Last 12 months
Inside the activity.
2 purchase rows · 91 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 1 | 16 |
| Dec 2025 | 0 | 14 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 21 |
| Mar 2026 | 0 | 5 |
| Apr 2026 | 0 | 0 |
| May 2026 | 1 | 21 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 14 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| April 28, 2017 Filed May 1, 2017 21:13 UTC |
BUDA JAMES BExecutive Vice President
|
GrantPhantom Stock Units · Derivative | 33 | $102.26 | $3,374.58 |
DisclosureSEC source: 0000018230-17-000139 · edgar.xml · derivative · entry 1 BUDA JAMES B · CIK 0001171771 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,772 Underlying: Common Stock · 33 shares Expires not disclosed F1 · derivative.exercise_price: Each phatom stock unit is the economic equivalent of 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 $102.26 and 11 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 |
| April 28, 2017 Filed May 1, 2017 21:13 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 38 | $102.26 | $3,885.88 |
DisclosureSEC source: 0000018230-17-000140 · edgar.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,739 Underlying: Common Stock · 38 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 36 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $102.26 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 |
| April 28, 2017 Filed May 1, 2017 21:16 UTC |
Pellette Thomas AGroup President
|
Exercise / conversionStock Appreciation Right · Derivative | 5,060 | $0.00 Strike: $57.85 | $0.00 |
DisclosureSEC source: 0000018230-17-000142 · edgar.xml · derivative · entry 6 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,060 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 |
| April 28, 2017 Filed May 1, 2017 21:16 UTC |
Pellette Thomas AGroup President
|
Tax withholdingCommon Stock | 690 | $102.88 | $70,987.20 |
DisclosureSEC source: 0000018230-17-000142 · edgar.xml · nonDerivative · entry 3 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,594 Read SEC document |
| April 28, 2017 Filed May 1, 2017 21:16 UTC |
Pellette Thomas AGroup President
|
Disposition to issuerCommon Stock | 2,845 | $102.88 | $292,693.60 |
DisclosureSEC source: 0000018230-17-000142 · edgar.xml · nonDerivative · entry 2 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,284 Read SEC document |
| April 28, 2017 Filed May 1, 2017 21:16 UTC |
Pellette Thomas AGroup President
|
Exercise / conversionCommon Stock | 5,060 | $57.85 | $292,721.00 |
DisclosureSEC source: 0000018230-17-000142 · edgar.xml · nonDerivative · entry 1 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,129 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 382 shares previously owned directly which were contributed to the Pellette Family Trust. Read SEC document |
| March 31, 2017 Filed Apr 3, 2017 22:13 UTC |
OBERHELMAN DOUGLAS RDirector · Chairman of the Board
|
GrantPhantom Stock Units · Derivative | 126 | $92.76 | $11,687.76 |
DisclosureSEC source: 0000018230-17-000105 · edgar.xml · derivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,355 Underlying: Common Stock · 126 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 84 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $92.76 and 42 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 31, 2017 Filed Apr 3, 2017 22:17 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 38 | $92.76 | $3,524.88 |
DisclosureSEC source: 0000018230-17-000107 · edgar.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,701 Underlying: Common Stock · 38 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 36 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $92.76 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 |
| March 31, 2017 Filed Apr 3, 2017 22:37 UTC |
SCHWAB SUSAN CDirector
|
GrantPhantom Stock Units · Derivative | 405 | $92.63 | $37,515.15 |
DisclosureSEC source: 0000018230-17-000111 · edgar.xml · derivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,898 Underlying: Common Stock · 405 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: 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 |
| March 31, 2017 Filed Apr 3, 2017 22:43 UTC |
DICKINSON DANIEL MDirector
|
GrantPhantom Stock Units · Derivative | 405 | $92.63 | $37,515.15 |
DisclosureSEC source: 0000018230-17-000113 · edgar.xml · derivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,026 Underlying: Common Stock · 405 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: 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 |
| March 31, 2017 Filed Apr 3, 2017 22:48 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 405 | $92.63 | $37,515.15 |
DisclosureSEC source: 0000018230-17-000115 · edgar.xml · derivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,305 Underlying: Common Stock · 405 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: 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 |
| March 31, 2017 Filed Apr 3, 2017 22:55 UTC |
REED DEBRA LDirector
|
GrantPhantom Stock Units · Derivative | 405 | $92.63 | $37,515.15 |
