CATERPILLAR INC  [  NYSE ]  [ CAT ]

Filing date
2018-02-15
Submission
0000018230-18-000047.nc
Form
4 Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Issuer
CATERPILLAR INC CAT
Reporting Owner
Charter Robert B [ Officer, Group President, ]
Type Title Conv/Exer price Trans. date Deemed Exe date Trans Form Type Trans Code Eqty swap? Footnote id Trans timelines # Shares Value Total Value Price / share Acq or Disp Date exercisable Expiration date # Owned post trans Value Owned post trans Underlying security title # Underlying securities Value underlying securities Direct or Indirect own Nature indirect own
Non-Derriv. transCommon Stock2018-02-134A : Grant / awardFalse135050A36922D
Non-Derriv. transCommon Stock2018-02-134F : Pmt of exercise price or tax liabFalse5022153.10D31900D
Filing date
2018-02-15
Submission
0000018230-18-000048.nc
Form
4 Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Issuer
CATERPILLAR INC CAT
Reporting Owner
Halverson Bradley M [ Officer, Group President & CFO, ]
Type Title Conv/Exer price Trans. date Deemed Exe date Trans Form Type Trans Code Eqty swap? Footnote id Trans timelines # Shares Value Total Value Price / share Acq or Disp Date exercisable Expiration date # Owned post trans Value Owned post trans Underlying security title # Underlying securities Value underlying securities Direct or Indirect own Nature indirect own
Non-Derriv. transCommon Stock2018-02-134A : Grant / awardFalse145600A19774D
Non-Derriv. transCommon Stock2018-02-134F : Pmt of exercise price or tax liabFalse5489153.10D14285D
Non-Derriv. holdingCommon Stock202IHeld by Mindy Halverson Trust
Non-Derriv. holdingCommon Stock10055IHeld by Halverson Children's Trust
Non-Derriv. holdingCommon Stock11253IHeld by 401(k) Plan
Filing date
2018-02-15
Submission
0000018230-18-000049.nc
Form
4 Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Issuer
CATERPILLAR INC CAT
Reporting Owner
Pellette Thomas A [ Officer, Group President, ]
Type Title Conv/Exer price Trans. date Deemed Exe date Trans Form Type Trans Code Eqty swap? Footnote id Trans timelines # Shares Value Total Value Price / share Acq or Disp Date exercisable Expiration date # Owned post trans Value Owned post trans Underlying security title # Underlying securities Value underlying securities Direct or Indirect own Nature indirect own
Non-Derriv. transCommon Stock2018-02-134A : Grant / awardFalse135050A14574D
Non-Derriv. transCommon Stock2018-02-134F : Pmt of exercise price or tax liabFalse5984153.10D8590D
Non-Derriv. holdingCommon Stock12800IHeld by Pellette Family Trust
Non-Derriv. holdingCommon Stock12014IHeld by 401(k) Plan
Filing date
2018-02-15
Submission
0000018230-18-000050.nc
Form
4 Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Issuer
CATERPILLAR INC CAT
Reporting Owner
Umpleby III Donald J [ Director, Officer, Chief Executive Officer, ]
Type Title Conv/Exer price Trans. date Deemed Exe date Trans Form Type Trans Code Eqty swap? Footnote id Trans timelines # Shares Value Total Value Price / share Acq or Disp Date exercisable Expiration date # Owned post trans Value Owned post trans Underlying security title # Underlying securities Value underlying securities Direct or Indirect own Nature indirect own
Non-Derriv. transCommon Stock2018-02-134A : Grant / awardFalse163250A53669D
Non-Derriv. transCommon Stock2018-02-134F : Pmt of exercise price or tax liabFalse6260153.10D47409D
Non-Derriv. holdingCommon Stock875IHeld by 401(k) Plan
Filing date
2018-02-14
Submission
0000093751-18-000247.nc
Form
SC 13G Schedule filed to report acquisition of beneficial ownership of 5% or more of a class of equity securities by passive investors and institutions
Filing date
2018-02-08
Submission
0000932471-18-003023.nc
Form
SC 13G/A Schedule filed to report acquisition of beneficial ownership of 5% or more of a class of equity securities by passive investors and institutions
Filing date
2018-02-02
Submission
0000018230-18-000035.nc
Form
4 Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Issuer
CATERPILLAR INC CAT
Reporting Owner
Pellette Thomas A [ Officer, Group President, ]
Type Title Conv/Exer price Trans. date Deemed Exe date Trans Form Type Trans Code Eqty swap? Footnote id Trans timelines # Shares Value Total Value Price / share Acq or Disp Date exercisable Expiration date # Owned post trans Value Owned post trans Underlying security title # Underlying securities Value underlying securities Direct or Indirect own Nature indirect own
Non-Derriv. transCommon Stock2018-01-314M : Exer. or conv. of deriv. security exemptedFalse9519983A96268D
Non-Derriv. transCommon Stock2018-01-314S : Open market or private saleFalse19799164.11D76469D
Non-Derriv. transCommon Stock2018-01-314S : Open market or private saleFalse69024162.84D7445D
Non-Derriv. transCommon Stock2018-01-314S : Open market or private saleFalse6376162.70D1069D
