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 03, 2025 Filed Mar 5, 2025 23:36 UTC |
Johnson Denise CGroup President
|
GrantEmployee Stock Options · Derivative | 8,439 | $0.00 Strike: $332.04 | $0.00 |
DisclosureSEC source: 0001104659-25-021011 · tm258358-5_4seq1.xml · derivative · entry 3 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,439 Underlying: Common Stock · 8,439 shares Expires 2035-03-03 F3 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2023 Long Term Incentive Plan and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| March 03, 2025 Filed Mar 5, 2025 23:36 UTC |
Johnson Denise CGroup President
|
GrantCommon Stock | 2,692 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-25-021011 · tm258358-5_4seq1.xml · nonDerivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 44,066 F1 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| March 03, 2025 Filed Mar 5, 2025 23:36 UTC |
Owens DerekCLO & General Counsel
|
GrantEmployee Stock Options · Derivative | 8,439 | $0.00 Strike: $332.04 | $0.00 |
DisclosureSEC source: 0001104659-25-021012 · tm258358-8_4seq1.xml · derivative · entry 3 Owens Derek · CIK 0002006879 · CLO & General Counsel 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,439 Underlying: Common Stock · 8,439 shares Expires 2035-03-03 F3 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2023 Long Term Incentive Plan and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| March 03, 2025 Filed Mar 5, 2025 23:36 UTC |
Owens DerekCLO & General Counsel
|
GrantCommon Stock | 2,692 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-25-021012 · tm258358-8_4seq1.xml · nonDerivative · entry 1 Owens Derek · CIK 0002006879 · CLO & General Counsel 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 7,311 F1 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| March 03, 2025 Filed Mar 5, 2025 23:37 UTC |
Schaupp William EChief Accounting Officer
|
GrantEmployee Stock Options · Derivative | 707 | $0.00 Strike: $332.04 | $0.00 |
DisclosureSEC source: 0001104659-25-021013 · tm258358-9_4seq1.xml · derivative · entry 3 Schaupp William E · CIK 0001739758 · Chief Accounting Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 707 Underlying: Common Stock · 707 shares Expires 2035-03-03 F3 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2023 Long Term Incentive Plan and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| March 03, 2025 Filed Mar 5, 2025 23:37 UTC |
Schaupp William EChief Accounting Officer
|
GrantCommon Stock | 226 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-25-021013 · tm258358-9_4seq1.xml · nonDerivative · entry 1 Schaupp William E · CIK 0001739758 · Chief Accounting Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,539 F1 · balance_after: Includes adjustment for dividends accrued. Read SEC document |
| March 03, 2025 Filed Mar 5, 2025 23:38 UTC |
Umpleby III Donald JChief Executive Officer
|
GrantEmployee Stock Options · Derivative | 39,915 | $0.00 Strike: $332.04 | $0.00 |
DisclosureSEC source: 0001104659-25-021014 · tm258358-10_4seq1.xml · derivative · entry 6 Umpleby III Donald J · CIK 0001566320 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 39,915 Underlying: Common Stock · 39,915 shares Expires 2035-03-03 F4 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2023 Long Term Incentive Plan and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| March 03, 2025 Filed Mar 5, 2025 23:38 UTC |
Umpleby III Donald JChief Executive Officer
|
GrantCommon Stock | 12,733 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-25-021014 · tm258358-10_4seq1.xml · nonDerivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 501,041 F1 · balance_after: Includes adjustment for dividends accrued. Read SEC document |
| March 03, 2025 Filed Mar 6, 2025 00:46 UTC |
Fassino Anthony D.Group President
|
GrantEmployee Stock Options · Derivative | 8,439 | $0.00 Strike: $332.04 | $0.00 |
DisclosureSEC source: 0001104659-25-021037 · tm258358-6_4seq1.xml · derivative · entry 4 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,439 Underlying: Common Stock · 8,439 shares Expires 2035-03-03 F4 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2023 Long Term Incentive Plan and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| March 03, 2025 Filed Mar 6, 2025 00:46 UTC |
Fassino Anthony D.Group President
|
GrantCommon Stock | 2,692 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-25-021037 · tm258358-6_4seq1.xml · nonDerivative · entry 1 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 41,603 F1 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| March 03, 2025 Filed Mar 6, 2025 00:47 UTC |
