock Option · Derivative | 60,512 | $0.00 Strike: $151.12 | $0.00 |
DisclosureSEC source: 0000018230-18-000085 · wf-form4_152046704538576.xml · derivative · entry 1 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,512 Underlying: Common Stock · 60,512 shares Expires 2028-03-05 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 05, 2018 Filed Mar 7, 2018 23:58 UTC |
DICKINSON DANIEL MDirector
|
GrantCommon Stock | 993 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-18-000086 · wf-form4_152046707107004.xml · nonDerivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,547 Read SEC document |
| March 05, 2018 Filed Mar 8, 2018 00:03 UTC |
GALLARDO JUANDirector
|
GrantCommon Stock | 993 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-18-000087 · wf-form4_152046737314141.xml · nonDerivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 274,043 Read SEC document |
| March 05, 2018 Filed Mar 8, 2018 00:03 UTC |
Johnson Cheryl HChief Human Resources Officer
|
GrantEmployee Stock Option · Derivative | 36,589 | $0.00 Strike: $151.12 | $0.00 |
DisclosureSEC source: 0000018230-18-000088 · wf-form4_152046739149523.xml · derivative · entry 1 Johnson Cheryl H · CIK 0001552649 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,589 Underlying: Common Stock · 36,589 shares Expires 2028-03-05 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 05, 2018 Filed Mar 8, 2018 00:03 UTC |
Johnson Denise CGroup President
|
GrantEmployee Stock Option · Derivative | 56,290 | $0.00 Strike: $151.12 | $0.00 |
DisclosureSEC source: 0000018230-18-000089 · wf-form4_152046741002391.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,290 Underlying: Common Stock · 56,290 shares Expires 2028-03-05 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 05, 2018 Filed Mar 8, 2018 00:04 UTC |
Long Suzette MGeneral Counsel/Corporate Sec.
|
GrantEmployee Stock Option · Derivative | 46,440 | $0.00 Strike: $151.12 | $0.00 |
DisclosureSEC source: 0000018230-18-000090 · wf-form4_152046743696786.xml · derivative · entry 3 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,440 Underlying: Common Stock · 46,440 shares Expires 2028-03-05 F3 · 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 05, 2018 Filed Mar 8, 2018 00:04 UTC |
Muilenburg Dennis ADirector
|
GrantCommon Stock | 993 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-18-000091 · wf-form4_152046746182966.xml · nonDerivative · entry 1 Muilenburg Dennis A · CIK 0001471763 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,858 Read SEC document |
| March 05, 2018 Filed Mar 8, 2018 00:05 UTC |
OSBORN WILLIAM ADirector
|
GrantCommon Stock | 993 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-18-000092 · wf-form4_152046747937507.xml · nonDerivative · entry 1 OSBORN WILLIAM A · CIK 0001171797 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,638 Read SEC document |
| March 05, 2018 Filed Mar 8, 2018 00:05 UTC |
Pellette Thomas AGroup President
|
GrantEmployee Stock Option · Derivative | 56,290 | $0.00 Strike: $151.12 | $0.00 |
DisclosureSEC source: 0000018230-18-000093 · wf-form4_152046750725361.xml · derivative · entry 1 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,290 Underlying: Common Stock · 56,290 shares Expires 2028-03-05 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 05, 2018 Filed Mar 8, 2018 00:05 UTC |
REED DEBRA LDirector
|
GrantCommon Stock | 993 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-18-000094 · wf-form4_152046752486600.xml · nonDerivative · entry 1 REED DEBRA L · CIK 0001225947 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,047 Read SEC document |
| March 05, 2018 Filed Mar 8, 2018 00:05 UTC |
RUST EDWARD B JRDirector
|
GrantCommon Stock | 993 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-18-000095 · wf-form4_152046754233720.xml · nonDerivative · entry 1 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,032 Read SEC document |
| March 05, 2018 Filed Mar 8, 2018 00:06 UTC |
SCHWAB SUSAN CDirector
|
GrantCommon Stock | 993 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-18-000096 · wf-form4_152046756095408.xml · nonDerivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,182 Read SEC document |
| March 05, 2018 Filed Mar 8, 2018 00:06 UTC |
Umpleby III Donald JDirector · Chief Executive Officer
|
GrantEmployee Stock Option · Derivative | 182,944 | $0.00 Strike: $151.12 | $0.00 |
DisclosureSEC source: 0000018230-18-000097 · wf-form4_152046758906762.xml · derivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 182,944 Underlying: Common Stock · 182,944 shares Expires 2028-03-05 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 05, 2018 Filed Mar 8, 2018 00:07 UTC |
WILKINS RAYFORD JRDirector
|
GrantCommon Stock | 993 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-18-000099 · wf-form4_152046762718264.xml · nonDerivative · entry 1 WILKINS RAYFORD JR · CIK 0001184395 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,936 Read SEC document |
| March 05, 2018 Filed Mar 8, 2018 00:07 UTC |
WHITE MILES DDirector
|
GrantCommon Stock | 993 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-18-000098 · wf-form4_152046760699875.xml · nonDerivative · entry 1 WHITE MILES D · CIK 0001239129 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,306 Read SEC document |
| February 26, 2018 Filed Feb 28, 2018 00:21 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 23 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-18-000056 · wf-form4_151977724883764.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,419 Underlying: Common Stock · 23 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 22 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $163.69 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 |
| February 23, 2018 Filed Feb 28, 2018 00:20 UTC |
Copeland Jananne A.Chief Accounting Officer
|
