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 |
|---|---|---|---|---|---|---|
| July 29, 2016 Filed Aug 2, 2016 22:18 UTC |
Copeland Jananne A.Chief Accounting Officer
|
Exercise / conversionCommon Stock | 2,935 | $63.04 | $185,022.40 |
DisclosureSEC source: 0000018230-16-000628 · edgar.xml · nonDerivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,439 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 28, 2016 Filed Aug 1, 2016 21:17 UTC |
Halverson Bradley MGroup President & CFO
|
Exercise / conversionStock Appreciation Right · Derivative | 9,449 | $0.00 Strike: $57.85 | $0.00 |
DisclosureSEC source: 0000018230-16-000613 · edgar.xml · derivative · entry 6 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 9,449 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 |
| July 28, 2016 Filed Aug 1, 2016 21:17 UTC |
Halverson Bradley MGroup President & CFO
|
SaleCommon Stock | 2,841 | $82.73 | $235,035.93 |
DisclosureSEC source: 0000018230-16-000613 · edgar.xml · nonDerivative · entry 3 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,783 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 $82.73 to $82.736, 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 28, 2016 Filed Aug 1, 2016 21:17 UTC |
Halverson Bradley MGroup President & CFO
|
Disposition to issuerCommon Stock | 6,608 | $82.71 | $546,547.68 |
DisclosureSEC source: 0000018230-16-000613 · edgar.xml · nonDerivative · entry 2 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,624 Read SEC document |
| July 28, 2016 Filed Aug 1, 2016 21:17 UTC |
Halverson Bradley MGroup President & CFO
|
Exercise / conversionCommon Stock | 9,449 | $57.85 | $546,624.65 |
DisclosureSEC source: 0000018230-16-000613 · edgar.xml · nonDerivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,232 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 22, 2016 Filed Aug 2, 2016 21:56 UTC |
OBERHELMAN DOUGLAS RCEO & Chairman of the Board
|
GiftCommon Stock | 1,800 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-16-000620 · 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: 196,639 Read SEC document |
| June 30, 2016 Filed Jul 1, 2016 20:28 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 53 | $75.81 | $4,017.93 |
DisclosureSEC source: 0000018230-16-000577 · edgar.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,411 Underlying: Common Stock · 53 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 47 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 $75.81 and 6 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's 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 |
| June 30, 2016 Filed Jul 1, 2016 20:38 UTC |
OBERHELMAN DOUGLAS RCEO & Chairman of the Board
|
GrantPhantom Stock Units · Derivative | 159 | $75.81 | $12,053.79 |
DisclosureSEC source: 0000018230-16-000579 · 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: 70,898 Underlying: Common Stock · 159 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 106 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $75.81and 53 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 |
| June 30, 2016 Filed Jul 1, 2016 20:51 UTC |
Halverson Bradley MGroup President & CFO
|
GrantPhantom Stock Units · Derivative | 78 | $75.81 | $5,913.18 |
DisclosureSEC source: 0000018230-16-000581 · edgar.xml · derivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,205 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 $75.81and 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 |
| June 30, 2016 Filed Jul 1, 2016 20:56 UTC |
Copeland Jananne A.Chief Accounting Officer
|
GrantPhantom Stock Units · Derivative | 34 | $75.81 | $2,577.54 |
DisclosureSEC source: 0000018230-16-000583 · edgar.xml · derivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,576 Underlying: Common Stock · 34 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 23 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $75.81 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 |
| June 30, 2016 Filed Jul 1, 2016 21:06 UTC |
BUDA JAMES BExecutive Vice President
|
GrantPhantom Stock Units · Derivative | 91 | $75.81 | $6,898.71 |