DisclosureSEC source: 0000018230-17-000117 · edgar.xml · derivative · entry 1 REED DEBRA L · CIK 0001225947 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,656 Underlying: Common Stock · 405 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: 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 |
| March 31, 2017 Filed Apr 3, 2017 22:58 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 472 | $92.63 | $43,721.36 |
DisclosureSEC source: 0000018230-17-000119 · edgar.xml · derivative · entry 1 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,137 Underlying: Common Stock · 472 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 |
| March 31, 2017 Filed Apr 3, 2017 23:03 UTC |
WHITE MILES DDirector
|
GrantPhantom Stock Units · Derivative | 459 | $92.63 | $42,517.17 |
DisclosureSEC source: 0000018230-17-000121 · edgar.xml · derivative · entry 1 WHITE MILES D · CIK 0001239129 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,637 Underlying: Common Stock · 459 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 |
| March 31, 2017 Filed Apr 4, 2017 12:48 UTC |
CALHOUN DAVID LDirector
|
GrantPhantom Stock Units · Derivative | 405 | $92.63 | $37,515.15 |
DisclosureSEC source: 0000018230-17-000124 · edgar.xml · derivative · entry 1 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,012 Underlying: Common Stock · 405 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: 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 |
| March 10, 2017 Filed Mar 14, 2017 21:11 UTC |
OBERHELMAN DOUGLAS RDirector · Chairman of the Board
|
GrantPhantom Stock Units · Derivative | 505 | $92.31 | $46,616.55 |
DisclosureSEC source: 0000018230-17-000088 · edgar.xml · derivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,229 Underlying: Common Stock · 505 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 337 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $92.31 and 168 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 10, 2017 Filed Mar 14, 2017 21:15 UTC |
Pellette Thomas AGroup President
|
GrantPhantom Stock Units · Derivative | 117 | $92.31 | $10,800.27 |
DisclosureSEC source: 0000018230-17-000090 · edgar.xml · derivative · entry 1 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 517 Underlying: Common Stock · 117 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 78 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $92.31 and 39 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 10, 2017 Filed Mar 14, 2017 21:17 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 198 | $92.31 | $18,277.38 |
DisclosureSEC source: 0000018230-17-000092 · edgar.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,352 Underlying: Common Stock · 198 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 165 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $92.31 and 33 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 10, 2017 Filed Mar 14, 2017 21:19 UTC |
Halverson Bradley MGroup President & CFO
|
GrantPhantom Stock Units · Derivative | 209 | $92.31 | $19,292.79 |
DisclosureSEC source: 0000018230-17-000094 · edgar.xml · derivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,820 Underlying: Common Stock · 209 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 139 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $92.31 and 70 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 10, 2017 Filed Mar 14, 2017 21:22 UTC |
Copeland Jananne A.Chief Accounting Officer
|
GrantPhantom Stock Units · Derivative | 40 | $92.31 | $3,692.40 |
DisclosureSEC source: 0000018230-17-000096 · edgar.xml · derivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,835 Underlying: Common Stock · 40 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 27 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $92.31 and 13 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 10, 2017 Filed Mar 14, 2017 21:25 UTC |
BUDA JAMES BExecutive Vice President
|
GrantPhantom Stock Units · Derivative | 72 | $92.31 | $6,646.32 |
DisclosureSEC source: 0000018230-17-000098 · edgar.xml · derivative · entry 1 BUDA JAMES B · CIK 0001171771 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,739 Underlying: Common Stock · 72 shares Expires not disclosed F1 · derivative.exercise_price: Each phatom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 48 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $92.31 and 24 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| March 10, 2017 Filed Mar 17, 2017 18:59 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 311 | $92.31 | $28,708.41 |
DisclosureSEC source: 0000018230-17-000100 · edgar.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,663 Underlying: Common Stock · 311 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · derivative.exercise_date: The phantom stock units were acquired under the 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 the 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 |
| March 07, 2017 Filed Feb 1, 2019 00:27 UTC |
GALLARDO JUANDirector
|
Tax withholdingCommon Stock | 502 | $95.50 | $47,941.00 |
DisclosureSEC source: 0000018230-19-000028 · wf-form4_154898082106625.xml · nonDerivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 273,148 Read SEC document |
| March 07, 2017 Filed Feb 1, 2019 00:27 UTC |
WHITE MILES DDirector
|
Tax withholdingCommon Stock | 725 | $95.50 | $69,237.50 |