Kaiser JasonGroup President
|
GrantEmployee Stock Options · Derivative | 8,439 | $0.00 Strike: $332.04 | $0.00 |
DisclosureSEC source: 0001104659-25-021038 · tm258358-7_4seq1.xml · derivative · entry 4 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,439 Underlying: Common Stock · 8,439 shares Expires 2035-03-03 F4 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2023 Long Term Incentive Plan and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| March 03, 2025 Filed Mar 6, 2025 00:47 UTC |
Kaiser JasonGroup President
|
GrantCommon Stock | 2,692 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-25-021038 · tm258358-7_4seq1.xml · nonDerivative · entry 1 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,978 F1 · balance_after: Includes adjustment for dividends accrued. Read SEC document |
| February 18, 2025 Filed Feb 19, 2025 15:45 UTC |
Kaiser JasonGroup President
|
SaleCommon Stock | 2,425 | $354.70 | $860,147.50 |
DisclosureSEC source: 0001104659-25-015034 · tm256990-1_4seq1.xml · nonDerivative · entry 1 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,275 Read SEC document |
| February 11, 2025 Filed Feb 13, 2025 19:32 UTC |
BONFIELD ANDREW R JChief Financial Officer
|
Tax withholdingCommon Stock | 4,706 | $362.70 | $1,706,866.20 |
DisclosureSEC source: 0001104659-25-012842 · tm255985-1_4seq1.xml · nonDerivative · entry 2 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 52,251 F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of performance-based restricted stock units granted March 7, 2022. Read SEC document |
| February 11, 2025 Filed Feb 13, 2025 19:32 UTC |
BONFIELD ANDREW R JChief Financial Officer
|
GrantCommon Stock | 11,775 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-25-012842 · tm255985-1_4seq1.xml · nonDerivative · entry 1 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 56,957 Read SEC document |
| February 11, 2025 Filed Feb 13, 2025 19:33 UTC |
Creed Joseph EChief Operating Officer
|
Tax withholdingCommon Stock | 3,495 | $362.70 | $1,267,636.50 |
DisclosureSEC source: 0001104659-25-012844 · tm255985-2_4seq1.xml · nonDerivative · entry 2 Creed Joseph E · CIK 0001739859 · Chief Operating Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 19,402 F2 · shares: Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of performance-based restricted stock units granted on March 7, 2022. Read SEC document |
| February 11, 2025 Filed Feb 13, 2025 19:33 UTC |
Creed Joseph EChief Operating Officer
|
GrantCommon Stock | 9.901 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-25-012844 · tm255985-2_4seq1.xml · nonDerivative · entry 1 Creed Joseph E · CIK 0001739859 · Chief Operating Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 22,897 F1 · balance_after: Includes adjustment for dividends accrued. Read SEC document |
| February 11, 2025 Filed Feb 13, 2025 19:33 UTC |
De Lange BobGroup President
|
Tax withholdingCommon Stock | 3,850 | $362.70 | $1,396,395.00 |
DisclosureSEC source: 0001104659-25-012846 · tm255985-3_4seq1.xml · nonDerivative · entry 2 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 76,970 F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of performance-based restricted stock units granted March 7, 2022. Read SEC document |
| February 11, 2025 Filed Feb 13, 2025 19:33 UTC |
De Lange BobGroup President
|
GrantCommon Stock | 9,901 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-25-012846 · tm255985-3_4seq1.xml · nonDerivative · entry 1 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 80,820 Read SEC document |
| February 11, 2025 Filed Feb 13, 2025 19:35 UTC |
Fassino Anthony D.Group President
|
Tax withholdingCommon Stock | 4,162 | $362.70 | $1,509,557.40 |
DisclosureSEC source: 0001104659-25-012847 · tm255985-4_4seq1.xml · nonDerivative · entry 2 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 38,779 F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of performance-based restricted stock units granted March 7, 2022. Read SEC document |
| February 11, 2025 Filed Feb 13, 2025 19:35 UTC |
Fassino Anthony D.Group President
|
GrantCommon Stock | 9,901 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-25-012847 · tm255985-4_4seq1.xml · nonDerivative · entry 1 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 42,941 Read SEC document |
| February 11, 2025 Filed Feb 13, 2025 19:36 UTC |
Johnson Denise CGroup President
|
Tax withholdingCommon Stock | 3,742 | $362.70 | $1,357,223.40 |
