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 |
|---|---|---|---|---|---|---|
| August 04, 2017 Filed Aug 7, 2017 22:18 UTC |
Long Suzette MInt. Executive Vice President · Corporate Secretary
|
SaleCommon Stock | 3,650 | $114.30 | $417,195.00 |
DisclosureSEC source: 0000018230-17-000251 · edgar.xml · nonDerivative · entry 8 Long Suzette M · CIK 0001698572 · Int. Executive Vice President · Corporate Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,864 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
|
Exercise / conversionCommon Stock | 4,438 | $83.00 | $368,354.00 |
DisclosureSEC source: 0000018230-17-000251 · edgar.xml · nonDerivative · entry 7 Long Suzette M · CIK 0001698572 · Int. Executive Vice President · Corporate Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,514 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
|
SaleCommon Stock | 1,585 | $114.30 | $181,165.50 |
DisclosureSEC source: 0000018230-17-000251 · edgar.xml · nonDerivative · entry 6 Long Suzette M · CIK 0001698572 · Int. Executive Vice President · Corporate Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,076 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
|
Exercise / conversionCommon Stock | 1,756 | $96.31 | $169,120.36 |
DisclosureSEC source: 0000018230-17-000251 · edgar.xml · nonDerivative · entry 5 Long Suzette M · CIK 0001698572 · Int. Executive Vice President · Corporate Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,661 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
|
SaleCommon Stock | 3,497 | $114.30 | $399,707.10 |
DisclosureSEC source: 0000018230-17-000251 · edgar.xml · nonDerivative · entry 4 Long Suzette M · CIK 0001698572 · Int. Executive Vice President · Corporate Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,905 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
|
Exercise / conversionCommon Stock | 4,052 | $89.75 | $363,667.00 |
DisclosureSEC source: 0000018230-17-000251 · edgar.xml · nonDerivative · entry 3 Long Suzette M · CIK 0001698572 · Int. Executive Vice President · Corporate Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,402 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
|
SaleCommon Stock | 2,838 | $114.30 | $324,383.40 |
DisclosureSEC source: 0000018230-17-000251 · edgar.xml · nonDerivative · entry 2 Long Suzette M · CIK 0001698572 · Int. Executive Vice President · Corporate Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,350 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
|
Exercise / conversionCommon Stock | 3,025 | $110.09 | $333,022.25 |
DisclosureSEC source: 0000018230-17-000251 · edgar.xml · nonDerivative · entry 1 Long Suzette M · CIK 0001698572 · Int. Executive Vice President · Corporate Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,188 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| July 31, 2017 Filed Aug 2, 2017 19:18 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 94 | $113.95 | $10,711.30 |
DisclosureSEC source: 0000018230-17-000248 · edgar.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,970 Underlying: Common Stock · 94 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 62 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $113.95 and 32 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's 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 |
| July 28, 2017 Filed Aug 1, 2017 20:10 UTC |
OSBORN WILLIAM ADirector
|
SaleCommon Stock | 5,000 | $113.67 | $568,350.00 |
DisclosureSEC source: 0000018230-17-000243 · edgar.xml · nonDerivative · entry 1 OSBORN WILLIAM A · CIK 0001171797 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,645 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 $113.66 to $113.69, 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. F2 · balance_after: Reflects adjustments for clerical error to total shares of Common Stock of the Issuer previously reported as beneficially owned by Mr. Osborn. Read SEC document |
| July 27, 2017 Filed Aug 1, 2017 00:02 UTC |
Johnson Denise CGroup President
|
Exercise / conversionEmployee Stock Option · Derivative | 14,778 | $0.00 Strike: $74.77 | $0.00 |
DisclosureSEC source: 0000018230-17-000233 · edgar.xml · derivative · entry 14 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,554 Underlying: Common Stock · 14,788 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: Stock options vest equally in 1/3 increments beginning on the first anniversay of the grant date. Read SEC document |
| July 27, 2017 Filed Aug 1, 2017 00:02 UTC |
Johnson Denise CGroup President
|
Exercise / conversionEmployee Stock Option · Derivative | 31,888 | $0.00 Strike: $83.00 | $0.00 |
DisclosureSEC source: 0000018230-17-000233 · edgar.xml · derivative · entry 13 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,944 Underlying: Common Stock · 31,888 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: Stock options vest equally in 1/3 increments beginning on the first anniversay of the grant date. Read SEC document |
| July 27, 2017 Filed Aug 1, 2017 00:02 UTC |
Johnson Denise CGroup President
|
Exercise / conversionEmployee Stock Option · Derivative | 25,152 | $0.00 Strike: $96.31 | $0.00 |
DisclosureSEC source: 0000018230-17-000233 · edgar.xml · derivative · entry 12 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 25,152 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 |
| July 27, 2017 Filed Aug 1, 2017 00:02 UTC |
