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 |
|---|---|---|---|---|---|---|
| December 29, 2017 Filed Jan 3, 2018 19:54 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 237 | $158.00 | $37,446.00 |
DisclosureSEC source: 0000018230-18-000017 · wf-form4_151500924832177.xml · derivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,730 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 |
DICKINSON DANIEL MDirector
|
GrantPhantom Stock Units · Derivative | 237 | $158.00 | $37,446.00 |
DisclosureSEC source: 0000018230-18-000018 · wf-form4_151500926789643.xml · derivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,424 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 26, 2017 Filed Dec 28, 2017 01:50 UTC |
Copeland Jananne A.Chief Accounting Officer
|
GrantPhantom Stock Units · Derivative | 18 | $156.44 | $2,815.92 |
DisclosureSEC source: 0000018230-17-000320 · wf-form4_151442582128436.xml · derivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,893 Underlying: Common Stock · 18 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 12 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $156.44 and 6 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 |
| December 26, 2017 Filed Dec 28, 2017 01:50 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 68 | $156.44 | $10,637.92 |
DisclosureSEC source: 0000018230-17-000321 · wf-form4_151442584040803.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,373 Underlying: Common Stock · 68 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 45 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $156.44 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 |
| November 27, 2017 Filed Nov 29, 2017 19:42 UTC |
Halverson Bradley MGroup President & CFO
|
SaleCommon Stock | 2,600 | $137.67 | $357,942.00 |
DisclosureSEC source: 0000018230-17-000315 · wf-form4_151198454381887.xml · nonDerivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,214 Read SEC document |
| November 24, 2017 Filed Nov 28, 2017 22:40 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 78 | $137.39 | $10,716.42 |
DisclosureSEC source: 0000018230-17-000312 · wf-form4_151190880207283.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,305 Underlying: Common Stock · 78 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 51 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $137.39 and 27 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units 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 |
| November 24, 2017 Filed Nov 28, 2017 22:40 UTC |
Copeland Jananne A.Chief Accounting Officer
|
GrantPhantom Stock Units · Derivative | 20 | $137.39 | $2,747.80 |
DisclosureSEC source: 0000018230-17-000313 · wf-form4_151190882218371.xml · derivative · entry 6 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,875 Underlying: Common Stock · 20 shares Expires not disclosed F3 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F4 · shares: This total includes 13 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $137.39 and 7 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F5 · derivative.exercise_date: The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirment or separation from service. F5 · 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 |
| November 24, 2017 Filed Nov 28, 2017 22:40 UTC |
Copeland Jananne A.Chief Accounting Officer
|
Exercise / conversionStock Appreciation Right · Derivative | 5,620 | $0.00 Strike: $57.85 | $0.00 |
DisclosureSEC source: 0000018230-17-000313 · wf-form4_151190882218371.xml · derivative · entry 5 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,620 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 |
| November 24, 2017 Filed Nov 28, 2017 22:40 UTC |
Copeland Jananne A.Chief Accounting Officer
|
SaleCommon Stock | 3,247 | $136.95 | $444,676.65 |
DisclosureSEC source: 0000018230-17-000313 · wf-form4_151190882218371.xml · nonDerivative · entry 3 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,288 F1 · price: The sale price reported in Column 4 is a weighted average sale price. The corresponding shares were sold in multiple transcations at prices ranging from $136.94 to $136.95, inclusive. The reporting person undertakes to provide Caterpillar Inc., and any security holder of Caterpiller Inc., or the staff of the Securites and Exchange Commission, upon request, full information. Read SEC document |
| November 24, 2017 Filed Nov 28, 2017 22:40 UTC |
Copeland Jananne A.Chief Accounting Officer
|
Disposition to issuerCommon Stock | 2,373 | $136.95 | $324,982.35 |
