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 |
|---|---|---|---|---|---|---|
| November 10, 2016 Filed Nov 14, 2016 18:25 UTC |
DICKINSON DANIEL MDirector
|
Exercise / conversionCommon Stock | 2,916 | $63.04 | $183,824.64 |
DisclosureSEC source: 0000018230-16-000727 · edgar.xml · nonDerivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,476 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 09, 2016 Filed Nov 14, 2016 18:08 UTC |
Copeland Jananne A.Chief Accounting Officer
|
Exercise / conversionStock Appreciation Right · Derivative | 5,408 | $0.00 Strike: $22.17 | $0.00 |
DisclosureSEC source: 0000018230-16-000723 · edgar.xml · derivative · entry 9 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,408 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 09, 2016 Filed Nov 14, 2016 18:08 UTC |
Copeland Jananne A.Chief Accounting Officer
|
Exercise / conversionStock Appreciation Right · Derivative | 3,886 | $0.00 Strike: $73.20 | $0.00 |
DisclosureSEC source: 0000018230-16-000723 · edgar.xml · derivative · entry 8 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,886 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 09, 2016 Filed Nov 14, 2016 18:08 UTC |
Copeland Jananne A.Chief Accounting Officer
|
SaleCommon Stock | 4,093 | $91.22 | $373,363.46 |
DisclosureSEC source: 0000018230-16-000723 · edgar.xml · nonDerivative · entry 6 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,504 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 $91.22 to $91.225, inclusive. The reporting person undertakes to provide Caterpillar Inc., any security holder of Caterpillar Inc., or the staff of the Securities and Exchange Commission, upon request, full information. Read SEC document |
| November 09, 2016 Filed Nov 14, 2016 18:08 UTC |
Copeland Jananne A.Chief Accounting Officer
|
Disposition to issuerCommon Stock | 1,315 | $91.17 | $119,888.55 |
DisclosureSEC source: 0000018230-16-000723 · edgar.xml · nonDerivative · entry 5 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,597 Read SEC document |
| November 09, 2016 Filed Nov 14, 2016 18:08 UTC |
Copeland Jananne A.Chief Accounting Officer
|
Exercise / conversionCommon Stock | 5,408 | $22.17 | $119,895.36 |
DisclosureSEC source: 0000018230-16-000723 · edgar.xml · nonDerivative · entry 4 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,912 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 09, 2016 Filed Nov 14, 2016 18:08 UTC |
Copeland Jananne A.Chief Accounting Officer
|
SaleCommon Stock | 766 | $91.22 | $69,874.52 |
DisclosureSEC source: 0000018230-16-000723 · edgar.xml · nonDerivative · entry 3 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,504 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 $91.22 to $91.225, inclusive. The reporting person undertakes to provide Caterpillar Inc., any security holder of Caterpillar Inc., or the staff of the Securities and Exchange Commission, upon request, full information. Read SEC document |
| November 09, 2016 Filed Nov 14, 2016 18:08 UTC |
Copeland Jananne A.Chief Accounting Officer
|
Disposition to issuerCommon Stock | 3,120 | $91.17 | $284,450.40 |
DisclosureSEC source: 0000018230-16-000723 · edgar.xml · nonDerivative · entry 2 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,270 Read SEC document |
| November 09, 2016 Filed Nov 14, 2016 18:08 UTC |
Copeland Jananne A.Chief Accounting Officer
|
Exercise / conversionCommon Stock | 3,886 | $73.20 | $284,455.20 |
DisclosureSEC source: 0000018230-16-000723 · edgar.xml · nonDerivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,390 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| October 31, 2016 Filed Nov 1, 2016 21:08 UTC |
Copeland Jananne A.Chief Accounting Officer
|
GrantPhantom Stock Units · Derivative | 31 | $83.46 | $2,587.26 |
DisclosureSEC source: 0000018230-16-000705 · edgar.xml · derivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,699 Underlying: Common Stock · 31 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 21 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $83.46 and 10 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| October 31, 2016 Filed Nov 1, 2016 21:11 UTC |
OBERHELMAN DOUGLAS RCEO & Chairman of the Board
|
GrantPhantom Stock Units · Derivative | 144 | $83.46 | $12,018.24 |
DisclosureSEC source: 0000018230-16-000707 · 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: 71,469 Underlying: Common Stock · 144 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 96 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $83.46 and 48 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| October 31, 2016 Filed Nov 1, 2016 21:15 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 116 | $83.46 | $9,681.36 |