Johnson Denise CGroup President
|
Exercise / conversionEmployee Stock Option · Derivative | 17,141 | $0.00 Strike: $89.75 | $0.00 |
DisclosureSEC source: 0000018230-17-000233 · edgar.xml · derivative · entry 11 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 17,141 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 |
| July 27, 2017 Filed Aug 1, 2017 00:02 UTC |
Johnson Denise CGroup President
|
SaleCommon Stock | 14,788 | $114.02 | $1,686,127.76 |
DisclosureSEC source: 0000018230-17-000233 · edgar.xml · nonDerivative · entry 8 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,008 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 $113.815 to $114.10, 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 |
| July 27, 2017 Filed Aug 1, 2017 00:02 UTC |
Johnson Denise CGroup President
|
Exercise / conversionCommon Stock | 14,778 | $74.77 | $1,104,951.06 |
DisclosureSEC source: 0000018230-17-000233 · edgar.xml · nonDerivative · entry 7 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,786 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| July 27, 2017 Filed Aug 1, 2017 00:02 UTC |
Johnson Denise CGroup President
|
SaleCommon Stock | 31,888 | $144.02 | $4,592,509.76 |
DisclosureSEC source: 0000018230-17-000233 · edgar.xml · nonDerivative · entry 6 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,008 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 $113.815 to $114.10, 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 |
| July 27, 2017 Filed Aug 1, 2017 00:02 UTC |
Johnson Denise CGroup President
|
Exercise / conversionCommon Stock | 31,888 | $83.00 | $2,646,704.00 |
DisclosureSEC source: 0000018230-17-000233 · edgar.xml · nonDerivative · entry 5 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,896 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| July 27, 2017 Filed Aug 1, 2017 00:02 UTC |
Johnson Denise CGroup President
|
SaleCommon Stock | 25,152 | $114.02 | $2,867,831.04 |
DisclosureSEC source: 0000018230-17-000233 · edgar.xml · nonDerivative · entry 4 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,008 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 $113.815 to $114.10, 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 |
| July 27, 2017 Filed Aug 1, 2017 00:02 UTC |
Johnson Denise CGroup President
|
Exercise / conversionCommon Stock | 25,152 | $96.31 | $2,422,389.12 |
DisclosureSEC source: 0000018230-17-000233 · edgar.xml · nonDerivative · entry 3 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,160 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| July 27, 2017 Filed Aug 1, 2017 00:02 UTC |
Johnson Denise CGroup President
|
SaleCommon Stock | 17,141 | $114.02 | $1,954,416.82 |
DisclosureSEC source: 0000018230-17-000233 · edgar.xml · nonDerivative · entry 2 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,008 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 $113.815 to $114.10, 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 |
| July 27, 2017 Filed Aug 1, 2017 00:02 UTC |
Johnson Denise CGroup President
|
Exercise / conversionCommon Stock | 17,141 | $89.75 | $1,538,404.75 |
DisclosureSEC source: 0000018230-17-000233 · edgar.xml · nonDerivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,149 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| July 27, 2017 Filed Aug 1, 2017 01:45 UTC |
Halverson Bradley MGroup President & CFO
|
OtherPhantom Stock Units · Derivative | 14,363 | $114.37 | $1,642,696.31 |
DisclosureSEC source: 0000018230-17-000237 · edgar.xml · derivative · entry 12 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 999 Underlying: Common Stock · 14,363 shares Expires not disclosed F6 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F7 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan. F7 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan. Read SEC document |
| July 27, 2017 Filed Aug 1, 2017 01:45 UTC |
Halverson Bradley MGroup President & CFO
|
Exercise / conversionEmployee Stock Option · Derivative | 102,636 | $0.00 Strike: $83.00 | $0.00 |
DisclosureSEC source: 0000018230-17-000237 · edgar.xml · derivative · entry 11 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,318 Underlying: Common Stock · 102,636 shares Expires 2025-03-02 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_date: Stock options vest equally in 1/3 increments beginning on the first anniversay of the grant date. Read SEC document |
| July 27, 2017 Filed Aug 1, 2017 01:45 UTC |
Halverson Bradley MGroup President & CFO
|
Exercise / conversionEmployee Stock Option · Derivative | 79,976 | $0.00 Strike: $89.75 | $0.00 |
DisclosureSEC source: 0000018230-17-000237 · edgar.xml · derivative · entry 10 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 79,976 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 |
| July 27, 2017 Filed Aug 1, 2017 01:45 UTC |
Halverson Bradley MGroup President & CFO
|
SaleCommon Stock | 12,700 | $114.37 | $1,452,499.00 |
DisclosureSEC source: 0000018230-17-000237 · edgar.xml · nonDerivative · entry 7 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,814 Read SEC document |
| July 27, 2017 Filed Aug 1, 2017 01:45 UTC |
Halverson Bradley MGroup President & CFO
|
SaleCommon Stock | 200 | $114.34 | $22,868.00 |
DisclosureSEC source: 0000018230-17-000237 · edgar.xml · nonDerivative · entry 6 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,514 Read SEC document |
