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 |
|---|---|---|---|---|---|---|
| March 27, 2014 Filed Mar 31, 2014 15:51 UTC |
MAGOWAN PETER ADirector
|
Tax withholdingCommon Stock | 3,314 | $98.09 | $325,070.26 |
DisclosureSEC source: 0000018230-14-000118 · edgar.xml · nonDerivative · entry 2 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 315,608 Read SEC document |
| March 27, 2014 Filed Mar 31, 2014 15:51 UTC |
MAGOWAN PETER ADirector
|
Exercise / conversionCommon Stock | 8,000 | $40.64 | $325,080.00 |
DisclosureSEC source: 0000018230-14-000118 · edgar.xml · nonDerivative · entry 1 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 318,922 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 24, 2014 Filed Mar 25, 2014 20:14 UTC |
WUNNING STEVEN HGroup President
|
Exercise / conversionEmployee Stock Options · Derivative | 65,000 | $0.00 Strike: $45.64 | $0.00 |
DisclosureSEC source: 0000018230-14-000116 · edgar.xml · derivative · entry 7 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 65,000 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 |
| March 24, 2014 Filed Mar 25, 2014 20:14 UTC |
WUNNING STEVEN HGroup President
|
Tax withholdingCommon Stock | 46,742 | $97.01 | $4,534,441.42 |
DisclosureSEC source: 0000018230-14-000116 · edgar.xml · nonDerivative · entry 4 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 120,520 Read SEC document |
| March 24, 2014 Filed Mar 25, 2014 20:14 UTC |
WUNNING STEVEN HGroup President
|
Exercise / conversionCommon Stock | 65,000 | $45.64 | $2,966,762.50 |
DisclosureSEC source: 0000018230-14-000116 · edgar.xml · nonDerivative · entry 3 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 167,262 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 21, 2014 Filed Mar 25, 2014 20:14 UTC |
WUNNING STEVEN HGroup President
|
Exercise / conversionEmployee Stock Options · Derivative | 65,000 | $0.00 Strike: $45.64 | $0.00 |
DisclosureSEC source: 0000018230-14-000116 · edgar.xml · derivative · entry 6 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,000 Underlying: Common Stock · 65,000 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 |
| March 21, 2014 Filed Mar 25, 2014 20:14 UTC |
WUNNING STEVEN HGroup President
|
Tax withholdingCommon Stock | 45,888 | $97.15 | $4,458,019.20 |
DisclosureSEC source: 0000018230-14-000116 · edgar.xml · nonDerivative · entry 2 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 102,262 Read SEC document |
| March 21, 2014 Filed Mar 25, 2014 20:14 UTC |
WUNNING STEVEN HGroup President
|
Exercise / conversionCommon Stock | 65,000 | $45.64 | $2,966,762.50 |
DisclosureSEC source: 0000018230-14-000116 · edgar.xml · nonDerivative · entry 1 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 148,150 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 17, 2014 Filed Mar 25, 2014 20:14 UTC |
WUNNING STEVEN HGroup President
|
GiftCommon Stock | 1,315 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000116 · edgar.xml · nonDerivative · entry 5 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 119,205 Read SEC document |
| March 04, 2014 Filed Mar 5, 2014 19:33 UTC |
GALLARDO JUANDirector
|
Tax withholdingCommon Stock | 335 | $96.31 | $32,263.85 |
DisclosureSEC source: 0000018230-14-000090 · edgar.xml · nonDerivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 248,201 Read SEC document |
| March 04, 2014 Filed Mar 5, 2014 19:35 UTC |
WHITE MILES DDirector
|
Tax withholdingCommon Stock | 498 | $96.31 | $47,962.38 |
DisclosureSEC source: 0000018230-14-000092 · edgar.xml · nonDerivative · entry 1 WHITE MILES D · CIK 0001239129 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,015 Read SEC document |
| March 03, 2014 Filed Mar 4, 2014 17:16 UTC |
DICKINSON DANIEL MDirector
|
GrantCommon Stock | 1,298 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000066 · edgar.xml · nonDerivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,765 F1 · shares: Restricted stock awarded pursuant to the Caterpillar Inc. 2006 Long -Term Incentive Plan. Read SEC document |
| March 03, 2014 Filed Mar 4, 2014 17:18 UTC |
WHITE MILES DDirector
|
GrantCommon Stock | 1,298 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000068 · edgar.xml · nonDerivative · entry 1 WHITE MILES D · CIK 0001239129 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,513 F1 · shares: Restricted stock awarded pursuant to the Caterpillar Inc. 2006 Long -Term Incentive Plan. Read SEC document |
| March 03, 2014 Filed Mar 4, 2014 17:19 UTC |
SCHWAB SUSAN CDirector
|
GrantCommon Stock | 1,298 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000070 · edgar.xml · nonDerivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,307 F1 · shares: Restricted stock awarded pursuant to the Caterpillar Inc. 2006 Long -Term Incentive Plan. Read SEC document |
| March 03, 2014 Filed Mar 4, 2014 17:21 UTC |
RUST EDWARD B JRDirector
|
GrantCommon Stock | 1,298 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000072 · edgar.xml · nonDerivative · entry 1 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,857 F1 · shares: Restricted stock awarded pursuant to the Caterpillar Inc. 2006 Long -Term Incentive Plan. Read SEC document |