DisclosureSEC source: 0001104659-25-012848 · tm255985-5_4seq1.xml · nonDerivative · entry 2 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 41,342 F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of performance-based restricted stock units granted March 7, 2022. Read SEC document |
| February 11, 2025 Filed Feb 13, 2025 19:36 UTC |
Johnson Denise CGroup President
|
GrantCommon Stock | 9,901 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-25-012848 · tm255985-5_4seq1.xml · nonDerivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 45,084 Read SEC document |
| February 11, 2025 Filed Feb 13, 2025 19:37 UTC |
Johnson Cheryl HChief Human Resources Officer
|
Tax withholdingCommon Stock | 919 | $362.70 | $333,321.30 |
DisclosureSEC source: 0001104659-25-012849 · tm255985-6_4seq1.xml · nonDerivative · entry 2 Johnson Cheryl H · CIK 0001552649 · Chief Human Resources Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 15,435 F2 · shares: Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of performance-based restricted stock units granted March 7, 2022. Read SEC document |
| February 11, 2025 Filed Feb 13, 2025 19:37 UTC |
Johnson Cheryl HChief Human Resources Officer
|
GrantCommon Stock | 3,345 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-25-012849 · tm255985-6_4seq1.xml · nonDerivative · entry 1 Johnson Cheryl H · CIK 0001552649 · Chief Human Resources Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 16,354 F1 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| February 11, 2025 Filed Feb 13, 2025 19:38 UTC |
Kaiser JasonGroup President
|
Tax withholdingCommon Stock | 920 | $362.70 | $333,684.00 |
DisclosureSEC source: 0001104659-25-012851 · tm255985-7_4seq1.xml · nonDerivative · entry 2 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,700 F2 · shares: Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of performance-based restricted stock units granted March 7, 2022. Read SEC document |
| February 11, 2025 Filed Feb 13, 2025 19:38 UTC |
Kaiser JasonGroup President
|
GrantCommon Stock | 3,345 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-25-012851 · tm255985-7_4seq1.xml · nonDerivative · entry 1 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 9,620 F1 · balance_after: Includes adjustment for dividends accrued. Read SEC document |
| February 11, 2025 Filed Feb 13, 2025 19:39 UTC |
Owens DerekChief Legal Officer
|
Tax withholdingCommon Stock | 174 | $362.70 | $63,109.80 |
DisclosureSEC source: 0001104659-25-012853 · tm255985-8_4seq1.xml · nonDerivative · entry 2 Owens Derek · CIK 0002006879 · Chief Legal Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,607 F2 · shares: Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of performance-based restricted stock units granted March 7, 2022. Read SEC document |
| February 11, 2025 Filed Feb 13, 2025 19:39 UTC |
Owens DerekChief Legal Officer
|
GrantCommon Stock | 642 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-25-012853 · tm255985-8_4seq1.xml · nonDerivative · entry 1 Owens Derek · CIK 0002006879 · Chief Legal Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,781 F1 · balance_after: Includes adjustment for dividends accrued. Read SEC document |
| February 11, 2025 Filed Feb 13, 2025 19:40 UTC |
Schaupp William EChief Accounting Officer
|
Tax withholdingCommon Stock | 230 | $362.70 | $83,421.00 |
DisclosureSEC source: 0001104659-25-012854 · tm255985-9_4seq1.xml · nonDerivative · entry 2 Schaupp William E · CIK 0001739758 · Chief Accounting Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,313 F2 · shares: Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of performance-based restricted stock units granted March 7, 2022. Read SEC document |
| February 11, 2025 Filed Feb 13, 2025 19:40 UTC |
Schaupp William EChief Accounting Officer
|
GrantCommon Stock | 856 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-25-012854 · tm255985-9_4seq1.xml · nonDerivative · entry 1 Schaupp William E · CIK 0001739758 · Chief Accounting Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,543 F1 · balance_after: Includes adjustment for dividends accrued. Read SEC document |
| February 11, 2025 Filed Feb 13, 2025 19:41 UTC |
Umpleby III Donald JChairman & CEO
|
Tax withholdingCommon Stock | 14,163 | $362.70 | $5,136,920.10 |
DisclosureSEC source: 0001104659-25-012855 · tm255985-10_4seq1.xml · nonDerivative · entry 2 Umpleby III Donald J · CIK 0001566320 · Chairman & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 488,259 F2 · shares: Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of performance-based restricted stock units granted March 7, 2022. Read SEC document |