GrantPhantom Stock Units · Derivative | 53 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-18-000055 · wf-form4_151977723206340.xml · derivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,946 Underlying: Common Stock · 53 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 Caterpillar Inc.'s Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirment or separation from service. F2 · derivative.expiration_date: The phantom stock units were acquired under Caterpillar Inc.'s Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirment or separation from service. Read SEC document |
| February 13, 2018 Filed Feb 15, 2018 23:40 UTC |
Charter Robert BGroup President
|
Tax withholdingCommon Stock | 5,022 | $153.10 | $768,868.20 |
DisclosureSEC source: 0000018230-18-000047 · wf-form4_151873802515536.xml · nonDerivative · entry 2 Charter Robert B · CIK 0001628074 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,900 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 February 27, 2015. Read SEC document |
| February 13, 2018 Filed Feb 15, 2018 23:40 UTC |
Charter Robert BGroup President
|
GrantCommon Stock | 13,505 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-18-000047 · wf-form4_151873802515536.xml · nonDerivative · entry 1 Charter Robert B · CIK 0001628074 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,922 Read SEC document |
| February 13, 2018 Filed Feb 15, 2018 23:41 UTC |
Halverson Bradley MGroup President & CFO
|
Tax withholdingCommon Stock | 5,489 | $153.10 | $840,365.90 |
DisclosureSEC source: 0000018230-18-000048 · wf-form4_151873809930634.xml · nonDerivative · entry 2 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,285 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 February 27, 2015. Read SEC document |
| February 13, 2018 Filed Feb 15, 2018 23:41 UTC |
Halverson Bradley MGroup President & CFO
|
GrantCommon Stock | 14,560 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-18-000048 · wf-form4_151873809930634.xml · nonDerivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,774 Read SEC document |
| February 13, 2018 Filed Feb 15, 2018 23:42 UTC |
Pellette Thomas AGroup President
|
Tax withholdingCommon Stock | 5,984 | $153.10 | $916,150.40 |
DisclosureSEC source: 0000018230-18-000049 · wf-form4_151873815140476.xml · nonDerivative · entry 2 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,590 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 February 27, 2015. Read SEC document |
| February 13, 2018 Filed Feb 15, 2018 23:42 UTC |
Pellette Thomas AGroup President
|
GrantCommon Stock | 13,505 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-18-000049 · wf-form4_151873815140476.xml · nonDerivative · entry 1 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,574 Read SEC document |
| February 13, 2018 Filed Feb 15, 2018 23:43 UTC |
Umpleby III Donald JDirector · Chief Executive Officer
|
Tax withholdingCommon Stock | 6,260 | $153.10 | $958,406.00 |
DisclosureSEC source: 0000018230-18-000050 · wf-form4_151873820217672.xml · nonDerivative · entry 2 Umpleby III Donald J · CIK 0001566320 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,409 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 February 27, 2015. Read SEC document |
| February 13, 2018 Filed Feb 15, 2018 23:43 UTC |
Umpleby III Donald JDirector · Chief Executive Officer
|
GrantCommon Stock | 16,325 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-18-000050 · wf-form4_151873820217672.xml · nonDerivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,669 Read SEC document |
| January 31, 2018 Filed Feb 3, 2018 01:56 UTC |
Pellette Thomas AGroup President
|
Exercise / conversionEmployee Stock Option · Derivative | 95,199 | $83.00 Strike: $83.00 | $7,901,517.00 |
DisclosureSEC source: 0000018230-18-000035 · wf-form4_151762298977312.xml · derivative · entry 7 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,599 Underlying: Common Stock · 95,199 shares Expires 2025-03-02 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · 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 |
| January 31, 2018 Filed Feb 3, 2018 01:56 UTC |
Pellette Thomas AGroup President
|
SaleCommon Stock | 6,376 | $162.70 | $1,037,375.20 |
DisclosureSEC source: 0000018230-18-000035 · wf-form4_151762298977312.xml · nonDerivative · entry 4 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,069 F3 · price: 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 $162..69 to $162.60, 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. F4 · balance_after: Excludes 7,539 shares previously owned which were contributed to the Pellette Family Trust. Read SEC document |
| January 31, 2018 Filed Feb 3, 2018 01:56 UTC |
Pellette Thomas AGroup President
|
SaleCommon Stock | 69,024 | $162.84 | $11,239,868.16 |
DisclosureSEC source: 0000018230-18-000035 · wf-form4_151762298977312.xml · nonDerivative · entry 3 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,445 F2 · price: 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 $163..695 to $163.70, 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 |
| January 31, 2018 Filed Feb 3, 2018 01:56 UTC |
Pellette Thomas AGroup President
|
SaleCommon Stock | 19,799 | $164.11 | $3,249,213.89 |
DisclosureSEC source: 0000018230-18-000035 · wf-form4_151762298977312.xml · nonDerivative · entry 2 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,469 F1 · price: 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 $164.70 to $163.70, 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 |
| January 31, 2018 Filed Feb 3, 2018 01:56 UTC |
Pellette Thomas AGroup President
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Exercise / conversionCommon Stock | 95,199 | $83.00 | $7,901,517.00 |
DisclosureSEC source: 0000018230-18-000035 · wf-form4_151762298977312.xml · nonDerivative · entry 1 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 96,268 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 |
| January 30, 2018 Filed Jan 31, 2018 20:17 UTC |
Long Suzette MGeneral Counsel/Corporate Sec.