| March 03, 2014 Filed Mar 4, 2014 17:23 UTC |
MAGOWAN PETER ADirector
|
GrantCommon Stock | 1,298 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000074 · edgar.xml · nonDerivative · entry 1 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 310,922 F1 · shares: Restricted stock awarded pursuant to the Caterpillar Inc. 2006 Long -Term Incentive Plan. Read SEC document |
| March 03, 2014 Filed Mar 4, 2014 17:25 UTC |
GALLARDO JUANDirector
|
GrantCommon Stock | 1,298 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000076 · edgar.xml · nonDerivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 248,536 F1 · shares: Restricted stock awarded pursuant to the Caterpillar Inc. 2006 Long -Term Incentive Plan. Read SEC document |
| March 03, 2014 Filed Mar 4, 2014 17:26 UTC |
CALHOUN DAVID LDirector
|
GrantCommon Stock | 1,298 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000078 · edgar.xml · nonDerivative · entry 1 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,530 F1 · shares: Restricted stock awarded pursuant to the Caterpillar Inc. 2006 Long -Term Incentive Plan. Read SEC document |
| March 03, 2014 Filed Mar 4, 2014 17:28 UTC |
Muilenburg Dennis ADirector
|
GrantCommon Stock | 1,298 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000080 · edgar.xml · nonDerivative · entry 1 Muilenburg Dennis A · CIK 0001471763 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,322 F1 · shares: Restricted stock awarded pursuant to Caterpillar Inc. 2006 Long-Term Incentive Plan. Read SEC document |
| March 03, 2014 Filed Mar 4, 2014 17:29 UTC |
GREENE JESSE J JRDirector
|
GrantCommon Stock | 1,298 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000082 · edgar.xml · nonDerivative · entry 1 GREENE JESSE J JR · CIK 0001111353 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,324 F1 · shares: Restricted stock awarded pursuant to Caterpillar Inc. 2006 Long-Term Incentive Plan. Read SEC document |
| March 03, 2014 Filed Mar 4, 2014 17:31 UTC |
OSBORN WILLIAM ADirector
|
GrantCommon Stock | 1,298 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000084 · edgar.xml · nonDerivative · entry 1 OSBORN WILLIAM A · CIK 0001171797 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,305 F1 · shares: Restricted stock awarded pursuant to the Caterpillar Inc. 2006 Long -Term Incentive Plan. Read SEC document |
| March 03, 2014 Filed Mar 4, 2014 17:33 UTC |
Huntsman Jon M JrDirector
|
GrantCommon Stock | 1,298 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000086 · edgar.xml · nonDerivative · entry 1 Huntsman Jon M Jr · CIK 0001541785 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,413 F1 · shares: Restricted stock awarded pursuant to the Caterpillar Inc. 2006 Long -Term Incentive Plan. Read SEC document |
| March 03, 2014 Filed Mar 5, 2014 19:39 UTC |
Umpleby III Donald JGroup President
|
GrantEmployee Stock Option · Derivative | 85,606 | $0.00 Strike: $96.31 | $0.00 |
DisclosureSEC source: 0000018230-14-000094 · edgar.xml · derivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 85,606 Underlying: Common Stock · 85,606 shares Expires 2024-03-03 Read SEC document |
| March 03, 2014 Filed Mar 5, 2014 19:41 UTC |
Halverson Bradley MGroup President & CFO
|
GrantEmployee Stock Options · Derivative | 81,061 | $0.00 Strike: $96.31 | $0.00 |
DisclosureSEC source: 0000018230-14-000096 · edgar.xml · derivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 81,061 Underlying: Common Stock · 81,061 shares Expires 2024-03-03 Read SEC document |
| March 03, 2014 Filed Mar 5, 2014 19:42 UTC |
Copeland Jananne A.Chief Accounting Officer
|
GrantEmployee Stock Options · Derivative | 4,886 | $0.00 Strike: $96.31 | $0.00 |
DisclosureSEC source: 0000018230-14-000098 · edgar.xml · derivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,886 Underlying: Common Stock · 4,886 shares Expires 2024-03-03 Read SEC document |
| March 03, 2014 Filed Mar 5, 2014 19:45 UTC |
Bozeman David PSenior Vice President
|
GrantEmployee Stock Options · Derivative | 53,864 | $0.00 Strike: $96.31 | $0.00 |
DisclosureSEC source: 0000018230-14-000100 · edgar.xml · derivative · entry 1 Bozeman David P · CIK 0001575959 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,864 Underlying: Common Stock · 53,864 shares Expires 2024-03-03 Read SEC document |
| March 03, 2014 Filed Mar 5, 2014 19:46 UTC |
BUDA JAMES BExecutive Vice President
|
GrantEmployee Stock Options · Derivative | 75,682 | $0.00 Strike: $96.31 | $0.00 |
DisclosureSEC source: 0000018230-14-000102 · edgar.xml · derivative · entry 1 BUDA JAMES B · CIK 0001171771 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,682 Underlying: Common Stock · 75,682 shares Expires 2024-03-03 Read SEC document |
| March 03, 2014 Filed Mar 5, 2014 19:47 UTC |
WUNNING STEVEN HGroup President
|
GrantEmployee Stock Options · Derivative | 86,742 | $0.00 Strike: $96.31 | $0.00 |
DisclosureSEC source: 0000018230-14-000104 · edgar.xml · derivative · entry 1 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,742 Underlying: Common Stock · 86,742 shares Expires 2024-03-03 Read SEC document |
| March 03, 2014 Filed Mar 5, 2014 19:48 UTC |
RAPP EDWARD JGroup President
|