DisclosureSEC source: 0000018230-16-000709 · edgar.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,872 Underlying: Common Stock · 116 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 77 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $83.46 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 retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| October 31, 2016 Filed Nov 1, 2016 21:19 UTC |
Halverson Bradley MGroup President & CFO
|
GrantPhantom Stock Units · Derivative | 71 | $83.46 | $5,925.66 |
DisclosureSEC source: 0000018230-16-000711 · edgar.xml · derivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,486 Underlying: Common Stock · 71 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 47 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $83.46 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 |
| October 31, 2016 Filed Nov 1, 2016 21:27 UTC |
BUDA JAMES BExecutive Vice President
|
GrantPhantom Stock Units · Derivative | 83 | $83.46 | $6,927.18 |
DisclosureSEC source: 0000018230-16-000713 · edgar.xml · derivative · entry 1 BUDA JAMES B · CIK 0001171771 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,520 Underlying: Common Stock · 83 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 55 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $83.46 and 28 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 |
| September 30, 2016 Filed Oct 4, 2016 21:14 UTC |
WHITE MILES DDirector
|
GrantPhantom Stock Units · Derivative | 481 | $88.40 | $42,520.40 |
DisclosureSEC source: 0000018230-16-000660 · edgar.xml · derivative · entry 1 WHITE MILES D · CIK 0001239129 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,623 Underlying: Common Stock · 481 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| September 30, 2016 Filed Oct 4, 2016 21:19 UTC |
SCHWAB SUSAN CDirector
|
GrantPhantom Stock Units · Derivative | 424 | $88.40 | $37,481.60 |
DisclosureSEC source: 0000018230-16-000662 · edgar.xml · derivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,936 Underlying: Common Stock · 424 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| September 30, 2016 Filed Oct 4, 2016 21:26 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 495 | $88.40 | $43,758.00 |
DisclosureSEC source: 0000018230-16-000665 · edgar.xml · derivative · entry 1 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,659 Underlying: Common Stock · 495 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 |
| September 30, 2016 Filed Oct 4, 2016 21:31 UTC |
REED DEBRA LDirector
|
GrantPhantom Stock Units · Derivative | 424 | $88.40 | $37,481.60 |
DisclosureSEC source: 0000018230-16-000667 · edgar.xml · derivative · entry 1 REED DEBRA L · CIK 0001225947 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,797 Underlying: Common Stock · 424 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| September 30, 2016 Filed Oct 4, 2016 21:34 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 424 | $88.40 | $37,481.60 |
DisclosureSEC source: 0000018230-16-000669 · edgar.xml · derivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,073 Underlying: Common Stock · 424 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 |
| September 30, 2016 Filed Oct 4, 2016 21:38 UTC |
DICKINSON DANIEL MDirector
|
GrantPhantom Stock Units · Derivative | 424 | $88.40 | $37,481.60 |
DisclosureSEC source: 0000018230-16-000671 · edgar.xml · derivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,814 Underlying: Common Stock · 424 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| September 30, 2016 Filed Oct 4, 2016 21:43 UTC |
CALHOUN DAVID LDirector
|
GrantPhantom Stock Units · Derivative | 424 | $88.40 | $37,481.60 |
DisclosureSEC source: 0000018230-16-000673 · edgar.xml · derivative · entry 3 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,032 Underlying: Common Stock · 424 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 |
| September 30, 2016 Filed Oct 4, 2016 21:51 UTC |
OBERHELMAN DOUGLAS RCEO & Chairman of the Board
|
GrantPhantom Stock Units · Derivative | 135 | $88.77 | $11,983.95 |
DisclosureSEC source: 0000018230-16-000675 · edgar.xml · derivative · entry 3 OBERHELMAN DOUGLAS R · CIK 0001171770 · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,325 Underlying: Common Stock · 135 shares Expires not disclosed F2 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F3 · shares: This total includes 90 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $88.77 and 45 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F4 · 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. F4 · 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 |
