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 |
|---|---|---|---|---|---|---|
| May 01, 2014 Filed May 3, 2017 22:33 UTC |
Copeland Jananne A.Chief Accounting Officer
|
GrantCommon Stock | 875 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-17-000149 · edgar.xml · nonDerivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,379 Read SEC document |
| April 30, 2014 Filed May 1, 2014 21:53 UTC |
BUDA JAMES BExecutive Vice President
|
GrantPhantom Stock Units · Derivative | 41 | $105.40 | $4,321.40 |
DisclosureSEC source: 0000018230-14-000151 · edgar.xml · derivative · entry 9 BUDA JAMES B · CIK 0001171771 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,495 Underlying: Common Stock · 41 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 27 shares which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $105.40 and 14 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 |
| April 30, 2014 Filed May 1, 2014 21:56 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
GrantPhantom Stock Units · Derivative | 114 | $105.40 | $12,015.60 |
DisclosureSEC source: 0000018230-14-000155 · edgar.xml · derivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,258 Underlying: Common Stock · 114 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 76 shares which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $105.40 and 38 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 |
| April 30, 2014 Filed May 2, 2014 16:33 UTC |
CALHOUN DAVID LDirector
|
GrantPhantom Stock Units · Derivative | 118 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000159 · edgar.xml · derivative · entry 1 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,965 Underlying: Common Stock · 118 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 |
| April 30, 2014 Filed May 2, 2014 16:34 UTC |
DICKINSON DANIEL MDirector
|
GrantPhantom Stock Units · Derivative | 118 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000161 · edgar.xml · derivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,589 Underlying: Common Stock · 118 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 |
| April 30, 2014 Filed May 2, 2014 16:36 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 118 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000163 · edgar.xml · derivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,742 Underlying: Common Stock · 118 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 |
| April 30, 2014 Filed May 2, 2014 16:38 UTC |
MAGOWAN PETER ADirector
|
GrantPhantom Stock Units · Derivative | 118 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000165 · edgar.xml · derivative · entry 1 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,797 Underlying: Common Stock · 118 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 |
| April 30, 2014 Filed May 2, 2014 16:39 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 138 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000167 · edgar.xml · derivative · entry 1 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,071 Underlying: Common Stock · 138 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 |
| April 30, 2014 Filed May 2, 2014 16:41 UTC |
SCHWAB SUSAN CDirector
|
GrantPhantom Stock Units · Derivative | 118 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000169 · edgar.xml · derivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,961 Underlying: Common Stock · 118 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 |
| April 30, 2014 Filed May 2, 2014 16:42 UTC |
WHITE MILES DDirector
|
GrantPhantom Stock Units · Derivative | 67 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000171 · edgar.xml · derivative · entry 1 WHITE MILES D · CIK 0001239129 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,015 Underlying: Common Stock · 67 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 |
| April 30, 2014 Filed May 2, 2014 17:48 UTC |
Copeland Jananne A.Chief Accounting Officer
|
SaleCommon Stock | 1,210 | $105.36 | $127,485.60 |
DisclosureSEC source: 0000018230-14-000173 · edgar.xml · nonDerivative · entry 3 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,869 Read SEC document |
| April 30, 2014 Filed May 2, 2014 17:48 UTC |
Copeland Jananne A.Chief Accounting Officer
|
SaleCommon Stock | 7,900 | $105.41 | $832,752.43 |
DisclosureSEC source: 0000018230-14-000173 · edgar.xml · nonDerivative · entry 2 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,079 Read SEC document |
| April 30, 2014 Filed May 2, 2014 17:48 UTC |
Copeland Jananne A.Chief Accounting Officer
|
Exercise / conversionCommon Stock | 7,900 | $45.64 | $360,575.75 |
