Last 12 months
Inside the activity.
2 purchase rows · 91 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 1 | 16 |
| Dec 2025 | 0 | 14 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 21 |
| Mar 2026 | 0 | 5 |
| Apr 2026 | 0 | 0 |
| May 2026 | 1 | 21 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 14 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| April 06, 2016 Filed May 3, 2016 23:29 UTC |
OBERHELMAN DOUGLAS RCEO & Chairman of the Board
|
GiftCommon Stock | 133 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-16-000516 · 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: 198,506 Read SEC document |
| March 31, 2016 Filed Apr 4, 2016 21:31 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
GrantPhantom Stock Units · Derivative | 157 | $76.54 | $12,016.78 |
DisclosureSEC source: 0000018230-16-000479 · edgar.xml · derivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,420 Underlying: Common Stock · 157 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 105 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") at a price per share of $76.54 and 52 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| March 31, 2016 Filed Apr 4, 2016 21:35 UTC |
CALHOUN DAVID LDirector
|
GrantPhantom Stock Units · Derivative | 489 | $76.69 | $37,501.41 |
DisclosureSEC source: 0000018230-16-000481 · edgar.xml · derivative · entry 1 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,922 Underlying: Common Stock · 489 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 |
| March 31, 2016 Filed Apr 4, 2016 21:40 UTC |
DICKINSON DANIEL MDirector
|
GrantPhantom Stock Units · Derivative | 489 | $76.69 | $37,501.41 |
DisclosureSEC source: 0000018230-16-000483 · edgar.xml · derivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,430 Underlying: Common Stock · 489 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 |
| March 31, 2016 Filed Apr 4, 2016 21:45 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 489 | $76.69 | $37,501.41 |
DisclosureSEC source: 0000018230-16-000485 · edgar.xml · derivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,664 Underlying: Common Stock · 489 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 |
| March 31, 2016 Filed Apr 4, 2016 21:49 UTC |
REED DEBRA LDirector
|
GrantPhantom Stock Units · Derivative | 489 | $76.69 | $37,501.41 |
DisclosureSEC source: 0000018230-16-000487 · edgar.xml · derivative · entry 1 REED DEBRA L · CIK 0001225947 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,830 Underlying: Common Stock · 489 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 |
| March 31, 2016 Filed Apr 4, 2016 21:53 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 571 | $76.69 | $43,789.99 |
DisclosureSEC source: 0000018230-16-000489 · edgar.xml · derivative · entry 1 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,967 Underlying: Common Stock · 571 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 |
| March 31, 2016 Filed Apr 4, 2016 21:56 UTC |
SCHWAB SUSAN CDirector
|
GrantPhantom Stock Units · Derivative | 489 | $76.69 | $37,501.41 |
DisclosureSEC source: 0000018230-16-000491 · edgar.xml · derivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,847 Underlying: Common Stock · 489 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 |
| March 31, 2016 Filed Apr 4, 2016 21:59 UTC |
WHITE MILES DDirector
|
GrantPhantom Stock Units · Derivative | 554 | $76.69 | $42,486.26 |
DisclosureSEC source: 0000018230-16-000493 · edgar.xml · derivative · entry 1 WHITE MILES D · CIK 0001239129 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,479 Underlying: Common Stock · 554 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 |
| March 31, 2016 Filed Apr 4, 2016 22:10 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 33 | $76.54 | $2,525.82 |
DisclosureSEC source: 0000018230-16-000495 · edgar.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33 Underlying: Common Stock · 33 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 31 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") at a price per share of $76.54 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 |
| March 18, 2016 Filed Mar 22, 2016 17:28 UTC |
Umpleby III Donald JGroup President
|
Exercise / conversionStock Appreciation Right · Derivative | 1,200 | $0.00 Strike: $63.04 | $0.00 |
DisclosureSEC source: 0000018230-16-000475 · edgar.xml · derivative · entry 5 Umpleby III Donald J · CIK 0001566320 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,141 Underlying: Common Stock · 1,200 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 |
| March 18, 2016 Filed Mar 22, 2016 17:28 UTC |
Umpleby III Donald JGroup President
|
Tax withholdingCommon Stock | 63 | $75.79 | $4,774.77 |
DisclosureSEC source: 0000018230-16-000475 · edgar.xml · nonDerivative · entry 3 Umpleby III Donald J · CIK 0001566320 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,290 F1 · 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 |
| March 18, 2016 Filed Mar 22, 2016 17:28 UTC |
Umpleby III Donald JGroup President
|
Disposition to issuerCommon Stock | 998 | $75.79 | $75,638.42 |
DisclosureSEC source: 0000018230-16-000475 · edgar.xml · nonDerivative · entry 2 Umpleby III Donald J · CIK 0001566320 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,353 Read SEC document |