| September 30, 2016 Filed Oct 4, 2016 21:55 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 109 | $88.77 | $9,675.93 |
DisclosureSEC source: 0000018230-16-000677 · edgar.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,756 Underlying: Common Stock · 109 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 72 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $88.77 and 37 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 |
| September 30, 2016 Filed Oct 4, 2016 21:58 UTC |
Halverson Bradley MGroup President & CFO
|
GrantPhantom Stock Units · Derivative | 66 | $88.77 | $5,858.82 |
DisclosureSEC source: 0000018230-16-000679 · edgar.xml · derivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,415 Underlying: Common Stock · 66 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 44 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $88.77 and 22 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 |
| September 30, 2016 Filed Oct 4, 2016 22:02 UTC |
Copeland Jananne A.Chief Accounting Officer
|
GrantPhantom Stock Units · Derivative | 29 | $88.77 | $2,574.33 |
DisclosureSEC source: 0000018230-16-000681 · edgar.xml · derivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,668 Underlying: Common Stock · 29 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 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 $88.77 and 10 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 |
| September 30, 2016 Filed Oct 4, 2016 22:05 UTC |
BUDA JAMES BExecutive Vice President
|
GrantPhantom Stock Units · Derivative | 78 | $88.77 | $6,924.06 |
DisclosureSEC source: 0000018230-16-000683 · edgar.xml · derivative · entry 1 BUDA JAMES B · CIK 0001171771 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,437 Underlying: Common Stock · 78 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 52 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $88.77and 26 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 |
| September 30, 2016 Filed Oct 4, 2016 22:09 UTC |
Bozeman David PSenior Vice President
|
GrantPhantom Stock Units · Derivative | 78 | $88.77 | $6,924.06 |
DisclosureSEC source: 0000018230-16-000685 · edgar.xml · derivative · entry 1 Bozeman David P · CIK 0001575959 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,805 Underlying: Common Stock · 78 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 39 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $88.77 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 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 |
| September 02, 2016 Filed Oct 4, 2016 21:51 UTC |
OBERHELMAN DOUGLAS RCEO & Chairman of the Board
|
GiftCommon Stock | 6,013 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-16-000675 · 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: 190,594 Read SEC document |
| September 01, 2016 Filed Sep 6, 2016 22:40 UTC |
Johnson Denise CGroup President
|
Tax withholdingCommon Stock | 285 | $81.29 | $23,167.65 |
DisclosureSEC source: 0000018230-16-000653 · edgar.xml · nonDerivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,682 F1 · shares: Represents shares withheld from the reporting person solely to satisfy tax obligations arising from the vesting of restricted stock units granted on 09/01/2011. Read SEC document |
| August 31, 2016 Filed Sep 2, 2016 15:19 UTC |
Bozeman David PSenior Vice President
|
GrantPhantom Stock Units · Derivative | 86 | $81.95 | $7,047.70 |
DisclosureSEC source: 0000018230-16-000636 · edgar.xml · derivative · entry 1 Bozeman David P · CIK 0001575959 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,727 Underlying: Common Stock · 86 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 43 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $81.95 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 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 |
| August 31, 2016 Filed Sep 2, 2016 15:25 UTC |
BUDA JAMES BExecutive Vice President
|
GrantPhantom Stock Units · Derivative | 84 | $81.95 | $6,883.80 |
DisclosureSEC source: 0000018230-16-000638 · edgar.xml · derivative · entry 1 BUDA JAMES B · CIK 0001171771 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,359 Underlying: Common Stock · 84 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 56 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $81.95 and 28 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 |
