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 01, 2015 Filed Apr 2, 2015 19:51 UTC |
RAPP EDWARD JGroup President
|
Exercise / conversionRestricted Stock Units · Derivative | 391 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-15-000144 · edgar.xml · derivative · entry 3 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 391 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. F1 · 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.. F2 · derivative.exercise_date: RSUs vest in three equal annual installments beginning on April 1, 2013. On April 1, 2015, the reporting person's RSUs were settled for an equal number of shares of Caterpillar Inc. common stock. F2 · derivative.expiration_date: RSUs vest in three equal annual installments beginning on April 1, 2013. On April 1, 2015, the reporting person's RSUs were settled for an equal number of shares of Caterpillar Inc. common stock. Read SEC document |
| April 01, 2015 Filed Apr 2, 2015 19:51 UTC |
RAPP EDWARD JGroup President
|
Tax withholdingCommon Stock | 179 | $79.96 | $14,311.95 |
DisclosureSEC source: 0000018230-15-000144 · edgar.xml · nonDerivative · entry 2 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,892 Read SEC document |
| April 01, 2015 Filed Apr 2, 2015 19:51 UTC |
RAPP EDWARD JGroup President
|
Exercise / conversionCommon Stock | 391 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-15-000144 · edgar.xml · nonDerivative · entry 1 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,071 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 31, 2015 Filed Apr 1, 2015 20:14 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 363 | $80.23 | $29,123.49 |
DisclosureSEC source: 0000018230-15-000127 · edgar.xml · derivative · entry 1 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,449 Underlying: Common Stock · 363 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, 2015 Filed Apr 1, 2015 20:17 UTC |
WHITE MILES DDirector
|
GrantPhantom Stock Units · Derivative | 176 | $80.23 | $14,120.48 |
DisclosureSEC source: 0000018230-15-000129 · edgar.xml · derivative · entry 1 WHITE MILES D · CIK 0001239129 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,900 Underlying: Common Stock · 176 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, 2015 Filed Apr 1, 2015 20:18 UTC |
DICKINSON DANIEL MDirector
|
GrantPhantom Stock Units · Derivative | 311 | $80.23 | $24,951.53 |
DisclosureSEC source: 0000018230-15-000131 · edgar.xml · derivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,543 Underlying: Common Stock · 311 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, 2015 Filed Apr 1, 2015 20:20 UTC |
CALHOUN DAVID LDirector
|
GrantPhantom Stock Units · Derivative | 311 | $80.23 | $24,951.53 |
DisclosureSEC source: 0000018230-15-000133 · edgar.xml · derivative · entry 1 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,566 Underlying: Common Stock · 311 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, 2015 Filed Apr 1, 2015 20:22 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 311 | $80.23 | $24,951.53 |
DisclosureSEC source: 0000018230-15-000135 · edgar.xml · derivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,728 Underlying: Common Stock · 311 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, 2015 Filed Apr 1, 2015 20:24 UTC |
SCHWAB SUSAN CDirector
|
GrantPhantom Stock Units · Derivative | 311 | $80.23 | $24,951.53 |
DisclosureSEC source: 0000018230-15-000137 · edgar.xml · derivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,534 Underlying: Common Stock · 311 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, 2015 Filed Apr 2, 2015 15:39 UTC |
Copeland Jananne A.Chief Accounting Officer
|
GrantPhantom Stock Units · Derivative | 31 | $80.03 | $2,480.93 |
DisclosureSEC source: 0000018230-15-000139 · edgar.xml · derivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,110 Underlying: Common Stock · 31 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 21 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $80.03 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. Read SEC document |
| March 31, 2015 Filed Apr 2, 2015 15:40 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
GrantPhantom Stock Units · Derivative | 150 | $80.03 | $12,004.50 |
DisclosureSEC source: 0000018230-15-000141 · 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: 66,908 Underlying: Common Stock · 150 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 100 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $80.03 and 50 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 |
| March 11, 2015 Filed Mar 12, 2015 15:44 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
GrantPhantom Stock Units · Derivative | 4,517 | $79.70 | $360,004.90 |
DisclosureSEC source: 0000018230-15-000119 · 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: 66,758 Underlying: Common Stock · 4,517 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 3011 shares which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $79.70 and 1506 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 |
