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 31, 2015 Filed Aug 4, 2015 19:54 UTC |
BUDA JAMES BExecutive Vice President
|
GrantPhantom Stock Units · Derivative | 88 | $78.63 | $6,919.44 |
DisclosureSEC source: 0000018230-15-000278 · edgar.xml · derivative · entry 1 BUDA JAMES B · CIK 0001171771 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,466 Underlying: Common Stock · 88 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 59 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 $78.63 and 29 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 31, 2015 Filed Aug 4, 2015 20:11 UTC |
Bozeman David PSenior Vice President
|
GrantPhantom Stock Units · Derivative | 18 | $78.63 | $1,415.34 |
DisclosureSEC source: 0000018230-15-000280 · edgar.xml · derivative · entry 1 Bozeman David P · CIK 0001575959 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,510 Underlying: Common Stock · 18 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 9 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 $78.63 and 9 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's 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, 2015 Filed Jul 31, 2015 18:45 UTC |
Halverson Bradley MGroup President & CFO
|
Exercise / conversionStock Appreciation Right · Derivative | 14,092 | $0.00 Strike: $22.17 | $0.00 |
DisclosureSEC source: 0000018230-15-000268 · edgar.xml · derivative · entry 10 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 14,092 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 |
| July 29, 2015 Filed Jul 31, 2015 18:45 UTC |
Halverson Bradley MGroup President & CFO
|
Exercise / conversionStock Appreciation Right · Derivative | 9,935 | $0.00 Strike: $63.04 | $0.00 |
DisclosureSEC source: 0000018230-15-000268 · edgar.xml · derivative · entry 9 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 9,935 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, 2015 Filed Jul 31, 2015 18:45 UTC |
Halverson Bradley MGroup President & CFO
|
SaleCommon Stock | 10,045 | $77.11 | $774,569.95 |
DisclosureSEC source: 0000018230-15-000268 · edgar.xml · nonDerivative · entry 6 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,311 Read SEC document |
| July 29, 2015 Filed Jul 31, 2015 18:45 UTC |
Halverson Bradley MGroup President & CFO
|
Disposition to issuerCommon Stock | 4,047 | $77.19 | $312,387.93 |
DisclosureSEC source: 0000018230-15-000268 · edgar.xml · nonDerivative · entry 5 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,356 Read SEC document |
| July 29, 2015 Filed Jul 31, 2015 18:45 UTC |
Halverson Bradley MGroup President & CFO
|
Exercise / conversionCommon Stock | 14,092 | $22.17 | $312,419.64 |
DisclosureSEC source: 0000018230-15-000268 · edgar.xml · nonDerivative · entry 4 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,403 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, 2015 Filed Jul 31, 2015 18:45 UTC |
Halverson Bradley MGroup President & CFO
|
SaleCommon Stock | 1,822 | $77.11 | $140,494.42 |
DisclosureSEC source: 0000018230-15-000268 · edgar.xml · nonDerivative · entry 3 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,311 Read SEC document |
| July 29, 2015 Filed Jul 31, 2015 18:45 UTC |
Halverson Bradley MGroup President & CFO
|
Disposition to issuerCommon Stock | 8,113 | $77.19 | $626,242.47 |
DisclosureSEC source: 0000018230-15-000268 · edgar.xml · nonDerivative · entry 2 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,133 Read SEC document |
| July 29, 2015 Filed Jul 31, 2015 18:45 UTC |
Halverson Bradley MGroup President & CFO
|
Exercise / conversionCommon Stock | 9,935 | $63.04 | $626,302.40 |
DisclosureSEC source: 0000018230-15-000268 · edgar.xml · nonDerivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,246 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, 2015 Filed Jul 31, 2015 18:52 UTC |
Umpleby III Donald JGroup President
|
GrantPhantom Stock Units · Derivative | 7,060 | $77.33 | $545,949.80 |
DisclosureSEC source: 0000018230-15-000270 · edgar.xml · derivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 179,681 Underlying: Common Stock · 7,060 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 · 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. F2 · 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 |
| June 30, 2015 Filed Jul 2, 2015 21:00 UTC |
Copeland Jananne A.Chief Accounting Officer
|
GrantPhantom Stock Units · Derivative | 30 | $84.82 | $2,544.60 |
DisclosureSEC source: 0000018230-15-000240 · edgar.xml · derivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,281 Underlying: Common Stock · 30 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 20 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 $84.82 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 |
| June 30, 2015 Filed Jul 2, 2015 21:04 UTC |
Bozeman David PSenior Vice President
|
GrantPhantom Stock Units · Derivative | 16 | $84.82 | $1,357.12 |
DisclosureSEC source: 0000018230-15-000242 · edgar.xml · derivative · entry 1 Bozeman David P · CIK 0001575959 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,492 Underlying: Common Stock · 16 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 8 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 $84.82 and 8 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, 2015 Filed Jul 2, 2015 21:07 UTC |
BUDA JAMES BExecutive Vice President
|
GrantPhantom Stock Units · Derivative | 81 | $84.82 | $6,870.42 |
DisclosureSEC source: 0000018230-15-000244 · edgar.xml · derivative · entry 1 BUDA JAMES B · CIK 0001171771 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,378 Underlying: Common Stock · 81 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 54 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 $84.82 and 27 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, 2015 Filed Jul 2, 2015 21:11 UTC |
Halverson Bradley MGroup President & CFO
|
GrantPhantom Stock Units · Derivative | 69 | $84.82 | $5,852.58 |
DisclosureSEC source: 0000018230-15-000246 · edgar.xml · derivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,558 Underlying: Common Stock · 69 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 Caterpillar Inc. Supplemental Deferred Compensation Plan ("the Plan") at a price per share of $84.82 and 23 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, 2015 Filed Jul 2, 2015 21:18 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
GrantPhantom Stock Units · Derivative | 141 | $84.82 | $11,959.62 |
DisclosureSEC source: 0000018230-15-000248 · edgar.xml · derivative · entry 4 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,261 Underlying: Common Stock · 141 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 94 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 $84.82 and 47 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 |
| June 30, 2015 Filed Jul 2, 2015 21:24 UTC |
CALHOUN DAVID LDirector
|
GrantPhantom Stock Units · Derivative | 438 | $85.53 | $37,462.14 |
DisclosureSEC source: 0000018230-15-000250 · edgar.xml · derivative · entry 1 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,057 Underlying: Common Stock · 438 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, 2015 Filed Jul 2, 2015 21:27 UTC |
DICKINSON DANIEL MDirector
|
GrantPhantom Stock Units · Derivative | 438 | $85.53 | $37,462.14 |
DisclosureSEC source: 0000018230-15-000252 · edgar.xml · derivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,137 Underlying: Common Stock · 438 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. 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. F4 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| June 30, 2015 Filed Jul 2, 2015 21:33 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Unit · Derivative | 438 | $85.53 | $37,462.14 |
DisclosureSEC source: 0000018230-15-000254 · edgar.xml · derivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,332 Underlying: Common Stock · 438 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, 2015 Filed Jul 2, 2015 21:37 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 512 | $85.53 | $43,791.36 |
DisclosureSEC source: 0000018230-15-000256 · edgar.xml · derivative · entry 1 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,171 Underlying: Common Stock · 512 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, 2015 Filed Jul 2, 2015 21:41 UTC |
SCHWAB SUSAN CDirector
|
GrantPhantom Stock Units · Derivative | 438 | $85.53 | $37,462.14 |
DisclosureSEC source: 0000018230-15-000258 · edgar.xml · derivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,017 Underlying: Common Stock · 438 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, 2015 Filed Jul 2, 2015 21:46 UTC |
WHITE MILES DDirector
|
GrantPhantom Stock Units · Derivative | 248 | $85.53 | $21,211.44 |
DisclosureSEC source: 0000018230-15-000260 · edgar.xml · derivative · entry 1 WHITE MILES D · CIK 0001239129 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,172 Underlying: Common Stock · 248 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 25, 2015 Filed Jul 2, 2015 21:18 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
GiftCommon Stock | 827 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-15-000248 · 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: 193,797 Read SEC document |
| June 24, 2015 Filed Jul 2, 2015 21:18 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
GiftCommon Stock | 627 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-15-000248 · 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: 194,624 Read SEC document |
| June 10, 2015 Filed Jun 11, 2015 21:32 UTC |
REED DEBRA LDirector
|
GrantCommon Stock | 825 | $88.48 | $72,996.00 |
DisclosureSEC source: 0000018230-15-000209 · edgar.xml · nonDerivative · entry 1 REED DEBRA L · CIK 0001225947 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,075 Read SEC document |
| May 29, 2015 Filed Jun 2, 2015 21:29 UTC |
Copeland Jananne A.Chief Accounting Officer
|
GrantPhantom Stock Units · Derivative | 29 | $85.32 | $2,474.28 |
DisclosureSEC source: 0000018230-15-000193 · edgar.xml · derivative · entry 3 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,251 Underlying: Common Stock · 29 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 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 $85.32 and 10 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 Caterpillar Inc. Supplemental Deferred Compensation 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 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 |
| May 29, 2015 Filed Jun 2, 2015 21:35 UTC |
BUDA JAMES BExecutive Vice President
|
GrantPhantom Stock Units · Derivative | 81 | $85.32 | $6,910.92 |
DisclosureSEC source: 0000018230-15-000195 · edgar.xml · derivative · entry 1 BUDA JAMES B · CIK 0001171771 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,297 Underlying: Common Stock · 81 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 54 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") at a price per share of $85.32 and 27 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 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 |
| May 29, 2015 Filed Jun 2, 2015 21:40 UTC |
Bozeman David PSenior Vice President
|
GrantPhantom Stock Units · Derivative | 5 | $85.32 | $426.60 |
DisclosureSEC source: 0000018230-15-000197 · edgar.xml · derivative · entry 1 Bozeman David P · CIK 0001575959 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,476 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 $85.32 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 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 |
| May 29, 2015 Filed Jun 2, 2015 21:51 UTC |
Halverson Bradley MGroup President & CFO
|
GrantPhantom Stock Units · Derivative | 66 | $85.32 | $5,631.12 |
DisclosureSEC source: 0000018230-15-000201 · edgar.xml · derivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,489 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 $85.32 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 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 |
| May 29, 2015 Filed Jun 2, 2015 21:45 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
GrantPhantom Stock Units · Derivative | 141 | $85.32 | $12,030.12 |
DisclosureSEC source: 0000018230-15-000199 · 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: 69,120 Underlying: Common Stock · 141 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 94 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $85.32 and 47 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 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 |
| May 19, 2015 Filed Jun 2, 2015 21:29 UTC |
Copeland Jananne A.Chief Accounting Officer
|
GiftCommon Stock | 568 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-15-000193 · edgar.xml · nonDerivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,504 Read SEC document |
| May 08, 2015 Filed May 12, 2015 18:31 UTC |
DICKINSON DANIEL MDirector
|
Exercise / conversionStock Appreciation Right · Derivative | 2,917 | $0.00 Strike: $63.04 | $0.00 |
DisclosureSEC source: 0000018230-15-000179 · edgar.xml · derivative · entry 4 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,916 Underlying: Common Stock · 2,917 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 |
| May 08, 2015 Filed May 12, 2015 18:31 UTC |
DICKINSON DANIEL MDirector
|
SaleCommon Stock | 807 | $87.10 | $70,285.67 |
DisclosureSEC source: 0000018230-15-000179 · edgar.xml · nonDerivative · entry 3 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,271 Read SEC document |
| May 08, 2015 Filed May 12, 2015 18:31 UTC |
DICKINSON DANIEL MDirector
|
Disposition to issuerCommon Stock | 2,110 | $87.11 | $183,802.10 |
DisclosureSEC source: 0000018230-15-000179 · edgar.xml · nonDerivative · entry 2 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,078 Read SEC document |
| May 08, 2015 Filed May 12, 2015 18:31 UTC |
DICKINSON DANIEL MDirector
|
Exercise / conversionCommon Stock | 2,917 | $63.04 | $183,887.68 |
DisclosureSEC source: 0000018230-15-000179 · edgar.xml · nonDerivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,188 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 |
| May 02, 2015 Filed May 5, 2015 21:34 UTC |
RAPP EDWARD JGroup President
|
Exercise / conversionRestricted Stock Units · Derivative | 334 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-15-000169 · edgar.xml · derivative · entry 5 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 332 Underlying: Common Stock · 334 shares Expires not disclosed 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. F2 · derivative.exercise_price: Each restricted stock unit (RSU) represents the right to receive one share of Caterpillar Inc. common stock upon vesting of such RSUs. F3 · derivative.exercise_date: RSUs vest in three equal annual installments beginning on May 2, 2014. On May 2, 2015, the reporting person's RSUs were settled for an equal number of shares of Caterpillar Inc. common stock. F3 · derivative.expiration_date: RSUs vest in three equal annual installments beginning on May 2, 2014. On May 2, 2015, the reporting person's RSUs were settled for an equal number of shares of Caterpillar Inc. common stock. Read SEC document |
| May 02, 2015 Filed May 5, 2015 21:34 UTC |
RAPP EDWARD JGroup President
|
Tax withholdingCommon Stock | 153 | $87.57 | $13,397.45 |
DisclosureSEC source: 0000018230-15-000169 · edgar.xml · nonDerivative · entry 3 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,315 Read SEC document |
| May 02, 2015 Filed May 5, 2015 21:34 UTC |
RAPP EDWARD JGroup President
|
Exercise / conversionCommon Stock | 334 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-15-000169 · edgar.xml · nonDerivative · entry 1 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,850 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 |