| February 11, 2025 Filed Feb 13, 2025 19:41 UTC |
Umpleby III Donald JChairman & CEO
|
GrantCommon Stock | 36,126 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-25-012855 · tm255985-10_4seq1.xml · nonDerivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Chairman & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 502,422 F1 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| February 04, 2025 Filed Feb 5, 2025 17:37 UTC |
Johnson GeraldDirector
|
PurchaseCommon Stock | 100 | $365.57 | $36,557.00 |
DisclosureSEC source: 0001104659-25-009475 · tm255527-1_4seq1.xml · nonDerivative · entry 1 Johnson Gerald · CIK 0001772226 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 3,053 F1 · price: This transaction was executed in multiple trades, all executed at the price reported above. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| January 16, 2025 Filed Jan 17, 2025 15:36 UTC |
BONFIELD ANDREW R JChief Financial Officer
|
SaleCommon Stock | 10,000 | $380.09 | $3,800,900.00 |
DisclosureSEC source: 0001104659-25-004336 · tm253680-1_4seq1.xml · nonDerivative · entry 1 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 45,182 F1 · price: This transaction was executed in multiple trades at prices ranging from $380.00 to $380.22. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| January 12, 2025 Filed Jan 14, 2025 22:44 UTC |
Johnson Denise CGroup President
|
Tax withholdingCommon Stock | 452 | $357.50 | $161,590.00 |
DisclosureSEC source: 0001104659-25-003505 · tm253305-1_4seq1.xml · nonDerivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 35,183 F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of Restricted Stock Units granted January 12, 2024. F2 · balance_after: Includes adjustment for dividends accrued. Read SEC document |
| January 12, 2025 Filed Jan 14, 2025 22:45 UTC |
Fassino Anthony D.Group President
|
Tax withholdingCommon Stock | 526 | $357.50 | $188,045.00 |
DisclosureSEC source: 0001104659-25-003508 · tm253305-2_4seq1.xml · nonDerivative · entry 1 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 33,040 F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of Restricted Stock Units granted January 12, 2024. Read SEC document |
| January 12, 2025 Filed Jan 14, 2025 22:46 UTC |
De Lange BobGroup President
|
Tax withholdingCommon Stock | 452 | $357.50 | $161,590.00 |
DisclosureSEC source: 0001104659-25-003509 · tm253305-3_4seq1.xml · nonDerivative · entry 1 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 70,919 F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of Restricted Stock Units granted January 12, 2024. F2 · balance_after: Includes adjustment for dividends accrued. Read SEC document |
| December 31, 2024 Filed Jan 2, 2025 21:52 UTC |
SCHWAB SUSAN CDirector
|
GrantPhantom Stock Units · Derivative | 103 | $363.78 | $37,469.34 |
DisclosureSEC source: 0001104659-25-000359 · tm251688-2_4seq1.xml · derivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 19,157 Underlying: Common Stock · 103 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally 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 |
| December 31, 2024 Filed Jan 2, 2025 21:53 UTC |
MacLennan DavidDirector
|
GrantPhantom Stock Units · Derivative | 45 | $363.78 | $16,370.10 |
DisclosureSEC source: 0001104659-25-000361 · tm251688-1_4seq1.xml · derivative · entry 1 MacLennan David · CIK 0001498535 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 183 Underlying: Common Stock · 45 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally 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 |
| December 26, 2024 Filed Dec 27, 2024 22:43 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 26 | $367.12 | $9,545.12 |
DisclosureSEC source: 0001104659-24-132196 · tm2432149-1_4seq1.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 29,142 Underlying: Common Stock · 26 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 13 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $367.12 and 13 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 for 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 for 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. Read SEC document |
| December 26, 2024 Filed Dec 27, 2024 22:44 UTC |
Kaiser JasonGroup President
|
GrantPhantom Stock Units · Derivative | 18 | $367.12 | $6,608.16 |