| March 06, 2015 Filed Mar 10, 2015 21:40 UTC |
Halverson Bradley MGroup President & CFO
|
GrantPhantom Stock Units · Derivative | 1,434 | $80.06 | $114,806.04 |
DisclosureSEC source: 0000018230-15-000111 · edgar.xml · derivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,423 Underlying: Common stock · 1,434 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 956 shares where was credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $80.06 and 478 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. Read SEC document |
| March 06, 2015 Filed Mar 10, 2015 21:43 UTC |
BUDA JAMES BExecutive Vice President
|
GrantPhantom Stock Units · Derivative | 1,826 | $80.06 | $146,189.56 |
DisclosureSEC source: 0000018230-15-000113 · edgar.xml · derivative · entry 1 BUDA JAMES B · CIK 0001171771 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,502 Underlying: Common Stock · 1,826 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 1217 shares where was credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $80.06 and 609 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. Read SEC document |
| March 06, 2015 Filed Mar 10, 2015 21:44 UTC |
Bozeman David PSenior Vice President
|
GrantPhantom Stock Units · Derivative | 397 | $80.06 | $31,783.82 |
DisclosureSEC source: 0000018230-15-000115 · edgar.xml · derivative · entry 1 Bozeman David P · CIK 0001575959 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,471 Underlying: Common Stock · 397 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 166 shares where was credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $80.06 and 231 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. Read SEC document |
| March 06, 2015 Filed Mar 10, 2015 21:46 UTC |
Pellette Thomas AGroup President
|
GrantPhantom Stock Units · Derivative | 407 | $80.06 | $32,584.42 |
DisclosureSEC source: 0000018230-15-000117 · edgar.xml · derivative · entry 1 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 807 Underlying: Common · 407 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 271 shares where was credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $80.06 and 136 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. Read SEC document |
| March 03, 2015 Filed Mar 4, 2015 21:41 UTC |
GALLARDO JUANDirector
|
Tax withholdingCommon Stock | 390 | $83.22 | $32,455.80 |
DisclosureSEC source: 0000018230-15-000097 · edgar.xml · nonDerivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 257,317 Read SEC document |
| March 03, 2015 Filed Mar 4, 2015 21:47 UTC |
WHITE MILES DDirector
|
Tax withholdingCommon Stock | 563 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-15-000103 · edgar.xml · nonDerivative · entry 2 WHITE MILES D · CIK 0001239129 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,958 Read SEC document |
| March 02, 2015 Filed Mar 4, 2015 20:32 UTC |
Copeland Jananne A.Chief Accounting Officer
|
GrantEmployee Stock Option · Derivative | 11,735 | $0.00 Strike: $83.00 | $0.00 |
DisclosureSEC source: 0000018230-15-000071 · edgar.xml · derivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,735 Underlying: Common Stock · 11,735 shares Expires 2025-03-02 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 02, 2015 Filed Mar 4, 2015 20:36 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
GrantEmployee Stock Option · Derivative | 413,776 | $0.00 Strike: $83.00 | $0.00 |
DisclosureSEC source: 0000018230-15-000073 · 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: 413,776 Underlying: Common Stock · 413,776 shares Expires 2025-03-02 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 02, 2015 Filed Mar 4, 2015 20:39 UTC |
Halverson Bradley MGroup President & CFO
|
GrantEmployee Stock Option · Derivative | 153,954 | $0.00 Strike: $83.00 | $0.00 |
DisclosureSEC source: 0000018230-15-000075 · edgar.xml · derivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 153,954 Underlying: Common stock · 153,954 shares Expires 2025-03-02 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 02, 2015 Filed Mar 4, 2015 20:43 UTC |
Bozeman David PSenior Vice President
|
GrantEmployee Stock Option · Derivative | 97,321 | $0.00 Strike: $83.00 | $0.00 |
DisclosureSEC source: 0000018230-15-000077 · edgar.xml · derivative · entry 1 Bozeman David P · CIK 0001575959 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,321 Underlying: Common Stock · 97,321 shares Expires 2025-03-02 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 02, 2015 Filed Mar 4, 2015 20:48 UTC |
Pellette Thomas AGroup President
|
GrantEmployee Stock Option · Derivative | 142,798 | $0.00 Strike: $83.00 | $0.00 |
DisclosureSEC source: 0000018230-15-000079 · edgar.xml · derivative · entry 1 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 142,798 Underlying: Common · 142,798 shares Expires 2025-03-02 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 02, 2015 Filed Mar 4, 2015 20:52 UTC |
RAPP EDWARD JGroup President
|
GrantEmployee Stock Option · Derivative | 172,621 | $0.00 Strike: $83.00 | $0.00 |
