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 18, 2014 Filed Jul 21, 2014 20:13 UTC |
LEVENICK STUART LGroup President
|
Exercise / conversionCommon Stock | 105,000 | $72.05 | $7,565,250.00 |
DisclosureSEC source: 0000018230-14-000277 · edgar.xml · nonDerivative · entry 1 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 272,861 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 |
| June 30, 2014 Filed Jul 2, 2014 19:22 UTC |
MAGOWAN PETER ADirector
|
GrantPhantom Stock Units · Derivative | 116 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000255 · edgar.xml · derivative · entry 1 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,214 Underlying: Common Stock · 116 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 |
| June 30, 2014 Filed Jul 2, 2014 19:24 UTC |
WHITE MILES DDirector
|
GrantPhantom Stock Units · Derivative | 65 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000257 · edgar.xml · derivative · entry 1 WHITE MILES D · CIK 0001239129 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,161 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. Read SEC document |
| June 30, 2014 Filed Jul 2, 2014 19:26 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 134 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000259 · edgar.xml · derivative · entry 1 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,487 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. Read SEC document |
| June 30, 2014 Filed Jul 2, 2014 19:28 UTC |
SCHWAB SUSAN CDirector
|
GrantPhantom Stock Units · Derivative | 115 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000261 · edgar.xml · derivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,221 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. Read SEC document |
| June 30, 2014 Filed Jul 2, 2014 19:30 UTC |
DICKINSON DANIEL MDirector
|
GrantPhantom Stock Units · Derivative | 116 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000263 · edgar.xml · derivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,929 Underlying: Common Stock · 116 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 |
| June 30, 2014 Filed Jul 2, 2014 19:32 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 115 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000265 · edgar.xml · derivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,088 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. Read SEC document |
| June 30, 2014 Filed Jul 2, 2014 19:34 UTC |
CALHOUN DAVID LDirector
|
GrantPhantom Stock Units · Derivative | 115 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000267 · edgar.xml · derivative · entry 1 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,231 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. Read SEC document |
| June 30, 2014 Filed Jul 2, 2014 20:49 UTC |
BUDA JAMES BExecutive Vice President
|
GrantPhantom Stock Units · Derivative | 64 | $108.67 | $6,954.88 |
DisclosureSEC source: 0000018230-14-000269 · edgar.xml · derivative · entry 1 BUDA JAMES B · CIK 0001171771 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,261 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 $108.67 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 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 are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| June 30, 2014 Filed Jul 2, 2014 20:50 UTC |
Halverson Bradley MGroup President & CFO
|
GrantPhantom Stock Units · Derivative | 54 | $108.67 | $5,868.18 |
DisclosureSEC source: 0000018230-14-000271 · edgar.xml · derivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,636 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 $108.67 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. 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 |
| June 30, 2014 Filed Jul 2, 2014 20:52 UTC |
Bozeman David PSenior Vice President
|
GrantPhantom Stock Units · Derivative | 12 | $108.67 | $1,304.04 |
DisclosureSEC source: 0000018230-14-000274 · edgar.xml · derivative · entry 1 Bozeman David P · CIK 0001575959 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 996 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 $108.67 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 |
| June 30, 2014 Filed Jul 2, 2014 20:53 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
GrantPhantom Stock Units · Derivative | 110 | $108.67 | $11,953.70 |
DisclosureSEC source: 0000018230-14-000275 · 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: 61,522 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 $108.67 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. 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 |
| June 26, 2014 Filed Aug 7, 2014 21:34 UTC |
RAPP EDWARD JGroup President
|
GiftCommon Stock | 1,500 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000313 · edgar.xml · nonDerivative · entry 4 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,680 Read SEC document |
| June 06, 2014 Filed Oct 28, 2014 16:23 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
GiftCommon Stock | 12,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000383 · edgar.xml · nonDerivative · entry 3 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 214,881 F1 · balance_after: Includes adjustments for dividends accrued and shares acquired under Caterpillar Inc.'s 401(k) plan. Read SEC document |
| May 30, 2014 Filed Jun 3, 2014 15:33 UTC |
CALHOUN DAVID LDirector
|
GrantPhantom Stock Units · Derivative | 122 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000197 · edgar.xml · derivative · entry 1 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,116 Underlying: Common Stock · 122 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 |