| March 18, 2016 Filed Mar 22, 2016 17:28 UTC |
Umpleby III Donald JGroup President
|
Exercise / conversionCommon Stock | 1,200 | $63.04 | $75,648.00 |
DisclosureSEC source: 0000018230-16-000475 · edgar.xml · nonDerivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,351 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 |
| March 18, 2016 Filed Mar 22, 2016 17:40 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
Exercise / conversionStock Appreciation Right · Derivative | 50,884 | $0.00 Strike: $63.04 | $0.00 |
DisclosureSEC source: 0000018230-16-000477 · edgar.xml · derivative · entry 6 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 50,884 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 |
| March 18, 2016 Filed Mar 22, 2016 17:40 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
GiftCommon Stock | 1,847 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-16-000477 · edgar.xml · nonDerivative · entry 4 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 198,639 Read SEC document |
| March 18, 2016 Filed Mar 22, 2016 17:40 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
Tax withholdingCommon Stock | 3,912 | $75.79 | $296,490.48 |
DisclosureSEC source: 0000018230-16-000477 · edgar.xml · nonDerivative · entry 3 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,486 Read SEC document |
| March 18, 2016 Filed Mar 22, 2016 17:40 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
Disposition to issuerCommon Stock | 42,323 | $75.79 | $3,207,660.17 |
DisclosureSEC source: 0000018230-16-000477 · edgar.xml · nonDerivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 204,398 Read SEC document |
| March 18, 2016 Filed Mar 22, 2016 17:40 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
Exercise / conversionCommon Stock | 50,884 | $63.04 | $3,207,727.36 |
DisclosureSEC source: 0000018230-16-000477 · edgar.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 246,721 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 |
| March 07, 2016 Filed Mar 9, 2016 00:01 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
GrantEmployee Stock Option · Derivative | 349,749 | $0.00 Strike: $74.77 | $0.00 |
DisclosureSEC source: 0000018230-16-000425 · edgar.xml · derivative · entry 6 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 349,749 Underlying: Common Stock · 349,749 shares Expires 2026-03-07 F3 · derivative.exercise_date: The stock options were granted pursuant to the Caterpollar Inc. 2014 Long-Term Incentive Plan and vest equally in 1/3 increments beginning on the first anniversary of the grant date. Read SEC document |
| March 07, 2016 Filed Mar 9, 2016 19:06 UTC |
Halverson Bradley MGroup President & CFO
|
GrantEmployee Stock Option · Derivative | 105,602 | $0.00 Strike: $74.77 | $0.00 |
DisclosureSEC source: 0000018230-16-000428 · edgar.xml · derivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 105,602 Underlying: Common Stock · 105,602 shares Expires 2026-03-07 F1 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan and vest equally in 1/3 increments beginning on the first anniversary of the grant date. Read SEC document |
| March 07, 2016 Filed Mar 9, 2016 19:13 UTC |
Charter Robert BGroup President
|
GrantEmployee Stock Option · Derivative | 96,257 | $0.00 Strike: $74.77 | $0.00 |
DisclosureSEC source: 0000018230-16-000430 · edgar.xml · derivative · entry 1 Charter Robert B · CIK 0001628074 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 96,257 Underlying: Common Stock · 96,257 shares Expires 2026-03-07 F1 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan and vest equally in 1/3 increments beginning on the first anniversary of the grant date. Read SEC document |
| March 07, 2016 Filed Mar 9, 2016 19:19 UTC |
Johnson Denise CGroup President
|
GrantEmployee Stock Optionj · Derivative | 44,332 | $0.00 Strike: $74.77 | $0.00 |
DisclosureSEC source: 0000018230-16-000432 · edgar.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,332 Underlying: Common Stock · 44,332 shares Expires 2026-03-07 F1 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan and vest equally in 1/3 increments beginning on the first anniversary of the grant date. Read SEC document |
| March 07, 2016 Filed Mar 9, 2016 20:10 UTC |
Pellette Thomas AGroup President
|
GrantEmployee Stock Option · Derivative | 96,257 | $0.00 Strike: $74.77 | $0.00 |
DisclosureSEC source: 0000018230-16-000434 · edgar.xml · derivative · entry 1 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 96,257 Underlying: Common Stock · 96,257 shares Expires 2026-03-07 F1 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan and vest equally in 1/3 increments beginning on the first anniversary of the grant date. Read SEC document |
| March 07, 2016 Filed Mar 9, 2016 20:15 UTC |
RAPP EDWARD JGroup President
|
GrantEmployee Stock Option · Derivative | 114,049 | $0.00 Strike: $74.77 | $0.00 |
DisclosureSEC source: 0000018230-16-000436 · edgar.xml · derivative · entry 1 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 114,049 Underlying: Common Stock · 114,049 shares Expires 2026-03-07 F1 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan and vest equally in 1/3 increments beginning on the first anniversary of the grant date. Read SEC document |