DisclosureSEC source: 0000018230-19-000029 · wf-form4_154898085963591.xml · nonDerivative · entry 1 WHITE MILES D · CIK 0001239129 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,032 Read SEC document |
| March 06, 2017 Filed Mar 8, 2017 21:32 UTC |
Muilenburg Dennis ADirector
|
GrantCommon Stock | 1,307 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-17-000060 · edgar.xml · nonDerivative · entry 1 Muilenburg Dennis A · CIK 0001471763 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,865 Read SEC document |
| March 06, 2017 Filed Mar 8, 2017 21:34 UTC |
WHITE MILES DDirector
|
GrantCommon Stock | 1,307 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-17-000062 · edgar.xml · nonDerivative · entry 1 WHITE MILES D · CIK 0001239129 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,313 F1 · balance_after: Due to a clerical error, 29 shares of Common Stock of the Issuer were inadvertently omitted among the total shares of Common Stock of the Issuer reported as beneficially owned by Mr. White. Read SEC document |
| March 06, 2017 Filed Mar 8, 2017 21:37 UTC |
DICKINSON DANIEL MDirector
|
GrantCommon Stock | 1,307 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-17-000064 · edgar.xml · nonDerivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,367 Read SEC document |
| March 06, 2017 Filed Mar 8, 2017 21:40 UTC |
SCHWAB SUSAN CDirector
|
GrantCommon Stock | 1,307 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-17-000066 · edgar.xml · nonDerivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,189 F1 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| March 06, 2017 Filed Mar 8, 2017 21:42 UTC |
REED DEBRA LDirector
|
GrantCommon Stock | 1,307 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-17-000068 · edgar.xml · nonDerivative · entry 1 REED DEBRA L · CIK 0001225947 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,054 Read SEC document |
| March 06, 2017 Filed Mar 8, 2017 21:44 UTC |
RUST EDWARD B JRDirector
|
GrantCommon Stock | 1,307 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-17-000070 · edgar.xml · nonDerivative · entry 1 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,039 F1 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| March 06, 2017 Filed Mar 8, 2017 21:46 UTC |
Huntsman Jon M JrDirector
|
GrantCommon Stock | 1,307 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-17-000072 · edgar.xml · nonDerivative · entry 1 Huntsman Jon M Jr · CIK 0001541785 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,898 Read SEC document |
| March 06, 2017 Filed Mar 8, 2017 21:48 UTC |
GALLARDO JUANDirector
|
GrantCommon Stock | 1,307 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-17-000074 · edgar.xml · nonDerivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 273,050 F1 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| March 06, 2017 Filed Mar 8, 2017 21:50 UTC |
GREENE JESSE J JRDirector
|
GrantCommon Stock | 1,307 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-17-000076 · edgar.xml · nonDerivative · entry 1 GREENE JESSE J JR · CIK 0001111353 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,948 F1 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| March 06, 2017 Filed Mar 8, 2017 21:58 UTC |
CALHOUN DAVID LDirector
|
GrantCommon Stock | 3,920 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-17-000078 · edgar.xml · nonDerivative · entry 1 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,932 F1 · balance_after: Due to a clerical error, previously filed Forms 4 incorrectly included 210 shares related to adjustments of dividends accrued among the total shares of Common Stock of the Issuer reported as beneficially owned by Mr. Calhoun. F2 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| March 06, 2017 Filed Mar 8, 2017 23:10 UTC |
Umpleby III Donald JDirector · Chief Executive Officer
|
GrantEmployee Stock Option · Derivative | 214,370 | $0.00 Strike: $95.66 | $0.00 |
DisclosureSEC source: 0000018230-17-000080 · edgar.xml · derivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 214,370 Underlying: Common Stock · 214,370 shares Expires 2027-03-06 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 06, 2017 Filed Mar 8, 2017 23:15 UTC |
OSBORN WILLIAM ADirector
|
GrantCommon Stock | 1,307 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-17-000082 · edgar.xml · nonDerivative · entry 1 OSBORN WILLIAM A · CIK 0001171797 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,251 Read SEC document |
| March 06, 2017 Filed Mar 8, 2017 23:21 UTC |
Halverson Bradley MGroup President & CFO
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GrantEmployee Stock Option · Derivative | 88,705 | $0.00 Strike: $95.66 | $0.00 |
DisclosureSEC source: 0000018230-17-000084 · edgar.xml · derivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 88,705 Underlying: Common Stock · 88,705 shares Expires 2027-03-06 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 06, 2017 Filed Mar 8, 2017 23:25 UTC |
Long Suzette MInt. Executive Vice President
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GrantEmployee Stock Option · Derivative | 5,914 | $0.00 Strike: $95.66 | $0.00 |