DisclosureSEC source: 0000018230-14-000173 · edgar.xml · nonDerivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,979 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 |
| April 29, 2014 Filed May 1, 2014 21:53 UTC |
BUDA JAMES BExecutive Vice President
|
Exercise / conversionStock Appreciation Right · Derivative | 47,342 | $0.00 Strike: $63.04 | $0.00 |
DisclosureSEC source: 0000018230-14-000151 · edgar.xml · derivative · entry 8 BUDA JAMES B · CIK 0001171771 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 47,342 shares Expires 2017-03-02 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| April 29, 2014 Filed May 1, 2014 21:53 UTC |
BUDA JAMES BExecutive Vice President
|
Exercise / conversionStock Appreciation Right · Derivative | 48,000 | $0.00 Strike: $72.05 | $0.00 |
DisclosureSEC source: 0000018230-14-000151 · edgar.xml · derivative · entry 7 BUDA JAMES B · CIK 0001171771 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 48,000 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 |
| April 29, 2014 Filed May 1, 2014 21:53 UTC |
BUDA JAMES BExecutive Vice President
|
SaleCommon Stock | 18,718 | $105.00 | $1,965,390.00 |
DisclosureSEC source: 0000018230-14-000151 · 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 |
| April 29, 2014 Filed May 1, 2014 21:53 UTC |
BUDA JAMES BExecutive Vice President
|
Disposition to issuerCommon Stock | 28,624 | $104.26 | $2,984,338.24 |
DisclosureSEC source: 0000018230-14-000151 · edgar.xml · nonDerivative · entry 5 BUDA JAMES B · CIK 0001171771 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,505 Read SEC document |
| April 29, 2014 Filed May 1, 2014 21:53 UTC |
BUDA JAMES BExecutive Vice President
|
Exercise / conversionCommon Stock | 47,342 | $63.04 | $2,984,439.68 |
DisclosureSEC source: 0000018230-14-000151 · edgar.xml · nonDerivative · entry 4 BUDA JAMES B · CIK 0001171771 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 84,129 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 |
| April 29, 2014 Filed May 1, 2014 21:53 UTC |
BUDA JAMES BExecutive Vice President
|
SaleCommon Stock | 14,830 | $105.00 | $1,557,150.00 |
DisclosureSEC source: 0000018230-14-000151 · 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 |
| April 29, 2014 Filed May 1, 2014 21:53 UTC |
BUDA JAMES BExecutive Vice President
|
Disposition to issuerCommon Stock | 33,170 | $104.26 | $3,458,304.20 |
DisclosureSEC source: 0000018230-14-000151 · edgar.xml · nonDerivative · entry 2 BUDA JAMES B · CIK 0001171771 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,617 Read SEC document |
| April 29, 2014 Filed May 1, 2014 21:53 UTC |
BUDA JAMES BExecutive Vice President
|
Exercise / conversionCommon Stock | 48,000 | $72.05 | $3,458,400.00 |
DisclosureSEC source: 0000018230-14-000151 · edgar.xml · nonDerivative · entry 1 BUDA JAMES B · CIK 0001171771 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 84,787 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 |
| April 29, 2014 Filed May 1, 2014 21:54 UTC |
OSBORN WILLIAM ADirector
|
Exercise / conversionStock Appreciation Right · Derivative | 5,833 | $0.00 Strike: $63.04 | $0.00 |
DisclosureSEC source: 0000018230-14-000153 · edgar.xml · derivative · entry 6 OSBORN WILLIAM A · CIK 0001171797 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,833 shares Expires 2017-03-02 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| April 29, 2014 Filed May 1, 2014 21:54 UTC |
OSBORN WILLIAM ADirector
|
Exercise / conversionStock Appreciation Right · Derivative | 7,000 | $0.00 Strike: $66.77 | $0.00 |
DisclosureSEC source: 0000018230-14-000153 · edgar.xml · derivative · entry 5 OSBORN WILLIAM A · CIK 0001171797 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,000 shares Expires 2016-06-14 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 |
| April 29, 2014 Filed May 1, 2014 21:54 UTC |
OSBORN WILLIAM ADirector
|
Disposition to issuerCommon Stock | 3,513 | $104.67 | $367,688.15 |
DisclosureSEC source: 0000018230-14-000153 · edgar.xml · nonDerivative · entry 4 OSBORN WILLIAM A · CIK 0001171797 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,160 Read SEC document |
| April 29, 2014 Filed May 1, 2014 21:54 UTC |
OSBORN WILLIAM ADirector
|
Exercise / conversionCommon Stock | 5,833 | $63.04 | $367,712.32 |
DisclosureSEC source: 0000018230-14-000153 · edgar.xml · nonDerivative · entry 3 OSBORN WILLIAM A · CIK 0001171797 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,673 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 |
| April 29, 2014 Filed May 1, 2014 21:54 UTC |
OSBORN WILLIAM ADirector
|
Disposition to issuerCommon Stock | 4,465 | $104.67 | $467,329.23 |