DisclosureSEC source: 0000018230-15-000081 · edgar.xml · derivative · entry 1 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 172,621 Underlying: Common Stock · 172,621 shares Expires 2025-03-02 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 02, 2015 Filed Mar 4, 2015 20:54 UTC |
Umpleby III Donald JGroup President
|
GrantEmployee Stock Option · Derivative | 172,621 | $0.00 Strike: $83.00 | $0.00 |
DisclosureSEC source: 0000018230-15-000083 · edgar.xml · derivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 172,621 Underlying: Common Stock · 172,621 shares Expires 2025-03-02 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 02, 2015 Filed Mar 4, 2015 20:57 UTC |
BUDA JAMES BExecutive Vice President
|
GrantEmployee Stock Option · Derivative | 100,595 | $0.00 Strike: $83.00 | $0.00 |
DisclosureSEC source: 0000018230-15-000085 · edgar.xml · derivative · entry 1 BUDA JAMES B · CIK 0001171771 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,565 Underlying: Common Stock · 100,595 shares Expires 2025-03-02 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 02, 2015 Filed Mar 4, 2015 21:26 UTC |
Charter Robert BGroup President
|
GrantEmployee Stock Option · Derivative | 142,798 | $0.00 Strike: $83.00 | $0.00 |
DisclosureSEC source: 0000018230-15-000089 · edgar.xml · derivative · entry 1 Charter Robert B · CIK 0001628074 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 142,798 Underlying: Common Stock · 142,798 shares Expires 2025-03-02 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 02, 2015 Filed Mar 4, 2015 21:28 UTC |
OSBORN WILLIAM ADirector
|
GrantCommon Stock | 1,506 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-15-000091 · edgar.xml · nonDerivative · entry 1 OSBORN WILLIAM A · CIK 0001171797 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,666 Read SEC document |
| March 02, 2015 Filed Mar 4, 2015 21:33 UTC |
CALHOUN DAVID LDirector
|
GrantCommon Stock | 1,506 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-15-000093 · edgar.xml · nonDerivative · entry 1 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,036 Read SEC document |
| March 02, 2015 Filed Mar 4, 2015 21:37 UTC |
DICKINSON DANIEL MDirector
|
GrantCommon Stock | 1,506 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-15-000095 · edgar.xml · nonDerivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,271 Read SEC document |
| March 02, 2015 Filed Mar 4, 2015 21:41 UTC |
GALLARDO JUANDirector
|
GrantCommon Stock | 1,506 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-15-000097 · edgar.xml · nonDerivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 257,707 Read SEC document |
| March 02, 2015 Filed Mar 4, 2015 21:43 UTC |
RUST EDWARD B JRDirector
|
GrantCommon Stock | 1,506 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-15-000099 · edgar.xml · nonDerivative · entry 1 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,065 Read SEC document |
| March 02, 2015 Filed Mar 4, 2015 21:45 UTC |
SCHWAB SUSAN CDirector
|
GrantCommon Stock | 1,506 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-15-000101 · edgar.xml · nonDerivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,831 Read SEC document |
| March 02, 2015 Filed Mar 4, 2015 21:47 UTC |
WHITE MILES DDirector
|
GrantCommon Stock | 1,506 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-15-000103 · edgar.xml · nonDerivative · entry 1 WHITE MILES D · CIK 0001239129 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,521 Read SEC document |
| March 02, 2015 Filed Mar 4, 2015 22:04 UTC |
Huntsman Jon M JrDirector
|
GrantCommon Stock | 1,506 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-15-000105 · edgar.xml · nonDerivative · entry 1 Huntsman Jon M Jr · CIK 0001541785 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,919 Read SEC document |
| March 02, 2015 Filed Mar 4, 2015 22:06 UTC |
GREENE JESSE J JRDirector
|
GrantCommon Stock | 1,506 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-15-000107 · edgar.xml · nonDerivative · entry 1 GREENE JESSE J JR · CIK 0001111353 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,830 Read SEC document |
| March 02, 2015 Filed Mar 4, 2015 22:08 UTC |
Muilenburg Dennis ADirector
|
GrantCommon Stock | 1,506 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-15-000109 · edgar.xml · nonDerivative · entry 1 Muilenburg Dennis A · CIK 0001471763 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,828 Read SEC document |
| February 27, 2015 Filed Mar 3, 2015 19:42 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
GrantPhantom Stock Units · Derivative | 2 | $82.90 | $165.80 |
DisclosureSEC source: 0000018230-15-000069 · 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: 62,241 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 which was credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $82.90 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 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 |
| February 19, 2015 Filed Feb 23, 2015 21:10 UTC |
Pellette Thomas AGroup President
|
OtherCommon Stock | 3,051 | $83.30 | $254,148.30 |
DisclosureSEC source: 0000018230-15-000067 · edgar.xml · nonDerivative · entry 1 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Indirect · By 401(k) Plan Disclosed balance after: 9,982 Read SEC document |
| January 30, 2015 Filed Feb 3, 2015 16:23 UTC |
SCHWAB SUSAN CDirector
|
GrantPhantom Stock Units · Derivative | 156 | $80.12 | $12,498.72 |
DisclosureSEC source: 0000018230-15-000046 · edgar.xml · derivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,181 Underlying: Common Stock · 156 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. Read SEC document |
| January 30, 2015 Filed Feb 3, 2015 16:22 UTC |
WHITE MILES DDirector
|
GrantPhantom Stock Units · Derivative | 88 | $80.12 | $7,050.56 |
DisclosureSEC source: 0000018230-15-000044 · edgar.xml · derivative · entry 1 WHITE MILES D · CIK 0001239129 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,702 Underlying: Common Stock · 88 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. Read SEC document |
| January 30, 2015 Filed Feb 3, 2015 16:27 UTC |
RUST EDWARD B JRDirector
|
GrantCommon Stock · Derivative | 182 | $80.12 | $14,581.84 |
DisclosureSEC source: 0000018230-15-000048 · edgar.xml · derivative · entry 1 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,870 Underlying: Common Stock · 182 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 Pan 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 Pan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| January 30, 2015 Filed Feb 3, 2015 16:28 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 156 | $80.12 | $12,498.72 |
DisclosureSEC source: 0000018230-15-000050 · edgar.xml · derivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,248 Underlying: Common Stock · 156 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. Read SEC document |
| January 30, 2015 Filed Feb 3, 2015 16:29 UTC |
DICKINSON DANIEL MDirector
|
GrantPhantom Stock Units · Derivative | 156 | $80.12 | $12,498.72 |
DisclosureSEC source: 0000018230-15-000052 · edgar.xml · derivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,073 Underlying: Common Stock · 156 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. Read SEC document |
| January 30, 2015 Filed Feb 3, 2015 16:30 UTC |
CALHOUN DAVID LDirector
|
GrantPhantom Stock Units · Derivative | 156 | $80.12 | $12,498.72 |
DisclosureSEC source: 0000018230-15-000054 · edgar.xml · derivative · entry 1 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,204 Underlying: Common Stock · 156 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 accrued 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 accrued 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. Read SEC document |
| January 05, 2015 Filed Jan 7, 2015 20:14 UTC |
LEVENICK STUART LGroup President
|
GrantEmployee Stock Option · Derivative | 241,985 | $0.00 Strike: $88.51 | $0.00 |
DisclosureSEC source: 0000018230-15-000030 · edgar.xml · derivative · entry 1 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 241,985 Underlying: Common Stock · 241,985 shares Expires 2020-02-01 Read SEC document |
| January 05, 2015 Filed Jan 7, 2015 20:15 UTC |
WUNNING STEVEN HGroup President
|
GrantEmployee Stock Option · Derivative | 241,985 | $0.00 Strike: $88.51 | $0.00 |
DisclosureSEC source: 0000018230-15-000031 · edgar.xml · derivative · entry 1 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 241,985 Underlying: Common Stock · 241,985 shares Expires 2020-02-01 Read SEC document |
| December 31, 2014 Filed Jan 5, 2015 19:24 UTC |
Bozeman David PSenior Vice President
|
GrantPhantom Stock Units · Derivative | 14 | $92.59 | $1,296.26 |
DisclosureSEC source: 0000018230-15-000002 · edgar.xml · derivative · entry 1 Bozeman David P · CIK 0001575959 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,074 Underlying: Common Stock · 14 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 7 shares where was credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $92.59 and 7 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. Read SEC document |
| December 31, 2014 Filed Jan 5, 2015 19:25 UTC |
BUDA JAMES BExecutive Vice President
|
GrantPhantom Stock Units · Derivative | 75 | $92.59 | $6,944.25 |
DisclosureSEC source: 0000018230-15-000004 · edgar.xml · derivative · entry 1 BUDA JAMES B · CIK 0001171771 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,676 Underlying: Common Stock · 75 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 50 shares which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $92.59 and 25 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the 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 |
| December 31, 2014 Filed Jan 5, 2015 19:26 UTC |
Copeland Jananne A.Chief Accounting Officer
|
GrantPhantom Stock Units · Derivative | 27 | $92.59 | $2,499.93 |
DisclosureSEC source: 0000018230-15-000006 · edgar.xml · derivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,079 Underlying: Common Stock · 27 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 18 shares which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $92.59 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 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.