| May 02, 2015 Filed May 5, 2015 21:43 UTC |
Bozeman David PSenior Vice President
|
Tax withholdingCommon Stock | 77 | $87.57 | $6,742.51 |
DisclosureSEC source: 0000018230-15-000175 · edgar.xml · nonDerivative · entry 2 Bozeman David P · CIK 0001575959 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,224 Read SEC document |
| May 01, 2015 Filed May 5, 2015 21:34 UTC |
RAPP EDWARD JGroup President
|
Tax withholdingCommon Stock | 382 | $87.52 | $33,432.64 |
DisclosureSEC source: 0000018230-15-000169 · edgar.xml · nonDerivative · entry 2 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,468 Read SEC document |
| May 01, 2015 Filed May 5, 2015 21:37 UTC |
Umpleby III Donald JGroup President
|
Tax withholdingCommon Stock | 382 | $87.52 | $33,432.64 |
DisclosureSEC source: 0000018230-15-000171 · edgar.xml · nonDerivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,896 Read SEC document |
| May 01, 2015 Filed May 5, 2015 21:39 UTC |
BUDA JAMES BExecutive Vice President
|
Tax withholdingCommon Stock | 762 | $87.52 | $66,690.24 |
DisclosureSEC source: 0000018230-15-000173 · edgar.xml · nonDerivative · entry 1 BUDA JAMES B · CIK 0001171771 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,460 Read SEC document |
| May 01, 2015 Filed May 5, 2015 21:43 UTC |
Bozeman David PSenior Vice President
|
Tax withholdingCommon Stock | 382 | $87.52 | $33,432.64 |
DisclosureSEC source: 0000018230-15-000175 · edgar.xml · nonDerivative · entry 1 Bozeman David P · CIK 0001575959 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,301 Read SEC document |
| May 01, 2015 Filed May 5, 2015 21:50 UTC |
Halverson Bradley MGroup President & CFO
|
Tax withholdingCommon Stock | 382 | $87.52 | $33,432.64 |
DisclosureSEC source: 0000018230-15-000177 · edgar.xml · nonDerivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,311 Read SEC document |
| April 30, 2015 Filed May 4, 2015 20:02 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
GrantPhantom Stock Units · Derivative | 138 | $86.88 | $11,989.44 |
DisclosureSEC source: 0000018230-15-000163 · edgar.xml · derivative · entry 3 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,979 Underlying: Common Stock · 138 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 92 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $86.88 and 46 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 Caterpillar Inc. Supplemental Deferred Compensation 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 Caterpillar Inc. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F5 · balance_after: Includes phantom stock units acquired under Tax-Conditioned Plan. Read SEC document |
| April 30, 2015 Filed May 4, 2015 20:13 UTC |
BUDA JAMES BExecutive Vice President
|
GrantPhantom Stock Units · Derivative | 44 | $86.88 | $3,822.72 |
DisclosureSEC source: 0000018230-15-000165 · edgar.xml · derivative · entry 1 BUDA JAMES B · CIK 0001171771 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,216 Underlying: Common Stock · 44 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 29 shares where was credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $86.88 and 15 shares 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 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. F4 · balance_after: Includes phantom stock units acquired under Tax-Conditioned Plan. Read SEC document |
| April 30, 2015 Filed May 4, 2015 20:14 UTC |
Copeland Jananne A.Chief Accounting Officer
|
GrantPhantom Stock Units · Derivative | 29 | $86.88 | $2,519.52 |
DisclosureSEC source: 0000018230-15-000167 · edgar.xml · derivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,222 Underlying: Common Stock · 29 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 19 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $86.88 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 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. F4 · balance_after: Includes phantom stock units acquired under Tax-Conditioned Plan. Read SEC document |
| April 24, 2015 Filed May 4, 2015 20:02 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
GiftCommon Stock | 2,700 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-15-000163 · 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: 195,251 Read SEC document |
| April 08, 2015 Filed Apr 9, 2015 14:39 UTC |
GALLARDO JUANDirector
|
Exercise / conversionEmployee Stock Option · Derivative | 8,000 | $0.00 Strike: $44.90 | $0.00 |
DisclosureSEC source: 0000018230-15-000146 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 8,000 shares Expires 2015-04-13 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: Exercisable in thirds beginning on the first anniversary of the initial grant date of April 13,2005. (1/3 after one year; 1/3 after two years; 1/3 after three years). Read SEC document |
| April 08, 2015 Filed Apr 9, 2015 14:39 UTC |
GALLARDO JUANDirector
|
Exercise / conversionCommon Stock | 8,000 | $44.90 | $359,160.00 |
DisclosureSEC source: 0000018230-15-000146 · edgar.xml · nonDerivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 255,238 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.