| August 31, 2016 Filed Sep 2, 2016 15:29 UTC |
Copeland Jananne A.Chief Accounting Officer
|
GrantPhantom Stock Units · Derivative | 32 | $81.95 | $2,622.40 |
DisclosureSEC source: 0000018230-16-000641 · edgar.xml · derivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,639 Underlying: Common Stock · 32 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 21 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $81.95 and 11shares 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 |
| August 31, 2016 Filed Sep 2, 2016 15:35 UTC |
Halverson Bradley MGroup President & CFO
|
GrantPhantom Stock Units · Derivative | 72 | $81.95 | $5,900.40 |
DisclosureSEC source: 0000018230-16-000644 · edgar.xml · derivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,349 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 $81.95 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 |
| August 31, 2016 Filed Sep 2, 2016 15:41 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 118 | $81.95 | $9,670.10 |
DisclosureSEC source: 0000018230-16-000646 · edgar.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,647 Underlying: Common Stock · 118 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 Caterpillar Inc. Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $81.95and 40 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 |
| August 31, 2016 Filed Sep 2, 2016 15:51 UTC |
OBERHELMAN DOUGLAS RCEO & Chairman of the Board
|
GrantPhantom Stock Units · Derivative | 147 | $81.95 | $12,046.65 |
DisclosureSEC source: 0000018230-16-000649 · edgar.xml · derivative · entry 3 OBERHELMAN DOUGLAS R · CIK 0001171770 · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,190 Underlying: Common Stock · 147 shares Expires not disclosed F2 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F3 · shares: This total includes 98 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $81.95 and 49 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F4 · 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. F4 · 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 |
| August 09, 2016 Filed Sep 2, 2016 15:51 UTC |
OBERHELMAN DOUGLAS RCEO & Chairman of the Board
|
GiftCommon Stock | 32 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-16-000649 · 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: 196,607 Read SEC document |
| July 29, 2016 Filed Aug 1, 2016 21:17 UTC |
Halverson Bradley MGroup President & CFO
|
GrantPhantom Stock Units · Derivative | 72 | $82.76 | $5,958.72 |
DisclosureSEC source: 0000018230-16-000613 · edgar.xml · derivative · entry 7 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,277 Underlying: Common Stock · 72 shares Expires not disclosed F3 · derivative.exercise_price: Each phatom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F4 · 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 $82.76 and 24 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F5 · derivative.exercise_date: The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F5 · derivative.expiration_date: The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| July 29, 2016 Filed Aug 2, 2016 21:48 UTC |
Bozeman David PSenior Vice President
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GrantPhantom Stock Units · Derivative | 84 | $82.76 | $6,951.84 |
DisclosureSEC source: 0000018230-16-000617 · edgar.xml · derivative · entry 1 Bozeman David P · CIK 0001575959 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,641 Underlying: Common Stock · 84 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 $82.76 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 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 |
| July 29, 2016 Filed Aug 2, 2016 21:56 UTC |
OBERHELMAN DOUGLAS RCEO & Chairman of the Board
|
GrantPhantom Stock Units · Derivative | 145 | $82.76 | $12,000.20 |
DisclosureSEC source: 0000018230-16-000620 · edgar.xml · derivative · entry 3 OBERHELMAN DOUGLAS R · CIK 0001171770 · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,043 Underlying: Common Stock · 145 shares Expires not disclosed F2 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F3 · shares: This total includes 97 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $82.76 and 48 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F4 · 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. F4 · 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 |
| July 29, 2016 Filed Aug 2, 2016 21:51 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 118 | $82.76 | $9,765.68 |
