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 |
|---|---|---|---|---|---|---|
| February 21, 2017 Filed Feb 23, 2017 22:08 UTC |
De Lange BobGroup President
|
PurchaseCommon Stock | 1,000 | $99.32 | $99,320.00 |
DisclosureSEC source: 0000018230-17-000051 · edgar.xml · nonDerivative · entry 1 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,230 F1 · price: The purchase price reported in Column 4 is a weighted average purchase price and may include applicable broker commissions. 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 regarding the number of shares purchased or sold at each separate price, if different from $99.32. Read SEC document |
| February 15, 2017 Filed Feb 16, 2017 23:16 UTC |
GALLARDO JUANDirector
|
Exercise / conversionStock Appreciation Right · Derivative | 5,833 | $0.00 Strike: $63.04 | $0.00 |
DisclosureSEC source: 0000018230-17-000045 · edgar.xml · derivative · entry 4 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,833 shares Expires 2017-03-02 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 |
| February 15, 2017 Filed Feb 16, 2017 23:16 UTC |
GALLARDO JUANDirector
|
Tax withholdingCommon Stock | 631 | $98.51 | $62,159.81 |
DisclosureSEC source: 0000018230-17-000045 · edgar.xml · nonDerivative · entry 3 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 271,725 F1 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| February 15, 2017 Filed Feb 16, 2017 23:16 UTC |
GALLARDO JUANDirector
|
Disposition to issuerCommon Stock | 3,732 | $98.51 | $367,639.32 |
DisclosureSEC source: 0000018230-17-000045 · edgar.xml · nonDerivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 272,289 Read SEC document |
| February 15, 2017 Filed Feb 16, 2017 23:16 UTC |
GALLARDO JUANDirector
|
Exercise / conversionCommon Stock | 5,833 | $63.04 | $367,712.32 |
DisclosureSEC source: 0000018230-17-000045 · edgar.xml · nonDerivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 276,021 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 14, 2017 Filed Feb 15, 2017 23:40 UTC |
DICKINSON DANIEL MDirector
|
SaleCommon Stock | 3,884 | $97.90 | $380,243.60 |
DisclosureSEC source: 0000018230-17-000043 · edgar.xml · nonDerivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,060 F1 · balance_after: Due to a clerical error, previously filed Forms 4 incorrectly included 1,616 shares of Common Stock of the Issuer among the total shares of Common Stock of the Issuer reported as beneficially owned by Mr. Dickinson. Read SEC document |
| January 31, 2017 Filed Feb 1, 2017 23:53 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 37 | $95.66 | $3,539.42 |
DisclosureSEC source: 0000018230-17-000036 · edgar.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,118 Underlying: Common Stock · 37 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 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 $95.66 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 |
| January 20, 2017 Filed Jan 24, 2017 23:45 UTC |
OBERHELMAN DOUGLAS RChairman of the Board
|
Exercise / conversionStock Appreciation Right · Derivative | 100,000 | $0.00 Strike: $22.17 | $0.00 |
DisclosureSEC source: 0000018230-17-000028 · edgar.xml · derivative · entry 10 OBERHELMAN DOUGLAS R · CIK 0001171770 · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,252 Underlying: Common Stock · 100,000 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 |
| January 20, 2017 Filed Jan 24, 2017 23:45 UTC |
OBERHELMAN DOUGLAS RChairman of the Board
|
Exercise / conversionStock Appreciation Right · Derivative | 60,000 | $0.00 Strike: $73.20 | $0.00 |
DisclosureSEC source: 0000018230-17-000028 · edgar.xml · derivative · entry 9 OBERHELMAN DOUGLAS R · CIK 0001171770 · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 60,000 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 |
| January 20, 2017 Filed Jan 24, 2017 23:45 UTC |
OBERHELMAN DOUGLAS RChairman of the Board
|
Tax withholdingCommon Stock | 34,958 | $94.31 | $3,296,888.98 |
DisclosureSEC source: 0000018230-17-000028 · edgar.xml · nonDerivative · entry 6 OBERHELMAN DOUGLAS R · CIK 0001171770 · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 209,523 Read SEC document |
| January 20, 2017 Filed Jan 24, 2017 23:45 UTC |
OBERHELMAN DOUGLAS RChairman of the Board
|
Disposition to issuerCommon Stock | 23,507 | $94.31 | $2,216,945.17 |
DisclosureSEC source: 0000018230-17-000028 · edgar.xml · nonDerivative · entry 5 OBERHELMAN DOUGLAS R · CIK 0001171770 · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 244,481 Read SEC document |
| January 20, 2017 Filed Jan 24, 2017 23:45 UTC |
OBERHELMAN DOUGLAS RChairman of the Board
|
Exercise / conversionCommon Stock | 100,000 | $22.17 | $2,217,000.00 |
DisclosureSEC source: 0000018230-17-000028 · edgar.xml · nonDerivative · entry 4 OBERHELMAN DOUGLAS R · CIK 0001171770 · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 267,988 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 20, 2017 Filed Jan 24, 2017 23:45 UTC |
OBERHELMAN DOUGLAS RChairman of the Board
|
Tax withholdingCommon Stock | 4,584 | $94.31 | $432,317.04 |
DisclosureSEC source: 0000018230-17-000028 · edgar.xml · nonDerivative · entry 3 OBERHELMAN DOUGLAS R · CIK 0001171770 · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 167,988 Read SEC document |
| January 20, 2017 Filed Jan 24, 2017 23:45 UTC |
OBERHELMAN DOUGLAS RChairman of the Board
|
Disposition to issuerCommon Stock | 46,569 | $94.31 | $4,391,922.39 |
DisclosureSEC source: 0000018230-17-000028 · edgar.xml · nonDerivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 172,572 Read SEC document |
| January 20, 2017 Filed Jan 24, 2017 23:45 UTC |
OBERHELMAN DOUGLAS RChairman of the Board
|
Exercise / conversionCommon Stock | 60,000 | $73.20 | $4,392,000.00 |
DisclosureSEC source: 0000018230-17-000028 · edgar.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 219,141 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 38,000 shares previously owned directly which were contributed to a family foundation on December 19, 2016, and also includes an addition of 32 shares that were inadvertently double counted as part of a stock gift reported on a Form 4 filed on October 4, 2016. Read SEC document |
| December 30, 2016 Filed Jan 4, 2017 21:41 UTC |
WHITE MILES DDirector
|
GrantPhantom Stock Units · Derivative | 458 | $92.79 | $42,497.82 |
DisclosureSEC source: 0000018230-17-000013 · edgar.xml · derivative · entry 1 WHITE MILES D · CIK 0001239129 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,131 Underlying: Common Stock · 458 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 |
| December 30, 2016 Filed Jan 4, 2017 21:42 UTC |
SCHWAB SUSAN CDirector
|
GrantPhantom Stock Units · Derivative | 404 | $92.79 | $37,487.16 |
DisclosureSEC source: 0000018230-17-000014 · edgar.xml · derivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,419 Underlying: Common Stock · 404 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 |
| December 30, 2016 Filed Jan 4, 2017 21:43 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 471 | $92.79 | $43,704.09 |
DisclosureSEC source: 0000018230-17-000015 · edgar.xml · derivative · entry 1 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,411 Underlying: Common Stock · 471 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 |
| December 30, 2016 Filed Jan 4, 2017 21:44 UTC |
REED DEBRA LDirector
|
GrantPhantom Stock Units · Derivative | 404 | $92.79 | $37,487.16 |
DisclosureSEC source: 0000018230-17-000016 · edgar.xml · derivative · entry 1 REED DEBRA L · CIK 0001225947 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,226 Underlying: Common Stock · 404 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 |
| December 30, 2016 Filed Jan 4, 2017 21:45 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 404 | $92.79 | $37,487.16 |
DisclosureSEC source: 0000018230-17-000017 · edgar.xml · derivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,700 Underlying: Common Stock · 404 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: 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 30, 2016 Filed Jan 4, 2017 21:46 UTC |
CALHOUN DAVID LDirector
|
GrantPhantom Stock Units · Derivative | 404 | $92.79 | $37,487.16 |
DisclosureSEC source: 0000018230-17-000019 · edgar.xml · derivative · entry 1 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,525 Underlying: Common Stock · 404 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: 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 30, 2016 Filed Jan 4, 2017 21:46 UTC |
DICKINSON DANIEL MDirector
|
GrantPhantom Stock Units · Derivative | 404 | $92.79 | $37,487.16 |
DisclosureSEC source: 0000018230-17-000018 · edgar.xml · derivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,430 Underlying: Common Stock · 404 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 |
| December 30, 2016 Filed Jan 4, 2017 21:55 UTC |
OBERHELMAN DOUGLAS RCEO & Chairman of the Board
|
GrantPhantom Stock Units · Derivative | 129 | $92.74 | $11,963.46 |
DisclosureSEC source: 0000018230-17-000020 · edgar.xml · derivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,724 Underlying: Common Stock · 129 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 86 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $92.74 and 43 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 30, 2016 Filed Jan 4, 2017 21:55 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 106 | $92.74 | $9,830.44 |
DisclosureSEC source: 0000018230-17-000021 · edgar.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,081 Underlying: Common Stock · 106 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 70 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $92.74 and 36 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 |
| December 30, 2016 Filed Jan 4, 2017 21:57 UTC |
Halverson Bradley MGroup President & CFO
|
GrantPhantom Stock Units · Derivative | 63 | $92.74 | $5,842.62 |