GrantEmployee Stock Option · Derivative | 86,742 | $0.00 Strike: $96.31 | $0.00 |
DisclosureSEC source: 0000018230-14-000106 · edgar.xml · derivative · entry 1 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,742 Underlying: Common Stock · 86,742 shares Expires 2024-03-03 Read SEC document |
| March 03, 2014 Filed Mar 5, 2014 19:50 UTC |
LEVENICK STUART LGroup President
|
GrantEmployee Stock Option · Derivative | 86,742 | $0.00 Strike: $96.31 | $0.00 |
DisclosureSEC source: 0000018230-14-000108 · edgar.xml · derivative · entry 1 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,742 Underlying: Common Stock · 86,742 shares Expires 2024-03-03 Read SEC document |
| March 03, 2014 Filed Mar 5, 2014 19:51 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
GrantEmployee Stock Option · Derivative | 283,790 | $0.00 Strike: $96.31 | $0.00 |
DisclosureSEC source: 0000018230-14-000110 · 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: 283,790 Underlying: Common Stock · 283,790 shares Expires 2024-03-03 Read SEC document |
| February 28, 2014 Filed Mar 4, 2014 17:16 UTC |
DICKINSON DANIEL MDirector
|
GrantPhantom Stock Units · Derivative | 129 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000066 · edgar.xml · derivative · entry 2 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,346 Underlying: Common Stock · 129 shares Expires not disclosed F2 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F3 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F4 · 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. F4 · 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. F5 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| February 28, 2014 Filed Mar 4, 2014 17:18 UTC |
WHITE MILES DDirector
|
GrantPhantom Stock Units · Derivative | 73 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000068 · edgar.xml · derivative · entry 2 WHITE MILES D · CIK 0001239129 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,878 Underlying: Common Stock · 73 shares Expires not disclosed F2 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F3 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F4 · 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. F4 · 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. F5 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| February 28, 2014 Filed Mar 4, 2014 17:19 UTC |
SCHWAB SUSAN CDirector
|
GrantPhantom Stock Units · Derivative | 129 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000070 · edgar.xml · derivative · entry 2 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,718 Underlying: Common Stock · 129 shares Expires not disclosed F2 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F3 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F4 · 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. F4 · 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. F5 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| February 28, 2014 Filed Mar 4, 2014 17:21 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 150 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000072 · edgar.xml · derivative · entry 2 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,786 Underlying: Common Stock · 150 shares Expires not disclosed F2 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F3 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F4 · 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. F4 · 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. F5 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| February 28, 2014 Filed Mar 4, 2014 17:23 UTC |
MAGOWAN PETER ADirector
|
GrantPhantom Stock Units · Derivative | 129 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000074 · edgar.xml · derivative · entry 2 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,554 Underlying: Common Stock · 129 shares Expires not disclosed F2 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F3 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F4 · 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. F4 · 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. F5 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| February 28, 2014 Filed Mar 4, 2014 17:25 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 129 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000076 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,499 Underlying: Common Stock · 129 shares Expires not disclosed F2 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F3 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F4 · 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. F4 · 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. F5 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| February 28, 2014 Filed Mar 4, 2014 17:26 UTC |
CALHOUN DAVID LDirector
|
GrantPhantom Stock Units · Derivative | 129 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000078 · edgar.xml · derivative · entry 2 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,722 Underlying: Common Stock · 134 shares Expires not disclosed F2 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F3 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F4 · 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. F4 · 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. F5 · derivative.underlying_shares: Includes adjustments for dividends accrued. Read SEC document |
