CATERPILLAR INC  [  NYSE ]  [ CAT ]

Feb. 21, 2018 .
Filer
CATERPILLAR INC
Preview. View filing ...
8-K/A
0000018230-18-000052.nc
Current report Includes: Material events, Director, Executive officer elections resignations, departures, Financial disclosures, Changes in control, etc.
Item
5.02 Governance: Departure/Appointment/Compensation Directors and Officers
Period ending
Feb. 21, 2018
Feb. 15, 2018 .
Issuer
CATERPILLAR INC CAT
Reporting Owner
Charter Robert B [ Officer, Group President, ]
Signed By
Barbara Thomas POA for Robert B Charter
Preview. View filing ...
4
0000018230-18-000047.nc XML (1)
Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Period ending
Feb. 13, 2018
Common Stock
[A : Grant / award] 13,505 shares x $0/sh Total owned: 36,922
Common Stock
[F : Pmt of exercise price or tax liab] 5,022 shares x $153.10/sh Total owned: 31,900
Feb. 15, 2018 .
Issuer
CATERPILLAR INC CAT
Reporting Owner
Halverson Bradley M [ Officer, Group President & CFO, ]
Signed By
Barbara Thomas POA for Bradley M Halverson
Preview. View filing ...
4
0000018230-18-000048.nc XML (1)
Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Period ending
Feb. 13, 2018
Common Stock
[A : Grant / award] 14,560 shares x $0/sh Total owned: 19,774
Common Stock
[F : Pmt of exercise price or tax liab] 5,489 shares x $153.10/sh Total owned: 14,285
Common Stock
Total owned: 202 [ Held by Mindy Halverson Trust ]
Common Stock
Total owned: 10,055 [ Held by Halverson Children's Trust ]
Common Stock
Total owned: 11,253 [ Held by 401(k) Plan ]
Feb. 15, 2018 .
Filer
CATERPILLAR INC
Preview. View filing ...
10-K CAT 
0000018230-18-000042.nc XBRL XML (6)
Annual report ( Financial statements and condition ) ( Risk ) ( Corporate Governance ) ( Executive compensation ) ( Management Discussion Analysis MDA MD&A )
Focus Period
2017 : FY
Fiscal year ends
--12-31
Period ending
Dec. 31, 2017
Financials (experimental)
In USD 3 mo ending 2017-12-31 3 mo ending 2016-12-31 12 mo ending 2017-12-31 12 mo ending 2016-12-31 12 mo ending 2015-12-31
Revenues  12,896,000,000  9,573,999,600  45,694,001,000  38,742,000,000  47,133,000,000
Net Income      0  0  0
EPS Diluted  -2.18  -2  1.26  -0.11  4.18
EPS Basic  -2.18  -2  1.27  -0.11  4.23
Feb. 15, 2018 .
Issuer
CATERPILLAR INC CAT
Reporting Owner
Pellette Thomas A [ Officer, Group President, ]
Signed By
Barbara Thomas POA for Thomas A Pellette
Preview. View filing ...
4
0000018230-18-000049.nc XML (1)
Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Period ending
Feb. 13, 2018
Common Stock
[A : Grant / award] 13,505 shares x $0/sh Total owned: 14,574
Common Stock
[F : Pmt of exercise price or tax liab] 5,984 shares x $153.10/sh Total owned: 8,590
Common Stock
Total owned: 12,800 [ Held by Pellette Family Trust ]
Common Stock
Total owned: 12,014 [ Held by 401(k) Plan ]
Feb. 15, 2018 .
Issuer
CATERPILLAR INC CAT
Reporting Owner
Umpleby III Donald J [ Director, Officer, Chief Executive Officer, ]
Signed By
Barbara Thomas POA for Donald J Umpleby III
Preview. View filing ...
4
0000018230-18-000050.nc XML (1)
Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Period ending
Feb. 13, 2018
Common Stock
[A : Grant / award] 16,325 shares x $0/sh Total owned: 53,669
Common Stock
[F : Pmt of exercise price or tax liab] 6,260 shares x $153.10/sh Total owned: 47,409
Common Stock
Total owned: 875 [ Held by 401(k) Plan ]
Feb. 14, 2018 .
Filed By
STATE STREET CORP
Subject Company
CATERPILLAR INC
Preview. View filing ...
SC 13G
0000093751-18-000247.nc
Schedule filed to report acquisition of beneficial ownership of 5% or more of a class of equity securities by passive investors and institutions
Feb. 13, 2018 .
Filer
CATERPILLAR INC
Preview. View filing ...
8-K
0000018230-18-000038.nc
Current report Includes: Material events, Director, Executive officer elections resignations, departures, Financial disclosures, Changes in control, etc.
Item
7.01 Fair Disclosure: Regulation FD Disclosure
Period ending
Feb. 13, 2018
Feb. 8, 2018 .
Filed By
VANGUARD GROUP INC
Subject Company
CATERPILLAR INC
Preview. View filing ...
SC 13G/A
0000932471-18-003023.nc
Schedule filed to report acquisition of beneficial ownership of 5% or more of a class of equity securities by passive investors and institutions
Feb. 2, 2018 .
Issuer
CATERPILLAR INC CAT
Reporting Owner
Pellette Thomas A [ Officer, Group President, ]
Signed By
Barbara Thomas POA for Thomas A Pellette
Preview. View filing ...