DisclosureSEC source: 0000018230-16-000618 · edgar.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,529 Underlying: Common Stock · 118 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 Caterpillar Inc. Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $82.76 and 40 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 |
| July 29, 2016 Filed Aug 2, 2016 22:01 UTC |
Muilenburg Dennis ADirector
|
PurchaseCommon Stock | 1,930 | $82.75 | $159,707.50 |
DisclosureSEC source: 0000018230-16-000622 · edgar.xml · nonDerivative · entry 1 Muilenburg Dennis A · CIK 0001471763 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,558 Read SEC document |
| July 29, 2016 Filed Aug 2, 2016 22:05 UTC |
BUDA JAMES BExecutive Vice President
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GrantPhantom Stock Units · Derivative | 84 | $82.76 | $6,951.84 |
DisclosureSEC source: 0000018230-16-000624 · edgar.xml · derivative · entry 1 BUDA JAMES B · CIK 0001171771 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,275 Underlying: Common Stock · 84 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 56 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $82.76 and 28 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 |
| July 29, 2016 Filed Aug 2, 2016 22:11 UTC |
Pellette Thomas AGroup President
|
Exercise / conversionStock Appreciation Right · Derivative | 2,290 | $0.00 Strike: $63.04 | $0.00 |
DisclosureSEC source: 0000018230-16-000626 · 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 · 2,290 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 |
| July 29, 2016 Filed Aug 2, 2016 22:11 UTC |
Pellette Thomas AGroup President
|
Tax withholdingCommon Stock | 169 | $82.64 | $13,966.16 |
DisclosureSEC source: 0000018230-16-000626 · edgar.xml · nonDerivative · entry 3 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,444 Read SEC document |
| July 29, 2016 Filed Aug 2, 2016 22:11 UTC |
Pellette Thomas AGroup President
|
Disposition to issuerCommon Stock | 1,746 | $82.64 | $144,289.44 |
DisclosureSEC source: 0000018230-16-000626 · edgar.xml · nonDerivative · entry 2 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,613 Read SEC document |
| July 29, 2016 Filed Aug 2, 2016 22:11 UTC |
Pellette Thomas AGroup President
|
Exercise / conversionCommon Stock | 2,290 | $63.04 | $144,361.60 |
DisclosureSEC source: 0000018230-16-000626 · edgar.xml · nonDerivative · entry 1 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,359 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 29, 2016 Filed Aug 2, 2016 22:18 UTC |
Copeland Jananne A.Chief Accounting Officer
|
GrantPhantom Stock Units · Derivative | 31 | $82.76 | $2,565.56 |
DisclosureSEC source: 0000018230-16-000628 · edgar.xml · derivative · entry 6 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,607 Underlying: Common Stock · 31 shares Expires not disclosed F3 · derivative.exercise_price: Each phatom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F4 · shares: This total includes 21 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $82.76 and 10 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F5 · derivative.exercise_date: The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F5 · derivative.expiration_date: The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| July 29, 2016 Filed Aug 2, 2016 22:18 UTC |
Copeland Jananne A.Chief Accounting Officer
|
Exercise / conversionStock Appreciation Right · Derivative | 2,935 | $0.00 Strike: $63.04 | $0.00 |
DisclosureSEC source: 0000018230-16-000628 · edgar.xml · derivative · entry 5 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,935 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 |
| July 29, 2016 Filed Aug 2, 2016 22:18 UTC |
Copeland Jananne A.Chief Accounting Officer
|
SaleCommon Stock | 706 | $82.95 | $58,562.70 |
DisclosureSEC source: 0000018230-16-000628 · edgar.xml · nonDerivative · entry 3 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,504 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 $82.95 to $82.96, inclusive. The reporting person undertakes to provide to Caterpillar Inc., any security holder of Caterpillar Inc., or the staff of Securities and Exchange Commission, upon request, full information. Read SEC document |
| July 29, 2016 Filed Aug 2, 2016 22:18 UTC |
Copeland Jananne A.Chief Accounting Officer
|
Disposition to issuerCommon Stock | 2,229 | $82.97 | $184,940.13 |
DisclosureSEC source: 0000018230-16-000628 · edgar.xml · nonDerivative · entry 2 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,210 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.