DisclosureSEC source: 0000018230-16-000585 · edgar.xml · derivative · entry 1 BUDA JAMES B · CIK 0001171771 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,191 Underlying: Common Stock · 91 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 61 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $75.81and 30 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's 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 |
| June 30, 2016 Filed Jul 1, 2016 21:13 UTC |
Bozeman David PSenior Vice President
|
GrantPhantom Stock Units · Derivative | 92 | $75.81 | $6,974.52 |
DisclosureSEC source: 0000018230-16-000587 · edgar.xml · derivative · entry 1 Bozeman David P · CIK 0001575959 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,557 Underlying: Common Stock · 92 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 46 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $75.81 and 46 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 |
| June 30, 2016 Filed Jul 5, 2016 17:44 UTC |
WHITE MILES DDirector
|
GrantPhantom Stock Units · Derivative | 567 | $74.91 | $42,473.97 |
DisclosureSEC source: 0000018230-16-000589 · edgar.xml · derivative · entry 1 WHITE MILES D · CIK 0001239129 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,095 Underlying: Common Stock · 567 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 |
| June 30, 2016 Filed Jul 5, 2016 18:13 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 584 | $74.91 | $43,747.44 |
DisclosureSEC source: 0000018230-16-000592 · edgar.xml · derivative · entry 1 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,879 Underlying: Common Stock · 584 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 |
| June 30, 2016 Filed Jul 5, 2016 18:17 UTC |
REED DEBRA LDirector
|
GrantPhantom Stock Units · Derivative | 501 | $74.91 | $37,529.91 |
DisclosureSEC source: 0000018230-16-000594 · edgar.xml · derivative · entry 1 REED DEBRA L · CIK 0001225947 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,351 Underlying: Common Stock · 501 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 |
| June 30, 2016 Filed Jul 5, 2016 18:54 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 501 | $74.91 | $37,529.91 |
DisclosureSEC source: 0000018230-16-000596 · edgar.xml · derivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,423 Underlying: Common Stock · 501 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 |
| June 30, 2016 Filed Jul 5, 2016 18:58 UTC |
DICKINSON DANIEL MDirector
|
GrantPhantom Stock Units · Derivative | 501 | $74.91 | $37,529.91 |
DisclosureSEC source: 0000018230-16-000598 · edgar.xml · derivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,176 Underlying: Common Stock · 501 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 |
| June 30, 2016 Filed Jul 5, 2016 19:02 UTC |
CALHOUN DAVID LDirector
|
GrantPhantom Stock Units · Derivative | 501 | $74.91 | $37,529.91 |
DisclosureSEC source: 0000018230-16-000600 · edgar.xml · derivative · entry 1 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,520 Underlying: Common Stock · 501 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 |
| June 30, 2016 Filed Jul 5, 2016 21:37 UTC |
SCHWAB SUSAN CDirector
|
GrantPhantom Stock Units · Derivative | 501 | $74.91 | $37,529.91 |
DisclosureSEC source: 0000018230-16-000604 · edgar.xml · derivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,434 Underlying: Common Stock · 501 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 |
| May 31, 2016 Filed Jun 2, 2016 20:46 UTC |
Halverson Bradley MGroup President & CFO
|
GrantPhantom Stock Units · Derivative | 78 | $72.51 | $5,655.78 |
DisclosureSEC source: 0000018230-16-000536 · edgar.xml · derivative · entry 4 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,127 Underlying: Common Stock · 78 shares Expires not disclosed F2 · derivative.exercise_price: Each phatom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F3 · 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 $72.51and 26 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 |
| May 31, 2016 Filed Jun 2, 2016 20:46 UTC |
Halverson Bradley MGroup President & CFO
|
SaleCommon Stock | 574 | $72.58 | $41,660.92 |
DisclosureSEC source: 0000018230-16-000536 · edgar.xml · nonDerivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,783 Read SEC document |
| May 31, 2016 Filed Jun 2, 2016 20:51 UTC |
OBERHELMAN DOUGLAS RCEO & Chairman of the Board