DisclosureSEC source: 0000018230-14-000153 · edgar.xml · nonDerivative · entry 2 OSBORN WILLIAM A · CIK 0001171797 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,840 Read SEC document |
| April 29, 2014 Filed May 1, 2014 21:54 UTC |
OSBORN WILLIAM ADirector
|
Exercise / conversionCommon Stock | 7,000 | $66.77 | $467,355.00 |
DisclosureSEC source: 0000018230-14-000153 · edgar.xml · nonDerivative · entry 1 OSBORN WILLIAM A · CIK 0001171797 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,305 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 |
| April 29, 2014 Filed May 1, 2014 21:59 UTC |
Halverson Bradley MGroup President & CFO
|
Exercise / conversionStock Aprreciation Right · Derivative | 17,000 | $0.00 Strike: $72.05 | $0.00 |
DisclosureSEC source: 0000018230-14-000157 · edgar.xml · derivative · entry 8 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common stock · 17,000 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 |
| April 29, 2014 Filed May 1, 2014 21:59 UTC |
Halverson Bradley MGroup President & CFO
|
Exercise / conversionEmployee Stock Options · Derivative | 11,000 | $0.00 Strike: $45.64 | $0.00 |
DisclosureSEC source: 0000018230-14-000157 · edgar.xml · derivative · entry 7 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 11,000 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. F1 · derivative.exercise_date: Exercisable in thirds beginning 1 year after the initial grant date. (1/3 after one year; 1/3 after two years; 1/3 after 3 years). Read SEC document |
| April 29, 2014 Filed May 1, 2014 21:59 UTC |
Halverson Bradley MGroup President & CFO
|
SaleCommon Stock | 3,355 | $104.80 | $351,604.00 |
DisclosureSEC source: 0000018230-14-000157 · edgar.xml · nonDerivative · entry 6 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Indirect · By Mindy Halverson Trust Disclosed balance after: 17,480 Read SEC document |
| April 29, 2014 Filed May 1, 2014 21:59 UTC |
Halverson Bradley MGroup President & CFO
|
SaleCommon Stock | 5,283 | $104.51 | $552,117.35 |
DisclosureSEC source: 0000018230-14-000157 · edgar.xml · nonDerivative · entry 5 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,835 Read SEC document |
| April 29, 2014 Filed May 1, 2014 21:59 UTC |
Halverson Bradley MGroup President & CFO
|
Disposition to issuerCommon Stock | 11,717 | $104.51 | $1,224,523.75 |
DisclosureSEC source: 0000018230-14-000157 · edgar.xml · nonDerivative · entry 4 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,118 Read SEC document |
| April 29, 2014 Filed May 1, 2014 21:59 UTC |
Halverson Bradley MGroup President & CFO
|
Exercise / conversionCommon Stock | 17,000 | $72.05 | $1,224,850.00 |
DisclosureSEC source: 0000018230-14-000157 · edgar.xml · nonDerivative · entry 3 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,835 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 |
| April 29, 2014 Filed May 1, 2014 21:59 UTC |
Halverson Bradley MGroup President & CFO
|
SaleCommon Stock | 11,000 | $104.60 | $1,150,637.40 |
DisclosureSEC source: 0000018230-14-000157 · edgar.xml · nonDerivative · entry 2 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,835 Read SEC document |
| April 29, 2014 Filed May 1, 2014 21:59 UTC |
Halverson Bradley MGroup President & CFO
|
Exercise / conversionCommon Stock | 11,000 | $45.64 | $502,067.50 |
DisclosureSEC source: 0000018230-14-000157 · edgar.xml · nonDerivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,835 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 |
| April 11, 2014 Filed Apr 14, 2014 19:54 UTC |
GALLARDO JUANDirector
|
Exercise / conversionEmployee Stock Option · Derivative | 8,000 | $0.00 Strike: $40.64 | $0.00 |
DisclosureSEC source: 0000018230-14-000138 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 8,000 shares Expires 2014-04-14 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 |
| April 11, 2014 Filed Apr 14, 2014 19:54 UTC |
GALLARDO JUANDirector
|
Exercise / conversionCommon Stock | 8,000 | $40.64 | $325,080.00 |
DisclosureSEC source: 0000018230-14-000138 · edgar.xml · nonDerivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 256,201 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 |
| April 11, 2014 Filed May 1, 2014 21:56 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
GiftCommon Stock | 1,046 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000155 · edgar.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 205,829 Read SEC document |
| April 01, 2014 Filed Apr 2, 2014 19:13 UTC |
RAPP EDWARD JGroup President
|