| March 07, 2016 Filed Mar 9, 2016 20:21 UTC |
Umpleby III Donald JGroup President
|
GrantEmployee Stock Option · Derivative | 114,049 | $0.00 Strike: $74.77 | $0.00 |
DisclosureSEC source: 0000018230-16-000438 · edgar.xml · derivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 114,049 Underlying: Common Stock · 114,049 shares Expires 2026-03-07 F1 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan and vest equally in 1/3 increments beginning on the first anniversary of the grant date. Read SEC document |
| March 07, 2016 Filed Mar 9, 2016 20:25 UTC |
Bozeman David PSenior Vice President
|
GrantEmployee Stock Option · Derivative | 66,434 | $0.00 Strike: $74.77 | $0.00 |
DisclosureSEC source: 0000018230-16-000440 · edgar.xml · derivative · entry 1 Bozeman David P · CIK 0001575959 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,434 Underlying: Common Stock · 66,434 shares Expires 2026-03-07 F1 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan and vest equally in 1/3 increments beginning on the first anniversary of the grant date. Read SEC document |
| March 07, 2016 Filed Mar 9, 2016 20:32 UTC |
BUDA JAMES BExecutive Vice President
|
GrantEmployee Stock Option · Derivative | 69,652 | $0.00 Strike: $74.77 | $0.00 |
DisclosureSEC source: 0000018230-16-000442 · edgar.xml · derivative · entry 1 BUDA JAMES B · CIK 0001171771 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,652 Underlying: Common Stock · 69,652 shares Expires 2026-03-07 F1 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan and vest equally in 1/3 increments beginning on the first anniversary of the grant date. Read SEC document |
| March 07, 2016 Filed Mar 9, 2016 20:38 UTC |
Copeland Jananne A.Chief Accounting Officer
|
GrantEmployee Stock Option · Derivative | 11,421 | $0.00 Strike: $74.77 | $0.00 |
DisclosureSEC source: 0000018230-16-000444 · edgar.xml · derivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,421 Underlying: Common Stock · 11,421 shares Expires 2026-03-07 F1 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan and vest equally in 1/3 increments beginning on the first anniversary of the grant date. Read SEC document |
| March 07, 2016 Filed Mar 9, 2016 20:47 UTC |
CALHOUN DAVID LDirector
|
GrantCommon Stock | 1,672 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-16-000446 · edgar.xml · nonDerivative · entry 1 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,129 F1 · 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 |
| March 07, 2016 Filed Mar 9, 2016 20:53 UTC |
DICKINSON DANIEL MDirector
|
GrantCommon Stock | 1,672 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-16-000448 · edgar.xml · nonDerivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,560 F1 · 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 |
| March 07, 2016 Filed Mar 9, 2016 20:58 UTC |
GALLARDO JUANDirector
|
GrantCommon Stock | 1,672 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-16-000450 · edgar.xml · nonDerivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 269,472 F1 · 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 |
| March 07, 2016 Filed Mar 9, 2016 21:03 UTC |
GREENE JESSE J JRDirector
|
GrantCommon Stock | 1,672 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-16-000452 · edgar.xml · nonDerivative · entry 1 GREENE JESSE J JR · CIK 0001111353 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,600 F1 · 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 |
| March 07, 2016 Filed Mar 9, 2016 21:08 UTC |
Huntsman Jon M JrDirector
|
GrantCommon Stock | 1,672 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-16-000454 · edgar.xml · nonDerivative · entry 1 Huntsman Jon M Jr · CIK 0001541785 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,591 Read SEC document |
| March 07, 2016 Filed Mar 9, 2016 21:11 UTC |
Muilenburg Dennis ADirector
|
GrantCommon Stock | 1,672 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-16-000456 · edgar.xml · nonDerivative · entry 1 Muilenburg Dennis A · CIK 0001471763 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,500 Read SEC document |
| March 07, 2016 Filed Mar 9, 2016 21:16 UTC |
OSBORN WILLIAM ADirector
|
GrantCommon Stock | 1,672 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-16-000458 · edgar.xml · nonDerivative · entry 1 OSBORN WILLIAM A · CIK 0001171797 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,944 F1 · 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 |
| March 07, 2016 Filed Mar 9, 2016 21:21 UTC |
REED DEBRA LDirector
|
GrantCommon Stock | 1,672 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-16-000460 · edgar.xml · nonDerivative · entry 1 REED DEBRA L · CIK 0001225947 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,747 Read SEC document |
| March 07, 2016 Filed Mar 9, 2016 21:28 UTC |
RUST EDWARD B JRDirector
|
GrantCommon Stock | 1,672 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-16-000462 · edgar.xml · nonDerivative · entry 1 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,800 F1 · balance_after: The total amount reported has been adjusted from the reporting person's previous Form 4 to account for an administrative error in the calculation of the reporting person's total beneficial ownership. Read SEC document |