| July 27, 2017 Filed Aug 1, 2017 01:45 UTC |
Halverson Bradley MGroup President & CFO
|
SaleCommon Stock | 100 | $114.33 | $11,433.00 |
DisclosureSEC source: 0000018230-17-000237 · edgar.xml · nonDerivative · entry 5 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,714 Read SEC document |
| July 27, 2017 Filed Aug 1, 2017 01:45 UTC |
Halverson Bradley MGroup President & CFO
|
SaleCommon Stock | 89,636 | $114.03 | $10,221,193.08 |
DisclosureSEC source: 0000018230-17-000237 · edgar.xml · nonDerivative · entry 4 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,814 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 $113.32 to $114.31, 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 |
| July 27, 2017 Filed Aug 1, 2017 01:45 UTC |
Halverson Bradley MGroup President & CFO
|
Exercise / conversionCommon Stock | 102,636 | $83.00 | $8,518,788.00 |
DisclosureSEC source: 0000018230-17-000237 · edgar.xml · nonDerivative · entry 3 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 110,450 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| July 27, 2017 Filed Aug 1, 2017 01:45 UTC |
Halverson Bradley MGroup President & CFO
|
SaleCommon Stock | 79,976 | $114.03 | $9,119,663.28 |
DisclosureSEC source: 0000018230-17-000237 · edgar.xml · nonDerivative · entry 2 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,814 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 $113.32 to $114.31, 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 |
| July 27, 2017 Filed Aug 1, 2017 01:45 UTC |
Halverson Bradley MGroup President & CFO
|
Exercise / conversionCommon Stock | 79,976 | $89.75 | $7,177,846.00 |
DisclosureSEC source: 0000018230-17-000237 · edgar.xml · nonDerivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,790 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · balance_after: Reflects adjustment for clerical error to total shares of Common Stock of the Issuer previously reported as beneficially owned by Mr. Halverson. Read SEC document |
| July 25, 2017 Filed Jul 27, 2017 15:44 UTC |
Johnson Cheryl HChief Human Resources Officer
|
GrantCommon Stock | 15,715 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-17-000229 · edgar.xml · nonDerivative · entry 1 Johnson Cheryl H · CIK 0001552649 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,715 Read SEC document |
| June 30, 2017 Filed Jul 5, 2017 15:59 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 351 | $106.94 | $37,535.94 |
DisclosureSEC source: 0000018230-17-000205 · edgar.xml · derivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,853 Underlying: Common Stock · 351 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 awareded 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 30, 2017 Filed Jul 5, 2017 16:05 UTC |
WHITE MILES DDirector
|
GrantPhantom Stock Units · Derivative | 397 | $106.94 | $42,455.18 |
DisclosureSEC source: 0000018230-17-000207 · edgar.xml · derivative · entry 1 WHITE MILES D · CIK 0001239129 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,085 Underlying: Common Stock · 397 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 awareded 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 30, 2017 Filed Jul 5, 2017 16:11 UTC |
SCHWAB SUSAN CDirector
|
GrantPhantom Stock Units · Derivative | 351 | $106.94 | $37,535.94 |
DisclosureSEC source: 0000018230-17-000209 · edgar.xml · derivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,323 Underlying: Common Stock · 351 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 awareded 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 30, 2017 Filed Jul 5, 2017 16:14 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 386 | $106.94 | $41,278.84 |
DisclosureSEC source: 0000018230-17-000211 · edgar.xml · derivative · entry 1 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,771 Underlying: Common Stock · 386 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 awareded 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 30, 2017 Filed Jul 5, 2017 16:19 UTC |
REED DEBRA LDirector
|
GrantPhantom Stock Units · Derivative | 351 | $106.94 | $37,535.94 |
DisclosureSEC source: 0000018230-17-000213 · edgar.xml · derivative · entry 1 REED DEBRA L · CIK 0001225947 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,034 Underlying: Common Stock · 351 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 awareded 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 30, 2017 Filed Jul 5, 2017 16:24 UTC |
DICKINSON DANIEL MDirector
|
GrantPhantom Stock Units · Derivative | 351 | $106.94 | $37,535.94 |
DisclosureSEC source: 0000018230-17-000215 · edgar.xml · derivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,564 Underlying: Common Stock · 351 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 awareded 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 30, 2017 Filed Jul 5, 2017 16:26 UTC |
CALHOUN DAVID LDirector
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GrantPhantom Stock Units · Derivative | 351 | $106.94 | $37,535.94 |
DisclosureSEC source: 0000018230-17-000217 · edgar.xml · derivative · entry 1 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,446 Underlying: Common Stock · 351 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 awareded 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 30, 2017 Filed Jul 5, 2017 16:34 UTC |
Halverson Bradley MGroup President & CFO