DisclosureSEC source: 0000018230-17-000313 · wf-form4_151190882218371.xml · nonDerivative · entry 2 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,535 Read SEC document |
| November 24, 2017 Filed Nov 28, 2017 22:40 UTC |
Copeland Jananne A.Chief Accounting Officer
|
Exercise / conversionCommon Stock | 5,620 | $57.85 | $325,117.00 |
DisclosureSEC source: 0000018230-17-000313 · wf-form4_151190882218371.xml · nonDerivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,908 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 21, 2017 Filed Nov 24, 2017 18:15 UTC |
Halverson Bradley MGroup President & CFO
|
Exercise / conversionEmployee Stock Option · Derivative | 21,416 | $0.00 Strike: $110.09 | $0.00 |
DisclosureSEC source: 0001104659-17-070314 · a4.xml · derivative · entry 9 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Halverson Children's Trust Disclosed balance after: 0 Underlying: Common Stock · 21,416 shares Expires 2022-03-05 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 21, 2017 Filed Nov 24, 2017 18:15 UTC |
Halverson Bradley MGroup President & CFO
|
Exercise / conversionStock Appreciation Right · Derivative | 22,696 | $0.00 Strike: $102.13 | $0.00 |
DisclosureSEC source: 0001104659-17-070314 · a4.xml · derivative · entry 8 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Halverson Children's Trust Disclosed balance after: 0 Underlying: Common Stock · 22,696 shares Expires 2021-03-07 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 21, 2017 Filed Nov 24, 2017 18:15 UTC |
Halverson Bradley MGroup President & CFO
|
SaleCommon Stock | 17,210 | $137.33 | $2,363,449.30 |
DisclosureSEC source: 0001104659-17-070314 · a4.xml · nonDerivative · entry 4 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Halverson Children's Trust Disclosed balance after: 10,055 F1 · price: The sale price in Column 4 is a weighted average sale price. The corresponding share were sold in multiple transactions at prices ranging from $137.18 to $137.63, inclusive. The reporting person undertakes to provide Caterpillar Inc., any security holder of Caterpillar Inc., or the staff of the Securities and Exchange Commission, upon request, full information. Read SEC document |
| November 21, 2017 Filed Nov 24, 2017 18:15 UTC |
Halverson Bradley MGroup President & CFO
|
Exercise / conversionCommon Stock | 21,416 | $110.09 | $2,357,687.44 |
DisclosureSEC source: 0001104659-17-070314 · a4.xml · nonDerivative · entry 3 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Halverson Children's Trust Disclosed balance after: 27,265 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 21, 2017 Filed Nov 24, 2017 18:15 UTC |
Halverson Bradley MGroup President & CFO
|
Disposition to issuerCommon Stock | 16,847 | $137.59 | $2,317,978.73 |
DisclosureSEC source: 0001104659-17-070314 · a4.xml · nonDerivative · entry 2 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Halverson Children's Trust Disclosed balance after: 5,849 Read SEC document |
| November 21, 2017 Filed Nov 24, 2017 18:15 UTC |
Halverson Bradley MGroup President & CFO
|
Exercise / conversionCommon Stock | 22,696 | $102.13 | $2,317,942.48 |
DisclosureSEC source: 0001104659-17-070314 · a4.xml · nonDerivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Halverson Children's Trust Disclosed balance after: 22,696 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 17, 2017 Filed Nov 21, 2017 16:22 UTC |
Pellette Thomas AGroup President
|
Exercise / conversionEmployee Stock Options · Derivative | 32,086 | $0.00 Strike: $74.77 | $0.00 |
DisclosureSEC source: 0000018230-17-000309 · edgar.xml · derivative · entry 5 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,171 Underlying: Common Stock · 32,086 shares Expires 2026-03-07 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · 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 |
| November 17, 2017 Filed Nov 21, 2017 16:22 UTC |
Pellette Thomas AGroup President
|
SaleCommon Stock | 24,547 | $135.69 | $3,330,782.43 |
DisclosureSEC source: 0000018230-17-000309 · edgar.xml · nonDerivative · entry 2 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,608 F2 · price: The sale price reported in Column 4 is a weighted average sale price. The corresponding shares were sold in multiple transcations at prices ranging from $135.65 to $135.82, inclusive. The reporting person undertakes to provide Caterpillar Inc., and any security holder of Caterpiller Inc., or the staff of the Securites and Exchange Commission, upon request, full information. Read SEC document |