DisclosureSEC source: 0001104659-24-132197 · tm2432149-2_4seq1.xml · derivative · entry 1 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,552 Underlying: Common Stock · 18 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 9 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $367.12 and 9 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units are to be settled for 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 for 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. Read SEC document |
| December 26, 2024 Filed Dec 27, 2024 22:45 UTC |
Creed Joseph EChief Operating Officer
|
GrantPhantom Stock Units · Derivative | 30 | $367.12 | $11,013.60 |
DisclosureSEC source: 0001104659-24-132198 · tm2432149-3_4seq1.xml · derivative · entry 1 Creed Joseph E · CIK 0001739859 · Chief Operating Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 9,290 Underlying: Common Stock · 30 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 15 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $367.12 and 15 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 for 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 for 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. Read SEC document |
| December 05, 2024 Filed Dec 6, 2024 17:15 UTC |
DICKINSON DANIEL MDirector
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GiftCommon Stock | 250 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-24-126194 · tm2430330-1_4seq1.xml · nonDerivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,728 F1 · shares: Represents a donation of ordinary shares to a 501(c)(3) organization account. F2 · balance_after: Includes dividends accrued. Read SEC document |
| December 04, 2024 Filed Dec 5, 2024 20:35 UTC |
Johnson GeraldDirector
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PurchaseCommon Stock | 100 | $398.57 | $39,857.00 |
DisclosureSEC source: 0001104659-24-125879 · tm2430279-1_4seq1.xml · nonDerivative · entry 1 Johnson Gerald · CIK 0001772226 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 2,953 F1 · price: This transaction was executed in multiple trades, all executed at the price reported above. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F2 · balance_after: Includes dividends accrued. Read SEC document |
| November 29, 2024 Filed Dec 2, 2024 22:08 UTC |
Fassino Anthony D.Group President
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Exercise / conversionEmployee Stock Options · Derivative | 9,133 | $127.60 Strike: $127.60 | $1,165,370.80 |
DisclosureSEC source: 0001104659-24-124678 · tm2429925-1_4seq1.xml · derivative · entry 5 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 9,133 shares Expires 2030-03-02 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. F4 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 2, 2020 and vest equally in 1/3 increments in the first, second and third anniversaries of the grant date. Read SEC document |
| November 29, 2024 Filed Dec 2, 2024 22:08 UTC |
Fassino Anthony D.Group President
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SaleCommon Stock | 6,279 | $408.59 | $2,565,536.61 |
DisclosureSEC source: 0001104659-24-124678 · tm2429925-1_4seq1.xml · nonDerivative · entry 3 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 33,565 F2 · price: This transaction was executed in multiple trades at prices ranging from $408.57 to $408.80. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| November 29, 2024 Filed Dec 2, 2024 22:08 UTC |
Fassino Anthony D.Group President
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Tax withholdingCommon Stock | 2,854 | $408.22 | $1,165,059.88 |
DisclosureSEC source: 0001104659-24-124678 · tm2429925-1_4seq1.xml · nonDerivative · entry 2 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 39,844 Read SEC document |
| November 29, 2024 Filed Dec 2, 2024 22:08 UTC |
Fassino Anthony D.Group President
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Exercise / conversionCommon Stock | 9,133 | $127.60 | $1,165,370.80 |
DisclosureSEC source: 0001104659-24-124678 · tm2429925-1_4seq1.xml · nonDerivative · entry 1 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 42,698 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: Includes dividends accrued. Read SEC document |
| November 29, 2024 Filed Dec 3, 2024 18:07 UTC |
SCHWAB SUSAN CDirector
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GiftCommon Stock | 2,150 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-24-125004 · tm2429981-1_4seq1.xml · nonDerivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,715 F1 · shares: Represents a donation of ordinary shares to a 501(c)(3) Foundation account. F2 · balance_after: Includes dividends accrued. 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.