DisclosureSEC source: 0000018230-17-000022 · edgar.xml · derivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,611 Underlying: Common Stock · 63 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 42 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $92.74 and 21 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 |
| December 30, 2016 Filed Jan 4, 2017 21:57 UTC |
Copeland Jananne A.Chief Accounting Officer
|
GrantPhantom Stock Units · Derivative | 28 | $92.74 | $2,596.72 |
DisclosureSEC source: 0000018230-17-000023 · edgar.xml · derivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,754 Underlying: Common Stock · 28 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 19 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $92.74 and 9 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 30, 2016 Filed Jan 4, 2017 21:58 UTC |
BUDA JAMES BExecutive Vice President
|
GrantPhantom Stock Units · Derivative | 75 | $92.74 | $6,955.50 |
DisclosureSEC source: 0000018230-17-000024 · edgar.xml · derivative · entry 1 BUDA JAMES B · CIK 0001171771 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,667 Underlying: Common Stock · 75 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 50 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $92.74 and 25 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| November 30, 2016 Filed Dec 1, 2016 22:16 UTC |
BUDA JAMES BExecutive Vice President
|
GrantPhantom Stock Units · Derivative | 72 | $95.56 | $6,880.32 |
DisclosureSEC source: 0000018230-16-000740 · edgar.xml · derivative · entry 1 BUDA JAMES B · CIK 0001171771 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,592 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 $95.56 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 |
| November 30, 2016 Filed Dec 1, 2016 22:22 UTC |
Copeland Jananne A.Chief Accounting Officer
|
GrantPhantom Stock Units · Derivative | 27 | $95.56 | $2,580.12 |
DisclosureSEC source: 0000018230-16-000742 · edgar.xml · derivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,726 Underlying: Common Stock · 27 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 18 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $95.56 and 9 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 |
| November 30, 2016 Filed Dec 1, 2016 22:26 UTC |
Halverson Bradley MGroup President & CFO
|
GrantPhantom Stock Units · Derivative | 62 | $95.56 | $5,924.72 |
DisclosureSEC source: 0000018230-16-000744 · edgar.xml · derivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,548 Underlying: Common Stock · 62 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 41shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $95.56 and 21 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 30, 2016 Filed Dec 1, 2016 22:28 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 103 | $95.56 | $9,842.68 |
DisclosureSEC source: 0000018230-16-000746 · edgar.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,975 Underlying: Common Stock · 103 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 68 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $95.56 and 35 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 30, 2016 Filed Dec 1, 2016 22:32 UTC |
OBERHELMAN DOUGLAS RCEO & Chairman of the Board
|
GrantPhantom Stock Units · Derivative | 126 | $95.56 | $12,040.56 |
DisclosureSEC source: 0000018230-16-000748 · edgar.xml · derivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,595 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 $95.56 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 |
| November 18, 2016 Filed Nov 22, 2016 17:49 UTC |
RUST EDWARD B JRDirector
|
Exercise / conversionStock Appreciation Right · Derivative | 5,833 | $0.00 Strike: $63.04 | $0.00 |
DisclosureSEC source: 0000018230-16-000735 · edgar.xml · derivative · entry 3 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,833 shares Expires 2017-03-02 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 |
| November 18, 2016 Filed Nov 22, 2016 17:49 UTC |
RUST EDWARD B JRDirector
|
Disposition to issuerCommon Stock | 3,968 | $92.65 | $367,635.20 |
DisclosureSEC source: 0000018230-16-000735 · edgar.xml · nonDerivative · entry 2 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,693 Read SEC document |
| November 18, 2016 Filed Nov 22, 2016 17:49 UTC |
RUST EDWARD B JRDirector
|
Exercise / conversionCommon Stock | 5,833 | $63.04 | $367,712.32 |
DisclosureSEC source: 0000018230-16-000735 · edgar.xml · nonDerivative · entry 1 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,661 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 |
| November 14, 2016 Filed Nov 15, 2016 19:30 UTC |
Umpleby III Donald JGroup President
|
Exercise / conversionStock Appreciation Right · Derivative | 6,619 | $0.00 Strike: $22.17 | $0.00 |
DisclosureSEC source: 0000018230-16-000729 · edgar.xml · derivative · entry 9 Umpleby III Donald J · CIK 0001566320 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 6,619 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 |
| November 14, 2016 Filed Nov 15, 2016 19:30 UTC |