| November 17, 2017 Filed Nov 21, 2017 16:22 UTC |
Pellette Thomas AGroup President
|
Exercise / conversionCommon Stock | 32,086 | $74.77 | $2,399,070.22 |
DisclosureSEC source: 0000018230-17-000309 · edgar.xml · nonDerivative · entry 1 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,155 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: Excludes 1,525 shares previously owned which were contributed to the Pellette Family Trust. Read SEC document |
| October 30, 2017 Filed Nov 1, 2017 16:19 UTC |
DICKINSON DANIEL MDirector
|
SaleCommon Stock | 3,813 | $137.09 | $522,724.17 |
DisclosureSEC source: 0001104659-17-065130 · a4.xml · nonDerivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,554 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 $137.01 to $137.25, inclusive. The reporting person undertakes to provide Caterpillar Inc., any security holder of Caterpillar Inc., or the staff of the Securities and Exchange Commission, upon request, full information. Read SEC document |
| October 26, 2017 Filed Oct 30, 2017 21:09 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 79 | $136.94 | $10,818.26 |
DisclosureSEC source: 0000018230-17-000301 · edgar.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,227 Underlying: Common Stock · 79 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 $136.94 and 27 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units 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 |
| October 26, 2017 Filed Oct 30, 2017 21:14 UTC |
Copeland Jananne A.Chief Accounting Officer
|
GrantPhantom Stock Units · Derivative | 20 | $136.94 | $2,738.80 |
DisclosureSEC source: 0001104659-17-064692 · a4.xml · derivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,855 Underlying: Common Stock · 20 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 13 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $136.94 and 7 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 |
| October 26, 2017 Filed Oct 30, 2017 21:15 UTC |
De Lange BobGroup President
|
Exercise / conversionStock Appreciation Rights · Derivative | 1,389 | $0.00 Strike: $22.17 | $0.00 |
DisclosureSEC source: 0001104659-17-064693 · a4.xml · derivative · entry 8 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,389 shares Expires 2019-03-02 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. Read SEC document |
| October 26, 2017 Filed Oct 30, 2017 21:15 UTC |
De Lange BobGroup President
|
Exercise / conversionStock Appreciation Right · Derivative | 866 | $0.00 Strike: $73.20 | $0.00 |
DisclosureSEC source: 0001104659-17-064693 · a4.xml · derivative · entry 7 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 866 shares Expires 2018-03-03 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 |
| October 26, 2017 Filed Oct 30, 2017 21:15 UTC |
De Lange BobGroup President
|
SaleCommon Stock | 1,166 | $137.58 | $160,418.28 |
DisclosureSEC source: 0001104659-17-064693 · a4.xml · nonDerivative · entry 6 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,230 Read SEC document |
| October 26, 2017 Filed Oct 30, 2017 21:15 UTC |
De Lange BobGroup President
|
Disposition to issuerCommon Stock | 223 | $137.60 | $30,684.80 |
DisclosureSEC source: 0001104659-17-064693 · a4.xml · nonDerivative · entry 5 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,396 Read SEC document |
| October 26, 2017 Filed Oct 30, 2017 21:15 UTC |
De Lange BobGroup President
|
Exercise / conversionCommon Stock | 1,389 | $22.17 | $30,794.13 |
DisclosureSEC source: 0001104659-17-064693 · a4.xml · nonDerivative · entry 4 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,619 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| October 26, 2017 Filed Oct 30, 2017 21:15 UTC |
De Lange BobGroup President
|
SaleCommon Stock | 406 | $137.58 | $55,857.48 |
DisclosureSEC source: 0001104659-17-064693 · a4.xml · nonDerivative · entry 3 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,230 Read SEC document |
| October 26, 2017 Filed Oct 30, 2017 21:15 UTC |
De Lange BobGroup President
|
Disposition to issuerCommon Stock | 460 | $137.60 | $63,296.00 |
DisclosureSEC source: 0001104659-17-064693 · a4.xml · nonDerivative · entry 2 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,636 Read SEC document |
| October 26, 2017 Filed Oct 30, 2017 21:15 UTC |
De Lange BobGroup President
|
Exercise / conversionCommon Stock | 866 | $73.20 | $63,391.20 |