4
0000018230-18-000035.nc XML (1)
Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Period ending
Jan. 31, 2018
Common Stock
[M : Exer. or conv. of deriv. security exempted] 95,199 shares x $83/sh Total owned: 96,268
Common Stock
[S : Open market or private sale] 19,799 shares x $164.11/sh Total owned: 76,469
Common Stock
[S : Open market or private sale] 69,024 shares x $162.84/sh Total owned: 7,445
Common Stock
[S : Open market or private sale] 6,376 shares x $162.70/sh Total owned: 1,069
Common Stock
Total owned: 12,800 [ Held by Pellette Family Trust ]
Common Stock
Total owned: 12,014 [ Held by 401(k) Plan ]
Employee Stock Option
[M : Exer. or conv. of deriv. security exempted] 95,199 shares x $83/sh Total owned: 47,599 [ Underlying Securities: Common Stock ] 95,199 shares
Jan. 31, 2018 .
Issuer
CATERPILLAR INC CAT
Reporting Owner
Long Suzette M [ Officer, General Counsel/Corporate Sec., ]
Signed By
Barbara Thomas POA for Suzette M Long
Preview. View filing ...
4
0000018230-18-000033.nc XML (1)
Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Period ending
Jan. 30, 2018
Common Stock
[S : Open market or private sale] 528 shares x $160.46/sh Total owned: 19,646
Common Stock
Total owned: 459 [ Held by 401(k) Plan ]
Jan. 29, 2018 .
Filed By
BlackRock Inc.
Subject Company
CATERPILLAR INC
Preview. View filing ...
SC 13G/A
0000215457-18-003871.nc
Schedule filed to report acquisition of beneficial ownership of 5% or more of a class of equity securities by passive investors and institutions
Jan. 29, 2018 .
Issuer
CATERPILLAR INC CAT
Reporting Owner
Johnson Denise C [ Officer, Group President, ]
Signed By
By: Barbara Thomas POA for Denise C Johnson
Preview. View filing ...
4
0000018230-18-000030.nc XML (1)
Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Period ending
Jan. 26, 2018
Phantom Stock Units
[A : Grant / award] 23 shares x $167.06/sh Total owned: 4,396 [ Underlying Securities: Common Stock ] 23 shares
Jan. 25, 2018 .
Filer
CATERPILLAR INC
Preview. View filing ...
8-K
0000018230-18-000028.nc
Current report Includes: Material events, Director, Executive officer elections resignations, departures, Financial disclosures, Changes in control, etc.
Item
2.02 Financial: Results of Operations and Financial Condition
9.01 Financial Statements and Exhibits
Period ending
Jan. 25, 2018
Jan. 24, 2018 .
Filer
CATERPILLAR INC
Preview. View filing ...
8-K
0000018230-18-000025.nc
Current report Includes: Material events, Director, Executive officer elections resignations, departures, Financial disclosures, Changes in control, etc.
Item
7.01 Fair Disclosure: Regulation FD Disclosure
Period ending
Jan. 24, 2018
Jan. 5, 2018 .
Filer
CATERPILLAR INC
Preview. View filing ...
8-K
0000018230-18-000021.nc
Current report Includes: Material events, Director, Executive officer elections resignations, departures, Financial disclosures, Changes in control, etc.
Item
5.02 Governance: Departure/Appointment/Compensation Directors and Officers
Period ending
Dec. 31, 2017
Jan. 3, 2018 .
Issuer
CATERPILLAR INC CAT
Reporting Owner
GALLARDO JUAN [ Director, ]
Signed By
By: Barbara Thomas POA for Juan Gallardo
Preview. View filing ...
4
0000018230-18-000017.nc XML (1)
Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Period ending
Dec. 29, 2017
Phantom Stock Units
[A : Grant / award] 237 shares x $158/sh Total owned: 27,730 [ Underlying Securities: Common Stock ] 237 shares
Jan. 3, 2018 .
Issuer
CATERPILLAR INC CAT
Reporting Owner
RUST EDWARD B JR [ Director, ]
Signed By
By: Barbara Thomas POA for Edward B Rust Jr
Preview. View filing ...
4
0000018230-18-000013.nc XML (1)
Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Period ending
Dec. 29, 2017
Phantom Stock Units
[A : Grant / award] 261 shares x $158/sh Total owned: 34,789 [ Underlying Securities: Common Stock ] 261 shares
Jan. 3, 2018 .
Issuer
CATERPILLAR INC CAT
Reporting Owner
CALHOUN DAVID L [ Director, ]
Signed By
By: Barbara Thomas POA for David L Calhoun
Preview. View filing ...
4
0000018230-18-000012.nc XML (1)
Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Period ending
Dec. 29, 2017
Phantom Stock Units
[A : Grant / award] 237 shares x $158/sh Total owned: 12,128 [ Underlying Securities: Common Stock ] 237 shares
Jan. 3, 2018 .
Issuer
CATERPILLAR INC CAT
Reporting Owner
SCHWAB SUSAN C [ Director, ]
Signed By
By: Barbara Thomas POA for Susan C Schwab
Preview. View filing ...
4
0000018230-18-000015.nc XML (1)
Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Period ending
Dec. 29, 2017
Phantom Stock Units
[A : Grant / award] 237 shares x $158/sh Total owned: 10,991 [ Underlying Securities: Common Stock ] 237 shares
db