|
GrantPhantom Stock Units · Derivative | 165 | $72.51 | $11,964.15 |
DisclosureSEC source: 0000018230-16-000538 · 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: 70,739 Underlying: Common Stock · 165 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 110 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $72.51and 55 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 |
| May 31, 2016 Filed Jun 2, 2016 20:56 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 49 | $72.51 | $3,552.99 |
DisclosureSEC source: 0000018230-16-000540 · edgar.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 128 Underlying: Common Stock · 49 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 46 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $72.51and 3 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 |
| May 31, 2016 Filed Jun 2, 2016 20:59 UTC |
Copeland Jananne A.Chief Accounting Officer
|
GrantPhantom Stock Units · Derivative | 36 | $72.51 | $2,610.36 |
DisclosureSEC source: 0000018230-16-000542 · edgar.xml · derivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,542 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 24 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $72.51 and 12 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 |
| May 31, 2016 Filed Jun 2, 2016 21:03 UTC |
BUDA JAMES BExecutive Vice President
|
GrantPhantom Stock Units · Derivative | 96 | $72.51 | $6,960.96 |
DisclosureSEC source: 0000018230-16-000544 · edgar.xml · derivative · entry 1 BUDA JAMES B · CIK 0001171771 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,100 Underlying: Common Stock · 96 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 64 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $72.51and 32 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's 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 |
| May 31, 2016 Filed Jun 2, 2016 21:08 UTC |
Bozeman David PSenior Vice President
|
GrantPhantom Stock Units · Derivative | 44 | $72.51 | $3,190.44 |
DisclosureSEC source: 0000018230-16-000546 · edgar.xml · derivative · entry 1 Bozeman David P · CIK 0001575959 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,624 Underlying: Common Stock · 44 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 $72.51 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 |
| May 09, 2016 Filed May 9, 2016 21:41 UTC |
Muilenburg Dennis ADirector
|
PurchaseCommon Stock | 1,128 | $71.01 | $80,099.28 |
DisclosureSEC source: 0000018230-16-000529 · edgar.xml · nonDerivative · entry 1 Muilenburg Dennis A · CIK 0001471763 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,628 F1 · price: The purchase price reported in Column 4 is a weighted average purchase price. The corresponding shares were purchased in multiple transactions at prices ranging from $71.01 to $71.02, 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 |
| May 03, 2016 Filed May 3, 2016 23:24 UTC |
Halverson Bradley MGroup President & CFO
|
SaleCommon Stock | 694 | $76.53 | $53,111.82 |
DisclosureSEC source: 0000018230-16-000514 · edgar.xml · nonDerivative · entry 3 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,357 Read SEC document |
| May 03, 2016 Filed May 3, 2016 23:29 UTC |
OBERHELMAN DOUGLAS RCEO & Chairman of the Board
|
GiftCommon Stock | 67 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-16-000516 · 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: 198,439 Read SEC document |
| May 02, 2016 Filed May 3, 2016 23:44 UTC |
Bozeman David PSenior Vice President
|
Tax withholdingCommon Stock | 52 | $77.35 | $4,022.20 |
DisclosureSEC source: 0000018230-16-000522 · edgar.xml · nonDerivative · entry 1 Bozeman David P · CIK 0001575959 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,260 F1 · shares: Represents shares withheld from the reporting person solely to satisfy tax obligations arising from the vesting of restricted stock units granted on 05/02/2011, of which one-third vested on 05/02/2016. F2 · balance_after: The number of shares in this column has been adjusted from the reporting person's previous Form 4 to account for dividend reinvestment. Read SEC document |
| May 01, 2016 Filed May 3, 2016 23:24 UTC |
Halverson Bradley MGroup President & CFO
|