DisclosureSEC source: 0001104659-17-064693 · a4.xml · nonDerivative · entry 1 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,096 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 |
| September 29, 2017 Filed Oct 2, 2017 20:52 UTC |
Ayotte KellyDirector
|
GrantPhantom Stock Units · Derivative | 100 | $125.03 | $12,503.00 |
DisclosureSEC source: 0000018230-17-000276 · edgar.xml · derivative · entry 1 Ayotte Kelly · CIK 0001702559 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100 Underlying: Common Stock · 100 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. Read SEC document |
| September 29, 2017 Filed Oct 2, 2017 21:00 UTC |
CALHOUN DAVID LDirector
|
GrantPhantom Stock Units · Derivative | 300 | $125.03 | $37,509.00 |
DisclosureSEC source: 0000018230-17-000278 · edgar.xml · derivative · entry 1 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,824 Underlying: Common Stock · 300 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 |
| September 29, 2017 Filed Oct 2, 2017 21:04 UTC |
DICKINSON DANIEL MDirector
|
GrantPhantom Stock Units · Derivative | 300 | $125.03 | $37,509.00 |
DisclosureSEC source: 0000018230-17-000280 · edgar.xml · derivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,039 Underlying: Common Stock · 300 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 |
| September 29, 2017 Filed Oct 2, 2017 21:08 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 300 | $125.03 | $37,509.00 |
DisclosureSEC source: 0000018230-17-000282 · edgar.xml · derivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,338 Underlying: Common Stock · 300 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 |
| September 29, 2017 Filed Oct 2, 2017 21:11 UTC |
REED DEBRA LDirector
|
GrantPhantom Stock Units · Derivative | 300 | $125.03 | $37,509.00 |
DisclosureSEC source: 0000018230-17-000284 · edgar.xml · derivative · entry 1 REED DEBRA L · CIK 0001225947 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,362 Underlying: Common Stock · 300 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 |
| September 29, 2017 Filed Oct 2, 2017 21:14 UTC |
RUST EDWARD B JRDirector
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GrantPhantom Stock Units · Derivative | 330 | $125.03 | $41,259.90 |
DisclosureSEC source: 0000018230-17-000286 · edgar.xml · derivative · entry 1 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,333 Underlying: Common Stock · 330 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 |
| September 29, 2017 Filed Oct 2, 2017 21:17 UTC |
SCHWAB SUSAN CDirector
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GrantPhantom Stock Units · Derivative | 300 | $125.03 | $37,509.00 |
DisclosureSEC source: 0000018230-17-000288 · edgar.xml · derivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,694 Underlying: Common Stock · 300 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 |
| September 29, 2017 Filed Oct 2, 2017 21:20 UTC |
WHITE MILES DDirector
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GrantPhantom Stock Units · Derivative | 340 | $125.03 | $42,510.20 |
DisclosureSEC source: 0000018230-17-000290 · edgar.xml · derivative · entry 1 WHITE MILES D · CIK 0001239129 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,473 Underlying: Common Stock · 340 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 |
| September 29, 2017 Filed Oct 3, 2017 18:14 UTC |
Johnson Denise CGroup President
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GrantPhantom Stock Units · Derivative | 87 | $124.71 | $10,849.77 |
DisclosureSEC source: 0001104659-17-060504 · a4.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,148 Underlying: Common Stock · 87 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 57 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $124.71 and 30 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's 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 |
| August 31, 2017 Filed Sep 5, 2017 20:52 UTC |
Johnson Denise CGroup President
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GrantPhantom Stock Units · Derivative | 91 | $117.49 | $10,691.59 |
DisclosureSEC source: 0000018230-17-000269 · edgar.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,061 Underlying: Common Stock · 91 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 60 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $117.49 and 31 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's 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 |
| August 14, 2017 Filed Aug 15, 2017 17:12 UTC |
Long Suzette MGeneral Counsel/Corporate Sec.