DisclosureSEC source: 0000018230-17-000086 · edgar.xml · derivative · entry 3 Long Suzette M · CIK 0001698572 · Int. Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,914 Underlying: Common Stock · 5,914 shares Expires 2027-03-06 F2 · 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 06, 2017 Filed Mar 8, 2017 23:25 UTC |
Long Suzette MInt. Executive Vice President
|
GrantCommon Stock | 14,635 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-17-000086 · edgar.xml · nonDerivative · entry 1 Long Suzette M · CIK 0001698572 · Int. Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,163 Read SEC document |
| March 06, 2017 Filed Mar 9, 2017 02:14 UTC |
Charter Robert BGroup President
|
GrantEmployee Stock Option · Derivative | 109,403 | $0.00 Strike: $95.66 | $0.00 |
DisclosureSEC source: 0001104659-17-015282 · a4.xml · derivative · entry 1 Charter Robert B · CIK 0001628074 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 109,403 Underlying: Common Stock · 109,403 shares Expires 2027-03-06 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 06, 2017 Filed Mar 9, 2017 02:15 UTC |
De Lange BobGroup President
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GrantEmployee Stock Option · Derivative | 79,834 | $0.00 Strike: $95.66 | $0.00 |
DisclosureSEC source: 0001104659-17-015283 · a4.xml · derivative · entry 1 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 79,834 Underlying: Common Stock · 79,834 shares Expires 2027-03-06 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 06, 2017 Filed Mar 9, 2017 02:17 UTC |
Johnson Denise CGroup President
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GrantEmployee Stock Option · Derivative | 103,489 | $0.00 Strike: $95.66 | $0.00 |
DisclosureSEC source: 0001104659-17-015284 · a4.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 103,489 Underlying: Common Stock · 103,489 shares Expires 2027-03-06 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 06, 2017 Filed Mar 9, 2017 02:18 UTC |
Pellette Thomas AGroup President
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GrantEmployee Stock Option · Derivative | 103,489 | $0.00 Strike: $95.66 | $0.00 |
DisclosureSEC source: 0001104659-17-015285 · a4.xml · derivative · entry 1 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 103,489 Underlying: Common Stock · 103,489 shares Expires 2027-03-06 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 06, 2017 Filed Mar 9, 2017 02:20 UTC |
Copeland Jananne A.Chief Accounting Officer
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GrantEmployee Stock Option · Derivative | 7,983 | $0.00 Strike: $95.66 | $0.00 |
DisclosureSEC source: 0001104659-17-015286 · a4.xml · derivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,983 Underlying: Common Stock · 7,983 shares Expires 2027-03-06 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 |
| February 28, 2017 Filed Mar 1, 2017 22:36 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 36 | $96.66 | $3,479.76 |
DisclosureSEC source: 0000018230-17-000058 · edgar.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,154 Underlying: Common Stock · 36 shares Expires not disclosed F1 · derivative.exercise_price: Each phatom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 34 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $96.66 and 2 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| February 24, 2017 Filed Feb 28, 2017 17:13 UTC |
Pellette Thomas AGroup President
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Exercise / conversionStock Appreciation Right · Derivative | 2,458 | $0.00 Strike: $73.20 | $0.00 |
DisclosureSEC source: 0000018230-17-000054 · edgar.xml · derivative · entry 6 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,458 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 |
| February 24, 2017 Filed Feb 28, 2017 17:13 UTC |
Pellette Thomas AGroup President
|
Tax withholdingCommon Stock | 173 | $94.50 | $16,348.50 |
DisclosureSEC source: 0000018230-17-000054 · edgar.xml · nonDerivative · entry 3 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,451 Read SEC document |
| February 24, 2017 Filed Feb 28, 2017 17:13 UTC |
Pellette Thomas AGroup President
|
Disposition to issuerCommon Stock | 1,903 | $94.50 | $179,833.50 |
DisclosureSEC source: 0000018230-17-000054 · edgar.xml · nonDerivative · entry 2 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,624 Read SEC document |
| February 24, 2017 Filed Feb 28, 2017 17:13 UTC |
Pellette Thomas AGroup President
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Exercise / conversionCommon Stock | 2,458 | $73.20 | $179,925.60 |
DisclosureSEC source: 0000018230-17-000054 · edgar.xml · nonDerivative · entry 1 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,527 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 375 shares previously owned directly which were contributed to the Pellette Family Trust. Read SEC document |
| February 24, 2017 Filed Feb 28, 2017 21:50 UTC |
Copeland Jananne A.Chief Accounting Officer
|
GrantPhantom Stock Units · Derivative | 41 | $95.48 | $3,914.68 |
DisclosureSEC source: 0000018230-17-000056 · edgar.xml · derivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,795 Underlying: Common Stock · 41 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.