Tax withholdingCommon Stock | 260 | $77.35 | $20,111.00 |
DisclosureSEC source: 0000018230-16-000514 · edgar.xml · nonDerivative · entry 2 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,051 F1 · shares: Represents shares withheld from the reporting person solely to satisfy tax obligations arising from the vesting of restricted stock units granted on 05/01/2012, of which one-third vested on 05/01/2016. Read SEC document |
| May 01, 2016 Filed May 3, 2016 23:49 UTC |
Umpleby III Donald JGroup President
|
Tax withholdingCommon Stock | 260 | $77.35 | $20,111.00 |
DisclosureSEC source: 0000018230-16-000524 · edgar.xml · nonDerivative · entry 4 Umpleby III Donald J · CIK 0001566320 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,316 F1 · shares: Represents shares withheld from the reporting person solely to satisfy tax obligations arising from the vesting of restricted stock units granted on 05/01/2012, of which one-third vested on 05/01/2016. Read SEC document |
| May 01, 2016 Filed May 4, 2016 00:04 UTC |
BUDA JAMES BExecutive Vice President
|
Tax withholdingCommon Stock | 519 | $77.35 | $40,144.65 |
DisclosureSEC source: 0000018230-16-000527 · edgar.xml · nonDerivative · entry 1 BUDA JAMES B · CIK 0001171771 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,881 F1 · shares: Represents shares withheld from the reporting person solely to satisfy tax obligations arising from the vesting of restricted stock units granted on 05/01/2012, of which one-third vested on 05/01/2016. F2 · balance_after: The number of shares in this column has been adjusted from the reporting person's previous Form 4 to account for dividend reinvestment. Read SEC document |
| April 29, 2016 Filed May 3, 2016 23:24 UTC |
Halverson Bradley MGroup President & CFO
|
SaleCommon Stock | 184 | $78.08 | $14,366.72 |
DisclosureSEC source: 0000018230-16-000514 · edgar.xml · nonDerivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Mindy Halverson Trust Disclosed balance after: 17,296 Read SEC document |
| April 29, 2016 Filed May 3, 2016 23:29 UTC |
OBERHELMAN DOUGLAS RCEO & Chairman of the Board
|
GrantPhantom Stock Units · Derivative | 154 | $77.72 | $11,968.88 |
DisclosureSEC source: 0000018230-16-000516 · edgar.xml · derivative · entry 4 OBERHELMAN DOUGLAS R · CIK 0001171770 · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,574 Underlying: Common Stock · 154 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 103 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $77.72 and 51 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 |
| April 29, 2016 Filed May 3, 2016 23:34 UTC |
Copeland Jananne A.Chief Accounting Officer
|
GrantPhantom Stock Units · Derivative | 5 | $77.72 | $388.60 |
DisclosureSEC source: 0000018230-16-000518 · edgar.xml · derivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,506 Underlying: Common Stock · 5 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 3 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $77.72 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 |
| April 29, 2016 Filed May 3, 2016 23:39 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 46 | $77.72 | $3,575.12 |
DisclosureSEC source: 0000018230-16-000520 · edgar.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 79 Underlying: Common Stock · 46 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 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 $77.72 and 3 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 29, 2016 Filed May 3, 2016 23:49 UTC |
Umpleby III Donald JGroup President
|
Exercise / conversionStock Appreciation Right · Derivative | 2,141 | $0.00 Strike: $63.04 | $0.00 |
DisclosureSEC source: 0000018230-16-000524 · edgar.xml · derivative · entry 6 Umpleby III Donald J · CIK 0001566320 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,141 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 |
| April 29, 2016 Filed May 3, 2016 23:49 UTC |
Umpleby III Donald JGroup President
|
Tax withholdingCommon Stock | 129 | $78.16 | $10,082.64 |
DisclosureSEC source: 0000018230-16-000524 · edgar.xml · nonDerivative · entry 3 Umpleby III Donald J · CIK 0001566320 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,576 Read SEC document |
| April 29, 2016 Filed May 3, 2016 23:49 UTC |