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GrantCommon Stock | 2,638 | $113.71 | $299,966.98 |
DisclosureSEC source: 0000018230-17-000261 · edgar.xml · nonDerivative · entry 1 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,174 Read SEC document |
| August 14, 2017 Filed Aug 15, 2017 17:13 UTC |
Ayotte KellyDirector
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GrantCommon Stock | 458 | $113.71 | $52,079.18 |
DisclosureSEC source: 0000018230-17-000262 · edgar.xml · nonDerivative · entry 1 Ayotte Kelly · CIK 0001702559 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 458 Read SEC document |
| August 04, 2017 Filed Aug 7, 2017 22:18 UTC |
Long Suzette MInt. Executive Vice President · Corporate Secretary
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Exercise / conversionEmployee Stock Option · Derivative | 2,961 | $0.00 Strike: $74.77 | $0.00 |
DisclosureSEC source: 0000018230-17-000251 · edgar.xml · derivative · entry 16 Long Suzette M · CIK 0001698572 · Int. Executive Vice President · Corporate Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,922 Underlying: Common Stock · 2,961 shares Expires 2026-03-07 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: The stock options vest equally in 1/3 increments beginning on the first anniversary of the grant date. Read SEC document |
| August 04, 2017 Filed Aug 7, 2017 22:18 UTC |
Long Suzette MInt. Executive Vice President · Corporate Secretary
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Exercise / conversionEmployee Stock Option · Derivative | 4,438 | $0.00 Strike: $83.00 | $0.00 |
DisclosureSEC source: 0000018230-17-000251 · edgar.xml · derivative · entry 15 Long Suzette M · CIK 0001698572 · Int. Executive Vice President · Corporate Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,219 Underlying: Common Stock · 4,438 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. F3 · derivative.exercise_date: The stock options vest equally in 1/3 increments beginning on the first anniversary of the grant date. Read SEC document |
| August 04, 2017 Filed Aug 7, 2017 22:18 UTC |
Long Suzette MInt. Executive Vice President · Corporate Secretary
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Exercise / conversionEmployee Stock Option · Derivative | 1,756 | $0.00 Strike: $96.31 | $0.00 |
DisclosureSEC source: 0000018230-17-000251 · edgar.xml · derivative · entry 14 Long Suzette M · CIK 0001698572 · Int. Executive Vice President · Corporate Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,756 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 |
| August 04, 2017 Filed Aug 7, 2017 22:18 UTC |
Long Suzette MInt. Executive Vice President · Corporate Secretary
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Exercise / conversionEmployee Stock Option · Derivative | 4,052 | $0.00 Strike: $89.75 | $0.00 |
DisclosureSEC source: 0000018230-17-000251 · edgar.xml · derivative · entry 13 Long Suzette M · CIK 0001698572 · Int. Executive Vice President · Corporate Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,052 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 |
| August 04, 2017 Filed Aug 7, 2017 22:18 UTC |
Long Suzette MInt. Executive Vice President · Corporate Secretary
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Exercise / conversionEmployee Stock Option · Derivative | 3,025 | $0.00 Strike: $110.09 | $0.00 |
DisclosureSEC source: 0000018230-17-000251 · edgar.xml · derivative · entry 12 Long Suzette M · CIK 0001698572 · Int. Executive Vice President · Corporate Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,025 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 |
| August 04, 2017 Filed Aug 7, 2017 22:18 UTC |
Long Suzette MInt. Executive Vice President · Corporate Secretary
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SaleCommon Stock | 2,289 | $114.30 | $261,632.70 |
DisclosureSEC source: 0000018230-17-000251 · edgar.xml · nonDerivative · entry 10 Long Suzette M · CIK 0001698572 · Int. Executive Vice President · Corporate Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,536 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 $114.09 to $114.58, inclusive. The reporting person undertakes to provide Caterpillar Inc., any security holder of Caterpillar Inc., or the staff of the Securities and Exchange Commission, upon request, full information. Read SEC document |
| August 04, 2017 Filed Aug 7, 2017 22:18 UTC |
Long Suzette MInt. Executive Vice President · Corporate Secretary
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Exercise / conversionCommon Stock | 2,961 | $74.77 | $221,393.97 |
DisclosureSEC source: 0000018230-17-000251 · edgar.xml · nonDerivative · entry 9 Long Suzette M · CIK 0001698572 · Int. Executive Vice President · Corporate Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,825 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.