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GrantPhantom Stock Units · Derivative | 57 | $107.46 | $6,125.22 |
DisclosureSEC source: 0000018230-17-000219 · edgar.xml · derivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,930 Underlying: Common Stock · 57 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 38 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $107.46 and 19 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 |
| June 30, 2017 Filed Jul 5, 2017 16:40 UTC |
Johnson Denise CGroup President
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GrantPhantom Stock Units · Derivative | 100 | $107.46 | $10,746.00 |
DisclosureSEC source: 0000018230-17-000221 · edgar.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,876 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: This total includes 66 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $107.46 and 34 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 |
| May 31, 2017 Filed Jun 1, 2017 19:12 UTC |
Halverson Bradley MGroup President & CFO
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GrantPhantom Stock Units · Derivative | 53 | $105.43 | $5,587.79 |
DisclosureSEC source: 0000018230-17-000166 · edgar.xml · derivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,873 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 · shares: This total includes 35 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $105.43 and 18 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 |
| May 31, 2017 Filed Jun 1, 2017 19:15 UTC |
Johnson Denise CGroup President
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GrantPhantom Stock Units · Derivative | 37 | $105.43 | $3,900.91 |
DisclosureSEC source: 0000018230-17-000168 · edgar.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,776 Underlying: Common Stock · 37 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 35 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $105.43 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 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 |
| May 08, 2017 Filed May 9, 2017 20:55 UTC |
WILKINS RAYFORD JRDirector
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GrantCommon Stock | 943 | $99.37 | $93,705.91 |
DisclosureSEC source: 0000018230-17-000158 · edgar.xml · nonDerivative · entry 1 WILKINS RAYFORD JR · CIK 0001184395 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 943 Read SEC document |
| May 01, 2017 Filed May 3, 2017 22:22 UTC |
Umpleby III Donald JDirector · Chief Executive Officer
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Tax withholdingCommon Stock | 259 | $102.20 | $26,469.80 |
DisclosureSEC source: 0000018230-17-000147 · edgar.xml · nonDerivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,344 F1 · shares: Represents shares withheld from the reporting person solely to satisfy tax obligations arising from the vesting of restricted stock units granted on 5/01/12, of which one-third vested on 05/01/2017. F2 · balance_after: Adjusted to reflect inadvertent clerical error. Read SEC document |
| May 01, 2017 Filed May 3, 2017 22:33 UTC |
Copeland Jananne A.Chief Accounting Officer
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Tax withholdingCommon Stock | 91 | $102.20 | $9,300.20 |
DisclosureSEC source: 0000018230-17-000149 · edgar.xml · nonDerivative · entry 2 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,288 F1 · shares: Represents shares withheld from the reporting person solely to satisfy tax obligations arising from the vesting of restricted stock units granted on 5/01/14, of which one-third vested on 05/01/2017. Read SEC document |
| May 01, 2017 Filed May 3, 2017 22:38 UTC |
Halverson Bradley MGroup President & CFO
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Tax withholdingCommon Stock | 259 | $102.20 | $26,469.80 |
DisclosureSEC source: 0000018230-17-000151 · edgar.xml · nonDerivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,524 F1 · shares: Represents shares withheld from the reporting person solely to satisfy tax obligations arising from the vesting of restricted stock units granted on 5/01/12, of which one-third vested on 05/01/2017. Read SEC document |
| May 01, 2017 Filed May 3, 2017 22:40 UTC |
Johnson Denise CGroup President
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Tax withholdingCommon Stock | 89 | $102.20 | $9,095.80 |
DisclosureSEC source: 0000018230-17-000153 · edgar.xml · nonDerivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,008 F1 · shares: Represents shares withheld from the reporting person solely to satisfy tax obligations arising from the vesting of restricted stock units granted on 5/01/14, of which one-third vested on 05/01/2017. F2 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| May 01, 2017 Filed May 3, 2017 22:43 UTC |
BUDA JAMES BExecutive Vice President
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Tax withholdingCommon Stock | 519 | $102.20 | $53,041.80 |
DisclosureSEC source: 0000018230-17-000155 · edgar.xml · nonDerivative · entry 1 BUDA JAMES B · CIK 0001171771 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,290 F1 · shares: Represents shares withheld from the reporting person solely to satisfy tax obligations arising from the vesting of restricted stock units granted on 5/01/12, of which one-third vested on 05/01/2017. 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.