Umpleby III Donald JGroup President
|
Disposition to issuerCommon Stock | 1,726 | $78.16 | $134,904.16 |
DisclosureSEC source: 0000018230-16-000524 · edgar.xml · nonDerivative · entry 2 Umpleby III Donald J · CIK 0001566320 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,705 Read SEC document |
| April 29, 2016 Filed May 3, 2016 23:49 UTC |
Umpleby III Donald JGroup President
|
Exercise / conversionCommon Stock | 2,141 | $63.04 | $134,968.64 |
DisclosureSEC source: 0000018230-16-000524 · edgar.xml · nonDerivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,431 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 29, 2016 Filed May 4, 2016 00:04 UTC |
BUDA JAMES BExecutive Vice President
|
GrantPhantom Stock Units · Derivative | 50 | $77.72 | $3,886.00 |
DisclosureSEC source: 0000018230-16-000527 · edgar.xml · derivative · entry 3 BUDA JAMES B · CIK 0001171771 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,004 Underlying: Common Stock · 50 shares Expires not disclosed F4 · derivative.exercise_price: Each phatom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F5 · shares: This total includes 33 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $77.72 and 17 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F6 · 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. F6 · 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 27, 2016 Filed Apr 28, 2016 19:49 UTC |
RUST EDWARD B JRDirector
|
Exercise / conversionStock Appreciation Right · Derivative | 7,000 | $0.00 Strike: $66.77 | $0.00 |
DisclosureSEC source: 0000018230-16-000507 · 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 · 7,000 shares Expires 2016-06-14 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 27, 2016 Filed Apr 28, 2016 19:49 UTC |
RUST EDWARD B JRDirector
|
Disposition to issuerCommon Stock | 5,972 | $78.25 | $467,309.00 |
DisclosureSEC source: 0000018230-16-000507 · edgar.xml · nonDerivative · entry 2 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,828 Read SEC document |
| April 27, 2016 Filed Apr 28, 2016 19:49 UTC |
RUST EDWARD B JRDirector
|
Exercise / conversionCommon Stock | 7,000 | $66.77 | $467,390.00 |
DisclosureSEC source: 0000018230-16-000507 · edgar.xml · nonDerivative · entry 1 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,800 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 26, 2016 Filed Apr 28, 2016 19:52 UTC |
CALHOUN DAVID LDirector
|
PurchaseCommon Stock | 25,000 | $77.44 | $1,936,000.00 |
DisclosureSEC source: 0000018230-16-000509 · edgar.xml · nonDerivative · entry 1 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,129 F1 · price: The purchase price reported in Column 4 is a weighted average purchase price. The corresponding shares were purchased in multiple transactions at prices ranging from $77.22 to $77.655, 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 regarding the number of shares purchased at each separate price within the range set forth herein. Read SEC document |
| April 22, 2016 Filed Apr 26, 2016 20:46 UTC |
GALLARDO JUANDirector
|
Exercise / conversionStock Appreciation Right · Derivative | 7,000 | $0.00 Strike: $66.77 | $0.00 |
DisclosureSEC source: 0000018230-16-000505 · edgar.xml · derivative · entry 4 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,000 shares Expires 2016-06-14 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 22, 2016 Filed Apr 26, 2016 20:46 UTC |
GALLARDO JUANDirector
|
Tax withholdingCommon Stock | 307 | $78.19 | $24,004.33 |
DisclosureSEC source: 0000018230-16-000505 · edgar.xml · nonDerivative · entry 3 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 270,188 Read SEC document |
| April 22, 2016 Filed Apr 26, 2016 20:46 UTC |
GALLARDO JUANDirector
|
Disposition to issuerCommon Stock | 5,977 | $78.19 | $467,341.63 |
DisclosureSEC source: 0000018230-16-000505 · edgar.xml · nonDerivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 270,495 Read SEC document |
| April 22, 2016 Filed Apr 26, 2016 20:46 UTC |
GALLARDO JUANDirector
|
Exercise / conversionCommon Stock | 7,000 | $66.77 | $467,390.00 |
DisclosureSEC source: 0000018230-16-000505 · edgar.xml · nonDerivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 276,472 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.