| March 07, 2016 Filed Mar 9, 2016 21:50 UTC |
WHITE MILES DDirector
|
GrantCommon Stock | 1,672 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-16-000464 · edgar.xml · nonDerivative · entry 1 WHITE MILES D · CIK 0001239129 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,977 Read SEC document |
| March 07, 2016 Filed Mar 9, 2016 22:06 UTC |
SCHWAB SUSAN CDirector
|
GrantCommon Stock | 1,672 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-16-000466 · edgar.xml · nonDerivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,468 F1 · 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 |
| March 07, 2016 Filed Mar 31, 2022 21:18 UTC Amendment |
RUST EDWARD B JRDirector
|
GrantCommon Stock | 1,672 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-22-000089 · wf-form4a_164876146618200.xml · nonDerivative · entry 1 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,127 F1 · balance_after: Adjusted to correct company's inadvertant clerical error. Read SEC document |
| March 04, 2016 Filed Mar 9, 2016 00:01 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
Exercise / conversionStock Appreciation Right · Derivative | 75,000 | $0.00 Strike: $63.04 | $0.00 |
DisclosureSEC source: 0000018230-16-000425 · edgar.xml · derivative · entry 5 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,884 Underlying: Common Stock · 75,000 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 |
| March 04, 2016 Filed Mar 9, 2016 00:01 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
Tax withholdingCommon Stock | 4,220 | $72.75 | $307,005.00 |
DisclosureSEC source: 0000018230-16-000425 · edgar.xml · nonDerivative · entry 3 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 195,837 F1 · balance_after: The number of shares in this column has been adjusted from the reporting person's previous Form 4 to account for dividend reinvesment. Read SEC document |
| March 04, 2016 Filed Mar 9, 2016 00:01 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
Disposition to issuerCommon Stock | 64,990 | $72.75 | $4,728,022.50 |
DisclosureSEC source: 0000018230-16-000425 · edgar.xml · nonDerivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,057 Read SEC document |
| March 04, 2016 Filed Mar 9, 2016 00:01 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
Exercise / conversionCommon Stock | 75,000 | $63.04 | $4,728,000.00 |
DisclosureSEC source: 0000018230-16-000425 · edgar.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 265,047 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 |
| March 04, 2016 Filed Jun 17, 2016 20:05 UTC |
Bozeman David PSenior Vice President
|
GrantPhantom Stock Units · Derivative | 841 | $72.84 | $61,258.44 |
DisclosureSEC source: 0000018230-16-000553 · edgar.xml · derivative · entry 1 Bozeman David P · CIK 0001575959 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,465 Underlying: Common Stock · 841 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 · date: Inadvertently filed late due to an administrative error. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Supplemental 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. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| March 04, 2016 Filed Jun 17, 2016 20:13 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 2,152 | $72.84 | $156,751.68 |
DisclosureSEC source: 0000018230-16-000555 · edgar.xml · derivative · entry 3 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,358 Underlying: Common Stock · 2,152 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 · date: Inadvertently filed late due to an administrative error. F6 · shares: This total includes1850 shares that were credited to the reporting person's account under the Plan at a price per share of $72.84 and 302 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 |
| March 02, 2016 Filed Mar 3, 2016 22:12 UTC |
WHITE MILES DDirector
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Tax withholdingCommon Stock | 653 | $69.07 | $45,102.71 |
DisclosureSEC source: 0000018230-16-000421 · edgar.xml · nonDerivative · entry 1 WHITE MILES D · CIK 0001239129 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,305 Read SEC document |
| March 02, 2016 Filed Mar 3, 2016 22:20 UTC |
GALLARDO JUANDirector
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Tax withholdingCommon Stock | 452 | $69.07 | $31,219.64 |
DisclosureSEC source: 0000018230-16-000423 · edgar.xml · nonDerivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 254,786 Read SEC document |
| February 29, 2016 Filed Mar 2, 2016 22:09 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
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GrantPhantom Stock Units · Derivative | 2 | $67.70 | $135.40 |
DisclosureSEC source: 0000018230-16-000419 · edgar.xml · derivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,263 Underlying: Common Stock · 2 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 1 share that was credited to the reporting person's account under the Caterpillar Inc. Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $67.70 and 1 share that was 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.