| May 30, 2014 Filed Jun 3, 2014 15:36 UTC |
DICKINSON DANIEL MDirector
|
GrantPhantom Stock Units · Derivative | 122 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000199 · edgar.xml · derivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,813 Underlying: Common Stock · 122 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| May 30, 2014 Filed Jun 3, 2014 15:38 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 122 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000201 · edgar.xml · derivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,973 Underlying: Common Stock · 122 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| May 30, 2014 Filed Jun 3, 2014 15:41 UTC |
MAGOWAN PETER ADirector
|
GrantPhantom Stock Units · Derivative | 122 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000203 · edgar.xml · derivative · entry 1 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,098 Underlying: Common Stock · 122 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| May 30, 2014 Filed Jun 3, 2014 15:42 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 142 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000205 · edgar.xml · derivative · entry 1 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,353 Underlying: Common Stock · 142 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| May 30, 2014 Filed Jun 3, 2014 15:44 UTC |
SCHWAB SUSAN CDirector
|
GrantPhantom Stock Units · Derivative | 122 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000207 · edgar.xml · derivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,106 Underlying: Common Stock · 122 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| May 30, 2014 Filed Jun 3, 2014 15:46 UTC |
WHITE MILES DDirector
|
GrantPhantom Stock Units · Derivative | 69 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000209 · edgar.xml · derivative · entry 1 WHITE MILES D · CIK 0001239129 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,096 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: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| May 30, 2014 Filed Jun 3, 2014 19:12 UTC |
Halverson Bradley MGroup President & CFO
|
GrantPhantom Stock Units · Derivative | 32 | $102.23 | $3,271.36 |
DisclosureSEC source: 0000018230-14-000211 · edgar.xml · derivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,582 Underlying: Common stock · 32 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 which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $102.23 and 11 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the 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. F4 · balance_after: Includes phantom stock units acquired under Tax-Conditioned Plan. Read SEC document |
| May 30, 2014 Filed Jun 3, 2014 19:18 UTC |
BUDA JAMES BExecutive Vice President
|
GrantPhantom Stock Units · Derivative | 68 | $102.23 | $6,951.64 |
DisclosureSEC source: 0000018230-14-000213 · edgar.xml · derivative · entry 1 BUDA JAMES B · CIK 0001171771 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,197 Underlying: Common Stock · 68 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 45 shares which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $102.23 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 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 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 |
| May 30, 2014 Filed Jun 3, 2014 19:21 UTC |
Bozeman David PSenior Vice President
|
GrantPhantom Stock Units · Derivative | 3 | $102.23 | $306.69 |
DisclosureSEC source: 0000018230-14-000215 · edgar.xml · derivative · entry 1 Bozeman David P · CIK 0001575959 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 984 Underlying: Common Stock · 3 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 2 shares where was credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $102.23 and 1share 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. F4 · balance_after: Includes phantom stock units acquired under Tax-Conditioned Plan. Read SEC document |
| May 30, 2014 Filed Jun 3, 2014 20:23 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
GrantPhantom Stock Units · Derivative | 117 | $102.23 | $11,960.91 |
DisclosureSEC source: 0000018230-14-000217 · 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: 61,412 Underlying: Common Stock · 117 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 78 shares which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $102.23 and 39 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. F4 · balance_after: Includes phantom stock units acquired under Tax-Conditioned Plan. Read SEC document |
| May 06, 2014 Filed May 7, 2014 20:40 UTC |
RAPP EDWARD JGroup President
|
Exercise / conversionEmployee Stock Option · Derivative | 30,000 | $0.00 Strike: $45.64 | $0.00 |
DisclosureSEC source: 0000018230-14-000187 · edgar.xml · derivative · entry 5 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 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 |
| May 06, 2014 Filed May 7, 2014 20:40 UTC |
RAPP EDWARD JGroup President
|
SaleCommon Stock | 15,000 | $103.99 | $1,559,790.00 |
DisclosureSEC source: 0000018230-14-000187 · edgar.xml · nonDerivative · entry 4 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,485 Read SEC document |
| May 06, 2014 Filed May 7, 2014 20:40 UTC |
RAPP EDWARD JGroup President
|
Exercise / conversionCommon Stock | 15,000 | $45.64 | $684,637.50 |
DisclosureSEC source: 0000018230-14-000187 · edgar.xml · nonDerivative · entry 3 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,485 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 06, 2014 Filed May 7, 2014 20:40 UTC |