Exercise / conversionRestricted Stock Units · Derivative | 392 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000136 · edgar.xml · derivative · entry 3 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 391 Underlying: Common Stock · 392 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit (RSU) represents the right to receive one share of Caterpillar Inc. common stock upon vesting of such RSUs.. F2 · derivative.exercise_date: RSUs vest in three equal annual installments beginning on April 1, 2013. On April 1, 2014, the reporting person's RSUs were settled for an equal number of shares of Caterpillar Inc. common stock. F2 · derivative.expiration_date: RSUs vest in three equal annual installments beginning on April 1, 2013. On April 1, 2014, the reporting person's RSUs were settled for an equal number of shares of Caterpillar Inc. common stock. Read SEC document |
| April 01, 2014 Filed Apr 2, 2014 19:13 UTC |
RAPP EDWARD JGroup President
|
Tax withholdingCommon Stock | 185 | $99.51 | $18,409.35 |
DisclosureSEC source: 0000018230-14-000136 · edgar.xml · nonDerivative · entry 2 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,151 Read SEC document |
| April 01, 2014 Filed Apr 2, 2014 19:13 UTC |
RAPP EDWARD JGroup President
|
Exercise / conversionCommon Stock | 392 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000136 · edgar.xml · nonDerivative · entry 1 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,336 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| March 31, 2014 Filed Apr 2, 2014 16:02 UTC |
CALHOUN DAVID LDirector
|
GrantPhantom Stock Units · Derivative | 125 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000121 · edgar.xml · derivative · entry 1 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,847 Underlying: Common Stock · 125 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 |
| March 31, 2014 Filed Apr 2, 2014 16:03 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
GrantPhantom Stock Units · Derivative | 121 | $99.37 | $12,023.77 |
DisclosureSEC source: 0000018230-14-000122 · 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: 60,144 Underlying: Common Stock · 121 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 81 shares which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $99.37 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 |
| March 31, 2014 Filed Apr 2, 2014 16:05 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 146 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000124 · edgar.xml · derivative · entry 1 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,933 Underlying: Common Stock · 146 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 |
| March 31, 2014 Filed Apr 2, 2014 16:08 UTC |
SCHWAB SUSAN CDirector
|
GrantPhantom Stock Units · Derivative | 125 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000126 · edgar.xml · derivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,843 Underlying: Common Stock · 125 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 |
| March 31, 2014 Filed Apr 2, 2014 16:09 UTC |
MAGOWAN PETER ADirector
|
GrantPhantom Stock Units · Derivative | 125 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000128 · edgar.xml · derivative · entry 1 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,679 Underlying: Common Stock · 125 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 |
| March 31, 2014 Filed Apr 2, 2014 16:11 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 125 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000130 · edgar.xml · derivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,624 Underlying: Common Stock · 125 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 |
| March 31, 2014 Filed Apr 2, 2014 16:13 UTC |
DICKINSON DANIEL MDirector
|
GrantPhantom Stock Units · Derivative | 125 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000132 · edgar.xml · derivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,471 Underlying: Common Stock · 125 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 |
| March 31, 2014 Filed Apr 2, 2014 16:17 UTC |
WHITE MILES DDirector
|
GrantPhantom Stock Units · Derivative | 70 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000134 · edgar.xml · derivative · entry 1 WHITE MILES D · CIK 0001239129 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,948 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 |
| March 27, 2014 Filed Mar 31, 2014 15:51 UTC |
MAGOWAN PETER ADirector
|
Exercise / conversionEmployee Stock Options · Derivative | 8,000 | $0.00 Strike: $40.64 | $0.00 |
DisclosureSEC source: 0000018230-14-000118 · edgar.xml · derivative · entry 3 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 8,000 shares Expires 2014-04-14 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.