| February 28, 2014 Filed Mar 4, 2014 21:18 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
GrantPhantom Stock Units · Derivative | 6 | $96.97 | $581.82 |
DisclosureSEC source: 0000018230-14-000088 · 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: 60,023 Underlying: Common Stock · 6 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 4 shares which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $96.97 and 2 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will 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 will be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| January 31, 2014 Filed Feb 3, 2014 23:41 UTC |
BUDA JAMES BExecutive Vice President
|
SaleCommon Stock | 9,580 | $94.16 | $902,052.80 |
DisclosureSEC source: 0000018230-14-000037 · edgar.xml · nonDerivative · entry 1 BUDA JAMES B · CIK 0001171771 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,787 Read SEC document |
| January 31, 2014 Filed Feb 4, 2014 19:13 UTC |
RAPP EDWARD JGroup President
|
Exercise / conversionEmployee Stock Option · Derivative | 60,000 | $0.00 Strike: $38.63 | $0.00 |
DisclosureSEC source: 0000018230-14-000039 · 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 · 60,000 shares Expires 2014-06-08 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 |
| January 31, 2014 Filed Feb 4, 2014 19:13 UTC |
RAPP EDWARD JGroup President
|
SaleCommon Stock | 30,000 | $94.24 | $2,827,098.00 |
DisclosureSEC source: 0000018230-14-000039 · edgar.xml · nonDerivative · entry 4 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,824 F1 · balance_after: Includes adjustments for dividends accrued and shares acquired under Caterpillar Inc.'s 401(k) plan. Read SEC document |
| January 31, 2014 Filed Feb 4, 2014 19:13 UTC |
RAPP EDWARD JGroup President
|
Exercise / conversionCommon Stock | 30,000 | $38.63 | $1,158,825.00 |
DisclosureSEC source: 0000018230-14-000039 · edgar.xml · nonDerivative · entry 3 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,824 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 |
| January 31, 2014 Filed Feb 4, 2014 19:13 UTC |
RAPP EDWARD JGroup President
|
Tax withholdingCommon Stock | 19,791 | $93.35 | $1,847,489.85 |
DisclosureSEC source: 0000018230-14-000039 · edgar.xml · nonDerivative · entry 2 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,824 Read SEC document |
| January 31, 2014 Filed Feb 4, 2014 19:13 UTC |
RAPP EDWARD JGroup President
|
Exercise / conversionCommon Stock | 30,000 | $38.63 | $1,158,825.00 |
DisclosureSEC source: 0000018230-14-000039 · edgar.xml · nonDerivative · entry 1 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 85,755 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 |
| January 31, 2014 Filed Feb 4, 2014 19:16 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
Exercise / conversionEmployee Stock Option · Derivative | 140,000 | $0.00 Strike: $38.63 | $0.00 |
DisclosureSEC source: 0000018230-14-000041 · edgar.xml · derivative · entry 3 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 140,000 shares Expires 2014-06-08 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 · shares: This option was previously reported as covering 70,000 shares at an exercise price of $77.255 per share, but was adjusted to reflect the two for one stock split that occured on June 22, 2005. Read SEC document |
| January 31, 2014 Filed Feb 4, 2014 19:16 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
Tax withholdingCommon Stock | 94,892 | $93.35 | $8,858,168.20 |
DisclosureSEC source: 0000018230-14-000041 · edgar.xml · nonDerivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 206,875 Read SEC document |
| January 31, 2014 Filed Feb 4, 2014 19:16 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
Exercise / conversionCommon Stock | 140,000 | $38.63 | $5,407,850.00 |
DisclosureSEC source: 0000018230-14-000041 · 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: 301,767 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 · shares: This option was previously reported as covering 70,000 shares at an exercise price of $77.255 per share, but was adjusted to reflect the two for one stock split that occured on June 22, 2005. Read SEC document |
| January 31, 2014 Filed Feb 4, 2014 19:20 UTC |
WHITE MILES DDirector
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GrantPhantom Stock Units · Derivative | 76 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000043 · edgar.xml · derivative · entry 1 WHITE MILES D · CIK 0001239129 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,794 Underlying: Common Stock · 76 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| January 31, 2014 Filed Feb 4, 2014 19:22 UTC |
SCHWAB SUSAN CDirector
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GrantPhantom Stock Units · Derivative | 134 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000045 · edgar.xml · derivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,568 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.