RAPP EDWARD JGroup President
|
Tax withholdingCommon Stock | 10,534 | $104.04 | $1,095,904.69 |
DisclosureSEC source: 0000018230-14-000187 · edgar.xml · nonDerivative · entry 2 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,485 Read SEC document |
| May 06, 2014 Filed May 7, 2014 20:40 UTC |
RAPP EDWARD JGroup President
|
Exercise / conversionCommon Stock | 15,000 | $45.64 | $684,637.50 |
DisclosureSEC source: 0000018230-14-000187 · edgar.xml · nonDerivative · entry 1 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,485 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 06, 2014 Filed Aug 7, 2014 21:07 UTC Amendment |
RAPP EDWARD JGroup President
|
SaleCommon Stock | 15,000 | $103.99 | $1,559,790.00 |
DisclosureSEC source: 0000018230-14-000311 · edgar.xml · nonDerivative · entry 4 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,794 F1 · balance_after: This amended Form 4 is being filed to correct the number of shares beneficially owned following each of the reported transactions. Read SEC document |
| May 06, 2014 Filed Aug 7, 2014 21:07 UTC Amendment |
RAPP EDWARD JGroup President
|
Exercise / conversionCommon Stock | 15,000 | $45.64 | $684,637.50 |
DisclosureSEC source: 0000018230-14-000311 · edgar.xml · nonDerivative · entry 3 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 84,794 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. F1 · balance_after: This amended Form 4 is being filed to correct the number of shares beneficially owned following each of the reported transactions. Read SEC document |
| May 06, 2014 Filed Aug 7, 2014 21:07 UTC Amendment |
RAPP EDWARD JGroup President
|
Tax withholdingCommon Stock | 10,534 | $104.04 | $1,095,904.69 |
DisclosureSEC source: 0000018230-14-000311 · edgar.xml · nonDerivative · entry 2 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,794 F1 · balance_after: This amended Form 4 is being filed to correct the number of shares beneficially owned following each of the reported transactions. Read SEC document |
| May 06, 2014 Filed Aug 7, 2014 21:07 UTC Amendment |
RAPP EDWARD JGroup President
|
Exercise / conversionCommon Stock | 15,000 | $45.64 | $684,637.50 |
DisclosureSEC source: 0000018230-14-000311 · edgar.xml · nonDerivative · entry 1 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,328 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 · balance_after: This amended Form 4 is being filed to correct the number of shares beneficially owned following each of the reported transactions. Read SEC document |
| May 02, 2014 Filed May 6, 2014 17:57 UTC |
WUNNING STEVEN HGroup President
|
Exercise / conversionRestricted Stock Units · Derivative | 250 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-14-000179 · edgar.xml · derivative · entry 3 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 500 Underlying: Common Stock · 250 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 represents the equivalent of one share of Caterpillar Inc. common stock. On May 2, 2014, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar Inc. common stock. F1 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On May 2, 2014, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar Inc. common stock. F2 · derivative.expiration_date: Represents restricted stock units (RSUs) awarded pursuant to the Caterpillar Inc. 2006 Long -Term Incentive Plan. Each RSU award vests in three equal annual installments beginning on the third anniversary of the initial grant date of May 2, 2011. Read SEC document |
| May 02, 2014 Filed May 6, 2014 17:57 UTC |
WUNNING STEVEN HGroup President
|
Tax withholdingCommon Stock | 118 | $105.16 | $12,408.29 |
DisclosureSEC source: 0000018230-14-000179 · edgar.xml · nonDerivative · entry 2 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 119,337 Read SEC document |
| May 02, 2014 Filed May 6, 2014 17:57 UTC |
WUNNING STEVEN HGroup President
|
Exercise / conversionCommon Stock | 250 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-14-000179 · edgar.xml · nonDerivative · entry 1 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 119,455 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. F1 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On May 2, 2014, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar Inc. common stock. Read SEC document |
| May 02, 2014 Filed May 6, 2014 17:59 UTC |
Bozeman David PSenior Vice President
|
Exercise / conversionRestricted Stock Units · Derivative | 167 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-14-000181 · edgar.xml · derivative · entry 3 Bozeman David P · CIK 0001575959 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 333 Underlying: Common Stock · 167 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 represents the equivalent of one share of Caterpillar Inc. common stock. On May 2, 2014, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar Inc. common stock. F1 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On May 2, 2014, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar Inc. common stock. F2 · derivative.expiration_date: Represents restricted stock units (RSUs) awarded pursuant to the Caterpillar Inc. 2006 Long -Term Incentive Plan. Each RSU award vests in three equal annual installments beginning on the third anniversary of the initial grant date of May 2, 2011. Read SEC document |
| May 02, 2014 Filed May 6, 2014 17:59 UTC |
Bozeman David PSenior Vice President
|
Tax withholdingCommon Stock | 55 | $105.16 | $5,783.53 |
DisclosureSEC source: 0000018230-14-000181 · edgar.xml · nonDerivative · entry 2 Bozeman David P · CIK 0001575959 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,602 Read SEC document |