|
SaleCommon Stock | 528 | $160.46 | $84,722.88 |
DisclosureSEC source: 0000018230-18-000033 · wf-form4_151742984091478.xml · nonDerivative · entry 1 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,646 Read SEC document |
| January 26, 2018 Filed Jan 29, 2018 22:33 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 23 | $167.06 | $3,842.38 |
DisclosureSEC source: 0000018230-18-000030 · wf-form4_151726520966585.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,396 Underlying: Common Stock · 23 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 22 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $167.06 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 |
| December 29, 2017 Filed Jan 3, 2018 19:14 UTC |
Ayotte KellyDirector
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GrantPhantom Stock Units · Derivative | 118 | $158.00 | $18,644.00 |
DisclosureSEC source: 0000018230-18-000004 · wf-form4_151500684504200.xml · derivative · entry 1 Ayotte Kelly · CIK 0001702559 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 219 Underlying: Common Stock · 118 shares Expires not disclosed F1 · derivative.exercise_price: Each Phantom Stock unit is 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 |
| December 29, 2017 Filed Jan 3, 2018 19:52 UTC |
CALHOUN DAVID LDirector
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GrantPhantom Stock Units · Derivative | 237 | $158.00 | $37,446.00 |
DisclosureSEC source: 0000018230-18-000012 · wf-form4_151500914945490.xml · derivative · entry 1 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,128 Underlying: Common Stock · 237 shares Expires not disclosed F1 · derivative.exercise_price: Each Phantom Stock unit is 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 |
| December 29, 2017 Filed Jan 3, 2018 19:53 UTC |
RUST EDWARD B JRDirector
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GrantPhantom Stock Units · Derivative | 261 | $158.00 | $41,238.00 |
DisclosureSEC source: 0000018230-18-000013 · wf-form4_151500916875573.xml · derivative · entry 1 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,789 Underlying: Common Stock · 261 shares Expires not disclosed F1 · derivative.exercise_price: Each Phantom Stock unit is 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 |
| December 29, 2017 Filed Jan 3, 2018 19:53 UTC |
WHITE MILES DDirector
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GrantPhantom Stock Units · Derivative | 269 | $158.00 | $42,502.00 |
DisclosureSEC source: 0000018230-18-000014 · wf-form4_151500918844270.xml · derivative · entry 1 WHITE MILES D · CIK 0001239129 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,784 Underlying: Common Stock · 269 shares Expires not disclosed F1 · derivative.exercise_price: Each Phantom Stock unit is 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 |
| December 29, 2017 Filed Jan 3, 2018 19:53 UTC |
SCHWAB SUSAN CDirector
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GrantPhantom Stock Units · Derivative | 237 | $158.00 | $37,446.00 |
DisclosureSEC source: 0000018230-18-000015 · wf-form4_151500920817427.xml · derivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,991 Underlying: Common Stock · 237 shares Expires not disclosed F1 · derivative.exercise_price: Each Phantom Stock unit is 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 |
| December 29, 2017 Filed Jan 3, 2018 19:54 UTC |
REED DEBRA LDirector
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GrantPhantom Stock Units · Derivative | 237 | $158.00 | $37,446.00 |
DisclosureSEC source: 0000018230-18-000016 · wf-form4_151500922813588.xml · derivative · entry 1 REED DEBRA L · CIK 0001225947 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,623 Underlying: Common Stock · 237 shares Expires not disclosed F1 · derivative.exercise_price: Each Phantom Stock unit is 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.