Umpleby III Donald JGroup President
|
Exercise / conversionStock Appreciation Right · Derivative | 4,661 | $0.00 Strike: $73.20 | $0.00 |
DisclosureSEC source: 0000018230-16-000729 · edgar.xml · derivative · entry 8 Umpleby III Donald J · CIK 0001566320 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,661 shares Expires 2018-03-02 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 |
| November 14, 2016 Filed Nov 15, 2016 19:30 UTC |
Umpleby III Donald JGroup President
|
Tax withholdingCommon Stock | 1,575 | $94.26 | $148,459.50 |
DisclosureSEC source: 0000018230-16-000729 · edgar.xml · nonDerivative · entry 6 Umpleby III Donald J · CIK 0001566320 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,522 Read SEC document |
| November 14, 2016 Filed Nov 15, 2016 19:30 UTC |
Umpleby III Donald JGroup President
|
Disposition to issuerCommon Stock | 1,556 | $94.26 | $146,668.56 |
DisclosureSEC source: 0000018230-16-000729 · edgar.xml · nonDerivative · entry 5 Umpleby III Donald J · CIK 0001566320 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,097 Read SEC document |
| November 14, 2016 Filed Nov 15, 2016 19:30 UTC |
Umpleby III Donald JGroup President
|
Exercise / conversionCommon Stock | 6,619 | $22.17 | $146,743.23 |
DisclosureSEC source: 0000018230-16-000729 · edgar.xml · nonDerivative · entry 4 Umpleby III Donald J · CIK 0001566320 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,653 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 14, 2016 Filed Nov 15, 2016 19:30 UTC |
Umpleby III Donald JGroup President
|
Tax withholdingCommon Stock | 324 | $94.26 | $30,540.24 |
DisclosureSEC source: 0000018230-16-000729 · edgar.xml · nonDerivative · entry 3 Umpleby III Donald J · CIK 0001566320 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,034 Read SEC document |
| November 14, 2016 Filed Nov 15, 2016 19:30 UTC |
Umpleby III Donald JGroup President
|
Disposition to issuerCommon Stock | 3,619 | $94.26 | $341,126.94 |
DisclosureSEC source: 0000018230-16-000729 · edgar.xml · nonDerivative · entry 2 Umpleby III Donald J · CIK 0001566320 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,358 Read SEC document |
| November 14, 2016 Filed Nov 15, 2016 19:30 UTC |
Umpleby III Donald JGroup President
|
Exercise / conversionCommon Stock | 4,661 | $73.20 | $341,185.20 |
DisclosureSEC source: 0000018230-16-000729 · edgar.xml · nonDerivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,977 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 10, 2016 Filed Nov 14, 2016 18:17 UTC |
OBERHELMAN DOUGLAS RCEO & Chairman of the Board
|
Exercise / conversionStock Appreciation Right · Derivative | 55,484 | $0.00 Strike: $73.20 | $0.00 |
DisclosureSEC source: 0000018230-16-000725 · edgar.xml · derivative · entry 5 OBERHELMAN DOUGLAS R · CIK 0001171770 · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,000 Underlying: Common Stock · 55,484 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 |
| November 10, 2016 Filed Nov 14, 2016 18:17 UTC |
OBERHELMAN DOUGLAS RCEO & Chairman of the Board
|
Tax withholdingCommon Stock | 5,483 | $93.40 | $512,112.20 |
DisclosureSEC source: 0000018230-16-000725 · edgar.xml · nonDerivative · entry 3 OBERHELMAN DOUGLAS R · CIK 0001171770 · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 197,109 Read SEC document |
| November 10, 2016 Filed Nov 14, 2016 18:17 UTC |
OBERHELMAN DOUGLAS RCEO & Chairman of the Board
|
Disposition to issuerCommon Stock | 43,486 | $93.40 | $4,061,592.40 |
DisclosureSEC source: 0000018230-16-000725 · edgar.xml · nonDerivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 202,592 Read SEC document |
| November 10, 2016 Filed Nov 14, 2016 18:17 UTC |
OBERHELMAN DOUGLAS RCEO & Chairman of the Board
|
Exercise / conversionCommon Stock | 55,484 | $73.20 | $4,061,428.80 |
DisclosureSEC source: 0000018230-16-000725 · edgar.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 246,078 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 10, 2016 Filed Nov 14, 2016 18:25 UTC |
DICKINSON DANIEL MDirector
|
Exercise / conversionStock Appreciation Right · Derivative | 2,916 | $0.00 Strike: $63.04 | $0.00 |
DisclosureSEC source: 0000018230-16-000727 · edgar.xml · derivative · entry 4 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,916 shares Expires 2017-03-02 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 |
| November 10, 2016 Filed Nov 14, 2016 18:25 UTC |
DICKINSON DANIEL MDirector
|
SaleCommon Stock | 950 | $93.52 | $88,844.00 |
DisclosureSEC source: 0000018230-16-000727 · edgar.xml · nonDerivative · entry 3 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,560 Read SEC document |
| November 10, 2016 Filed Nov 14, 2016 18:25 UTC |
DICKINSON DANIEL MDirector
|
Disposition to issuerCommon Stock | 1,966 | $93.49 | $183,801.34 |
DisclosureSEC source: 0000018230-16-000727 · edgar.xml · nonDerivative · entry 2 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,510 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.