| May 02, 2014 Filed May 6, 2014 17:59 UTC |
Bozeman David PSenior Vice President
|
Exercise / conversionCommon Stock | 167 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-14-000181 · edgar.xml · nonDerivative · entry 1 Bozeman David P · CIK 0001575959 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,657 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 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On May 2, 2014, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar Inc. common stock. Read SEC document |
| May 02, 2014 Filed May 6, 2014 18:03 UTC |
LEVENICK STUART LGroup President
|
Exercise / conversionRestricted Stock Units · Derivative | 167 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-14-000183 · edgar.xml · derivative · entry 3 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 333 Underlying: Common Stock · 167 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 represents the equivalent of one share of Caterpillar Inc. common stock. On May 2, 2014, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar Inc. common stock. F1 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On May 2, 2014, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar Inc. common stock. F2 · derivative.expiration_date: Represents restricted stock units (RSUs) awarded pursuant to the Caterpillar Inc. 2006 Long -Term Incentive Plan. Each RSU award vests in three equal annual installments beginning on the third anniversary of the initial grant date of May 2, 2011. Read SEC document |
| May 02, 2014 Filed May 6, 2014 18:03 UTC |
LEVENICK STUART LGroup President
|
Tax withholdingCommon Stock | 79 | $105.16 | $8,307.25 |
DisclosureSEC source: 0000018230-14-000183 · edgar.xml · nonDerivative · entry 2 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 167,861 Read SEC document |
| May 02, 2014 Filed May 6, 2014 18:03 UTC |
LEVENICK STUART LGroup President
|
Exercise / conversionCommon Stock | 167 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-14-000183 · edgar.xml · nonDerivative · entry 1 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 167,940 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 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On May 2, 2014, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar Inc. common stock. Read SEC document |
| May 02, 2014 Filed May 6, 2014 18:05 UTC |
RAPP EDWARD JGroup President
|
Exercise / conversionRestricted Stock Units · Derivative | 334 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-14-000185 · edgar.xml · derivative · entry 3 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 666 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. F1 · derivative.exercise_price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On May 2, 2014, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar Inc. common stock. F1 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On May 2, 2014, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar Inc. common stock. F2 · derivative.expiration_date: Represents restricted stock units (RSUs) awarded pursuant to the Caterpillar Inc. 2006 Long -Term Incentive Plan. Each RSU award vests in three equal annual installments beginning on the third anniversary of the initial grant date of May 2, 2011. Read SEC document |
| May 02, 2014 Filed May 6, 2014 18:05 UTC |
RAPP EDWARD JGroup President
|
Tax withholdingCommon Stock | 157 | $105.16 | $16,509.34 |
DisclosureSEC source: 0000018230-14-000185 · edgar.xml · nonDerivative · entry 2 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,328 Read SEC document |
| May 02, 2014 Filed May 6, 2014 18:05 UTC |
RAPP EDWARD JGroup President
|
Exercise / conversionCommon Stock | 334 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000185 · edgar.xml · nonDerivative · entry 1 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,485 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 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On May 2, 2014, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar Inc. common stock. Read SEC document |
| May 01, 2014 Filed May 2, 2014 17:48 UTC |
Copeland Jananne A.Chief Accounting Officer
|
Exercise / conversionEmployee Stock Options · Derivative | 7,900 | $0.00 Strike: $45.64 | $0.00 |
DisclosureSEC source: 0000018230-14-000173 · edgar.xml · derivative · entry 4 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,900 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 |
| May 01, 2014 Filed May 2, 2014 17:49 UTC |
Umpleby III Donald JGroup President
|
Exercise / conversionEmployee Stock Option · Derivative | 8,400 | $0.00 Strike: $45.64 | $0.00 |
DisclosureSEC source: 0000018230-14-000175 · edgar.xml · derivative · entry 3 Umpleby III Donald J · CIK 0001566320 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 8,400 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 |
| May 01, 2014 Filed May 2, 2014 17:49 UTC |
Umpleby III Donald JGroup President
|
SaleCommon Stock | 5,881 | $105.43 | $620,051.47 |
DisclosureSEC source: 0000018230-14-000175 · edgar.xml · nonDerivative · entry 2 Umpleby III Donald J · CIK 0001566320 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,045 F1 · shares: Shares sold to cover cost of (i) exercise price of options and (ii) cost of tax liability. Read SEC document |
| May 01, 2014 Filed May 2, 2014 17:49 UTC |
Umpleby III Donald JGroup President
|
Exercise / conversionCommon Stock | 8,400 | $45.64 | $383,397.00 |
DisclosureSEC source: 0000018230-14-000175 · edgar.xml · nonDerivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,926 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.