Non-Derriv. holdingCommon Stock12800IHeld by Pellette Family Trust
Non-Derriv. holdingCommon Stock12014IHeld by 401(k) Plan
Derriv. transEmployee Stock Option83.02018-01-314M : Exer. or conv. of deriv. security exemptedFalse9519983D2025-03-0247599Common Stock95199.0D
Filing date
2018-01-31
Submission
0000018230-18-000033.nc
Form
4 Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Issuer
CATERPILLAR INC CAT
Reporting Owner
Long Suzette M [ Officer, General Counsel/Corporate Sec., ]
Type Title Conv/Exer price Trans. date Deemed Exe date Trans Form Type Trans Code Eqty swap? Footnote id Trans timelines # Shares Value Total Value Price / share Acq or Disp Date exercisable Expiration date # Owned post trans Value Owned post trans Underlying security title # Underlying securities Value underlying securities Direct or Indirect own Nature indirect own
Non-Derriv. transCommon Stock2018-01-304S : Open market or private saleFalse528160.46D19646D
Non-Derriv. holdingCommon Stock459IHeld by 401(k) Plan
Filing date
2018-01-29
Submission
0000215457-18-003871.nc
Form
SC 13G/A Schedule filed to report acquisition of beneficial ownership of 5% or more of a class of equity securities by passive investors and institutions
Filing date
2018-01-29
Submission
0000018230-18-000030.nc
Form
4 Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Issuer
CATERPILLAR INC CAT
Reporting Owner
Johnson Denise C [ Officer, Group President, ]
Type Title Conv/Exer price Trans. date Deemed Exe date Trans Form Type Trans Code Eqty swap? Footnote id Trans timelines # Shares Value Total Value Price / share Acq or Disp Date exercisable Expiration date # Owned post trans Value Owned post trans Underlying security title # Underlying securities Value underlying securities Direct or Indirect own Nature indirect own
Derriv. transPhantom Stock Units2018-01-264A : Grant / awardFalse23167.06A4396Common Stock23.0D
Filing date
2018-01-03
Submission
0000018230-18-000017.nc
Form
4 Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Issuer
CATERPILLAR INC CAT
Reporting Owner
GALLARDO JUAN [ Director, ]
Type Title Conv/Exer price Trans. date Deemed Exe date Trans Form Type Trans Code Eqty swap? Footnote id Trans timelines # Shares Value Total Value Price / share Acq or Disp Date exercisable Expiration date # Owned post trans Value Owned post trans Underlying security title # Underlying securities Value underlying securities Direct or Indirect own Nature indirect own
Derriv. transPhantom Stock Units2017-12-294A : Grant / awardFalse237158A27730Common Stock237.0D
Filing date
2018-01-03
Submission
0000018230-18-000013.nc
Form
4 Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Issuer
CATERPILLAR INC CAT
Reporting Owner
RUST EDWARD B JR [ Director, ]
Type Title Conv/Exer price Trans. date Deemed Exe date Trans Form Type Trans Code Eqty swap? Footnote id Trans timelines # Shares Value Total Value Price / share Acq or Disp Date exercisable Expiration date # Owned post trans Value Owned post trans Underlying security title # Underlying securities Value underlying securities Direct or Indirect own Nature indirect own
Derriv. transPhantom Stock Units2017-12-294A : Grant / awardFalse261158A34789Common Stock261.0D
Filing date
2018-01-03
Submission
0000018230-18-000012.nc
Form
4 Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Issuer
CATERPILLAR INC CAT
Reporting Owner
CALHOUN DAVID L [ Director, ]
Type Title Conv/Exer price Trans. date Deemed Exe date Trans Form Type Trans Code Eqty swap? Footnote id Trans timelines # Shares Value Total Value Price / share Acq or Disp Date exercisable Expiration date # Owned post trans Value Owned post trans Underlying security title # Underlying securities Value underlying securities Direct or Indirect own Nature indirect own
Derriv. transPhantom Stock Units2017-12-294A : Grant / awardFalse237158A12128Common Stock237.0D
Filing date
2018-01-03
Submission
0000018230-18-000015.nc
Form
4 Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Issuer
CATERPILLAR INC CAT
Reporting Owner
SCHWAB SUSAN C [ Director, ]
Type Title Conv/Exer price Trans. date Deemed Exe date Trans Form Type Trans Code Eqty swap? Footnote id Trans timelines # Shares Value Total Value Price / share Acq or Disp Date exercisable Expiration date # Owned post trans Value Owned post trans Underlying security title # Underlying securities Value underlying securities Direct or Indirect own Nature indirect own
Derriv. transPhantom Stock Units2017-12-294A : Grant / awardFalse237158A10991Common Stock237.0D
Filing date
2018-01-03
Submission
0000018230-18-000016.nc
Form
4 Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Issuer
CATERPILLAR INC CAT
Reporting Owner
REED DEBRA L [ Director, ]
Type Title Conv/Exer price Trans. date Deemed Exe date Trans Form Type Trans Code Eqty swap? