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 |
|---|---|---|---|---|---|---|
| September 30, 2014 Filed Oct 2, 2014 19:13 UTC |
Halverson Bradley MGroup President & CFO
|
GrantPhantom Stock Units · Derivative | 60 | $99.03 | $5,941.80 |
DisclosureSEC source: 0000018230-14-000370 · edgar.xml · derivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,808 Underlying: Common stock · 60 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 40 shares which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $99.03 and 20 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 |
| September 30, 2014 Filed Oct 2, 2014 19:15 UTC |
BUDA JAMES BExecutive Vice President
|
GrantPhantom Stock Units · Derivative | 70 | $99.03 | $6,932.10 |
DisclosureSEC source: 0000018230-14-000374 · edgar.xml · derivative · entry 1 BUDA JAMES B · CIK 0001171771 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,464 Underlying: Common Stock · 70 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 47 shares which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $99.03 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 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 |
| September 30, 2014 Filed Oct 2, 2014 19:14 UTC |
Copeland Jananne A.Chief Accounting Officer
|
GrantPhantom Stock Units · Derivative | 25 | $99.03 | $2,475.75 |
DisclosureSEC source: 0000018230-14-000372 · edgar.xml · derivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,002 Underlying: Common Stock · 25 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 17 shares which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $99.03 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 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 |
| September 30, 2014 Filed Oct 2, 2014 19:17 UTC |
Bozeman David PSenior Vice President
|
GrantPhantom Stock Units · Derivative | 13 | $99.03 | $1,287.39 |
DisclosureSEC source: 0000018230-14-000376 · edgar.xml · derivative · entry 1 Bozeman David P · CIK 0001575959 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,034 Underlying: Common Stock · 13 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 $99.03 and 6 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 |
| September 09, 2014 Filed Sep 11, 2014 18:32 UTC |
WUNNING STEVEN HGroup President
|
Exercise / conversionStock Appreciation Right · Derivative | 95,000 | $0.00 Strike: $72.05 | $0.00 |
DisclosureSEC source: 0000018230-14-000342 · edgar.xml · derivative · entry 4 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 95,000 shares Expires 2016-02-17 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 |
| September 09, 2014 Filed Sep 11, 2014 18:32 UTC |
WUNNING STEVEN HGroup President
|
Tax withholdingCommon Stock | 14,763 | $107.70 | $1,589,901.29 |
DisclosureSEC source: 0000018230-14-000342 · edgar.xml · nonDerivative · entry 3 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 136,136 Read SEC document |
| September 09, 2014 Filed Sep 11, 2014 18:32 UTC |
WUNNING STEVEN HGroup President
|
Disposition to issuerCommon Stock | 63,556 | $107.70 | $6,844,663.42 |
DisclosureSEC source: 0000018230-14-000342 · edgar.xml · nonDerivative · entry 2 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,899 Read SEC document |
| September 09, 2014 Filed Sep 11, 2014 18:32 UTC |
WUNNING STEVEN HGroup President
|
Exercise / conversionCommon Stock | 95,000 | $72.05 | $6,844,750.00 |
DisclosureSEC source: 0000018230-14-000342 · edgar.xml · nonDerivative · entry 1 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 214,455 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 |
| August 29, 2014 Filed Sep 3, 2014 18:03 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 115 | $108.68 | $12,497.63 |
DisclosureSEC source: 0000018230-14-000318 · edgar.xml · derivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,450 Underlying: Common Stock · 115 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 |
| August 29, 2014 Filed Sep 3, 2014 18:06 UTC |
WHITE MILES DDirector
|
GrantPhantom Stock Units · Derivative | 65 | $108.68 | $7,063.88 |
DisclosureSEC source: 0000018230-14-000320 · edgar.xml · derivative · entry 1 WHITE MILES D · CIK 0001239129 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,310 Underlying: Common Stock · 65 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 |
| August 29, 2014 Filed Sep 3, 2014 18:07 UTC |
SCHWAB SUSAN CDirector
|
GrantPhantom Stock Units · Derivative | 115 | $108.68 | $12,497.63 |
DisclosureSEC source: 0000018230-14-000322 · edgar.xml · derivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,487 Underlying: Common Stock · 115 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 |
| August 29, 2014 Filed Sep 3, 2014 18:09 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 134 | $108.68 | $14,562.45 |
DisclosureSEC source: 0000018230-14-000324 · edgar.xml · derivative · entry 1 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,924 Underlying: Common Stock · 134 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 |
| August 29, 2014 Filed Sep 3, 2014 18:10 UTC |
MAGOWAN PETER ADirector
|
GrantPhantom Stock Units · Derivative | 115 | $108.68 | $12,497.63 |
DisclosureSEC source: 0000018230-14-000326 · edgar.xml · derivative · entry 1 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,654 Underlying: Common Stock · 115 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 |
| August 29, 2014 Filed Sep 3, 2014 18:12 UTC |
CALHOUN DAVID LDirector
|
GrantPhantom Stock Units · Derivative | 115 | $108.68 | $12,497.63 |
DisclosureSEC source: 0000018230-14-000328 · edgar.xml · derivative · entry 1 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,503 Underlying: Common Stock · 115 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. F4 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| August 29, 2014 Filed Sep 3, 2014 18:14 UTC |
DICKINSON DANIEL MDirector
|
GrantPhantom Stock Units · Derivative | 115 | $108.68 | $12,497.63 |
DisclosureSEC source: 0000018230-14-000330 · edgar.xml · derivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,283 Underlying: Common Stock · 115 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 |
| August 29, 2014 Filed Sep 3, 2014 18:18 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
GrantPhantom Stock Units · Derivative | 110 | $109.07 | $11,997.70 |
DisclosureSEC source: 0000018230-14-000332 · 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: 61,751 Underlying: Common Stock · 110 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 73 shares which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $109.07 and 37 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the 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 |
| August 29, 2014 Filed Sep 3, 2014 18:20 UTC |
BUDA JAMES BExecutive Vice President
|
GrantPhantom Stock Units · Derivative | 64 | $109.07 | $6,980.48 |
DisclosureSEC source: 0000018230-14-000334 · edgar.xml · derivative · entry 1 BUDA JAMES B · CIK 0001171771 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,394 Underlying: Common Stock · 64 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 43 shares which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $109.07 and 21 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 |
| August 29, 2014 Filed Sep 3, 2014 18:21 UTC |
Halverson Bradley MGroup President & CFO
|
GrantPhantom Stock Units · Derivative | 54 | $109.07 | $5,889.78 |
DisclosureSEC source: 0000018230-14-000336 · edgar.xml · derivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,748 Underlying: Common stock · 54 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 36 shares which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $109.07 and 18 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 |
| August 29, 2014 Filed Sep 3, 2014 18:24 UTC |
Bozeman David PSenior Vice President
|
GrantPhantom Stock Units · Derivative | 12 | $109.07 | $1,308.84 |
DisclosureSEC source: 0000018230-14-000338 · edgar.xml · derivative · entry 1 Bozeman David P · CIK 0001575959 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,021 Underlying: Common Stock · 12 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 6 shares where was credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $109.07 and 6 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 |
| August 29, 2014 Filed Sep 3, 2014 18:25 UTC |
Copeland Jananne A.Chief Accounting Officer
|
GrantPhantom Stock Units · Derivative | 23 | $109.07 | $2,508.61 |
DisclosureSEC source: 0000018230-14-000340 · edgar.xml · derivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,977 Underlying: Common Stock · 23 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 15 shares which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $109.07 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 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 |
| August 05, 2014 Filed Aug 7, 2014 21:34 UTC |
RAPP EDWARD JGroup President
|
Exercise / conversionEmployee Stock Option · Derivative | 30,000 | $0.00 Strike: $45.64 | $0.00 |
DisclosureSEC source: 0000018230-14-000313 · edgar.xml · derivative · entry 5 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 30,000 shares Expires 2015-02-18 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 |
| August 05, 2014 Filed Aug 7, 2014 21:34 UTC |
RAPP EDWARD JGroup President
|
SaleCommon Stock | 15,000 | $101.01 | $1,515,150.00 |
DisclosureSEC source: 0000018230-14-000313 · edgar.xml · nonDerivative · entry 3 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,180 Read SEC document |
| August 05, 2014 Filed Aug 7, 2014 21:34 UTC |
RAPP EDWARD JGroup President
|
Tax withholdingCommon Stock | 10,614 | $101.71 | $1,079,496.87 |
DisclosureSEC source: 0000018230-14-000313 · edgar.xml · nonDerivative · entry 2 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,180 Read SEC document |
| August 05, 2014 Filed Aug 7, 2014 21:34 UTC |
RAPP EDWARD JGroup President
|
Exercise / conversionCommon Stock | 30,000 | $45.64 | $1,369,275.00 |
DisclosureSEC source: 0000018230-14-000313 · edgar.xml · nonDerivative · entry 1 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 99,794 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 31, 2014 Filed Aug 4, 2014 16:31 UTC |
CALHOUN DAVID LDirector
|
GrantPhantom Stock Units · Derivative | 123 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000287 · edgar.xml · derivative · entry 1 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,354 Underlying: Common Stock · 123 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 |
| July 31, 2014 Filed Aug 4, 2014 16:32 UTC |
DICKINSON DANIEL MDirector
|
GrantPhantom Stock Units · Derivative | 123 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000289 · edgar.xml · derivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,052 Underlying: Common Stock · 123 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 |
| July 31, 2014 Filed Aug 4, 2014 16:34 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 123 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000291 · edgar.xml · derivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,211 Underlying: Common Stock · 123 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 |
| July 31, 2014 Filed Aug 4, 2014 16:37 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 143 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000293 · edgar.xml · derivative · entry 1 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,630 Underlying: Common Stock · 143 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 |
| July 31, 2014 Filed Aug 4, 2014 16:38 UTC |
SCHWAB SUSAN CDirector
|
GrantPhantom Stock Units · Derivative | 123 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000295 · edgar.xml · derivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,344 Underlying: Common Stock · 123 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 |
| July 31, 2014 Filed Aug 4, 2014 16:40 UTC |
WHITE MILES DDirector
|
GrantPhantom Stock Units · Derivative | 70 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000297 · edgar.xml · derivative · entry 1 WHITE MILES D · CIK 0001239129 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,231 Underlying: Common Stock · 70 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 |
| July 31, 2014 Filed Aug 4, 2014 16:43 UTC |
MAGOWAN PETER ADirector
|
GrantPhantom Stock Units · Derivative | 123 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000299 · edgar.xml · derivative · entry 1 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,337 Underlying: Common Stock · 123 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 |
| July 31, 2014 Filed Aug 4, 2014 18:41 UTC |
BUDA JAMES BExecutive Vice President
|
GrantPhantom Stock Units · Derivative | 69 | $100.75 | $6,951.75 |
DisclosureSEC source: 0000018230-14-000301 · edgar.xml · derivative · entry 1 BUDA JAMES B · CIK 0001171771 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,330 Underlying: Common Stock · 69 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 46 shares which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $100.75 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 Caterpillar Inc. deferred employee investment 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. deferred employee investment plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| July 31, 2014 Filed Aug 4, 2014 18:43 UTC |
Bozeman David PSenior Vice President
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GrantPhantom Stock Units · Derivative | 13 | $100.75 | $1,309.75 |
DisclosureSEC source: 0000018230-14-000303 · edgar.xml · derivative · entry 1 Bozeman David P · CIK 0001575959 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,009 Underlying: Common Stock · 13 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 $100.75 and 6 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. deferred employee investment 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. deferred employee investment plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| July 31, 2014 Filed Aug 4, 2014 18:44 UTC |
Copeland Jananne A.Chief Accounting Officer
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GrantPhantom Stock Units · Derivative | 17 | $100.75 | $1,712.75 |
DisclosureSEC source: 0000018230-14-000305 · edgar.xml · derivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,954 Underlying: Common Stock · 17 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 11 shares which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $100.75 and 6 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment 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. deferred employee investment plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| July 31, 2014 Filed Aug 4, 2014 18:45 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
GrantPhantom Stock Units · Derivative | 119 | $108.67 | $12,931.73 |
DisclosureSEC source: 0000018230-14-000307 · 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: 61,641 Underlying: Common Stock · 119 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 79 shares which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $100.75 and 40 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment 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. deferred employee investment plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| July 31, 2014 Filed Aug 4, 2014 18:46 UTC |
Halverson Bradley MGroup President & CFO
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GrantPhantom Stock Units · Derivative | 59 | $100.75 | $5,944.25 |
DisclosureSEC source: 0000018230-14-000309 · edgar.xml · derivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,694 Underlying: Common stock · 59 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 39 shares which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $100.75 and 20 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. deferred employee investment 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. deferred employee investment plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| July 30, 2014 Filed Jul 31, 2014 15:43 UTC |
BUDA JAMES BExecutive Vice President
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Exercise / conversionStock Appreciation Right · Derivative | 2,925 | $0.00 Strike: $22.17 | $0.00 |
DisclosureSEC source: 0000018230-14-000282 · edgar.xml · derivative · entry 12 BUDA JAMES B · CIK 0001171771 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,925 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 30, 2014 Filed Jul 31, 2014 15:43 UTC |
BUDA JAMES BExecutive Vice President
|
SaleCommon Stock | 2,306 | $105.00 | $242,130.00 |
DisclosureSEC source: 0000018230-14-000282 · edgar.xml · nonDerivative · entry 9 BUDA JAMES B · CIK 0001171771 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,787 Read SEC document |
| July 30, 2014 Filed Jul 31, 2014 15:43 UTC |
BUDA JAMES BExecutive Vice President
|
Disposition to issuerCommon Stock | 619 | $104.69 | $64,803.11 |
DisclosureSEC source: 0000018230-14-000282 · edgar.xml · nonDerivative · entry 8 BUDA JAMES B · CIK 0001171771 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,093 Read SEC document |
| July 30, 2014 Filed Jul 31, 2014 15:43 UTC |
BUDA JAMES BExecutive Vice President
|
Exercise / conversionCommon Stock | 2,925 | $22.17 | $64,847.25 |
DisclosureSEC source: 0000018230-14-000282 · edgar.xml · nonDerivative · entry 7 BUDA JAMES B · CIK 0001171771 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,712 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, 2014 Filed Jul 31, 2014 15:43 UTC |
BUDA JAMES BExecutive Vice President
|
Exercise / conversionStock Appreciation Right · Derivative | 68,251 | $0.00 Strike: $22.17 | $0.00 |
DisclosureSEC source: 0000018230-14-000282 · edgar.xml · derivative · entry 11 BUDA JAMES B · CIK 0001171771 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 68,251 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, 2014 Filed Jul 31, 2014 15:43 UTC |
BUDA JAMES BExecutive Vice President
|
Exercise / conversionStock Appreciation Right · Derivative | 48,144 | $0.00 Strike: $73.20 | $0.00 |
DisclosureSEC source: 0000018230-14-000282 · edgar.xml · derivative · entry 10 BUDA JAMES B · CIK 0001171771 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 48,144 shares Expires 2018-03-03 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| July 29, 2014 Filed Jul 31, 2014 15:43 UTC |
BUDA JAMES BExecutive Vice President
|
SaleCommon Stock | 53,871 | $105.24 | $5,669,534.88 |
DisclosureSEC source: 0000018230-14-000282 · edgar.xml · nonDerivative · entry 6 BUDA JAMES B · CIK 0001171771 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,787 Read SEC document |
| July 29, 2014 Filed Jul 31, 2014 15:43 UTC |
BUDA JAMES BExecutive Vice President
|
Disposition to issuerCommon Stock | 14,380 | $105.22 | $1,513,063.60 |
DisclosureSEC source: 0000018230-14-000282 · edgar.xml · nonDerivative · entry 5 BUDA JAMES B · CIK 0001171771 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,658 Read SEC document |
| July 29, 2014 Filed Jul 31, 2014 15:43 UTC |
BUDA JAMES BExecutive Vice President
|
Exercise / conversionCommon Stock | 68,251 | $22.17 | $1,513,124.67 |
DisclosureSEC source: 0000018230-14-000282 · edgar.xml · nonDerivative · entry 4 BUDA JAMES B · CIK 0001171771 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 105,038 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, 2014 Filed Jul 31, 2014 15:43 UTC |
BUDA JAMES BExecutive Vice President
|
SaleCommon Stock | 14,651 | $105.24 | $1,541,912.26 |
DisclosureSEC source: 0000018230-14-000282 · edgar.xml · nonDerivative · entry 3 BUDA JAMES B · CIK 0001171771 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,787 Read SEC document |
| July 29, 2014 Filed Jul 31, 2014 15:43 UTC |
BUDA JAMES BExecutive Vice President
|
Disposition to issuerCommon Stock | 33,493 | $105.22 | $3,524,133.46 |
DisclosureSEC source: 0000018230-14-000282 · edgar.xml · nonDerivative · entry 2 BUDA JAMES B · CIK 0001171771 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,438 Read SEC document |
| July 29, 2014 Filed Jul 31, 2014 15:43 UTC |
BUDA JAMES BExecutive Vice President
|
Exercise / conversionCommon Stock | 48,144 | $73.20 | $3,524,140.80 |
DisclosureSEC source: 0000018230-14-000282 · edgar.xml · nonDerivative · entry 1 BUDA JAMES B · CIK 0001171771 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 84,931 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 18, 2014 Filed Jul 21, 2014 20:13 UTC |
LEVENICK STUART LGroup President
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Exercise / conversionStock Appreciation Right · Derivative | 105,000 | $0.00 Strike: $72.05 | $0.00 |
DisclosureSEC source: 0000018230-14-000277 · edgar.xml · derivative · entry 3 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 105,000 shares Expires 2016-02-16 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 18, 2014 Filed Jul 21, 2014 20:13 UTC |
LEVENICK STUART LGroup President
|
Tax withholdingCommon Stock | 16,893 | $109.61 | $1,851,641.73 |
DisclosureSEC source: 0000018230-14-000277 · edgar.xml · nonDerivative · entry 2 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 255,968 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.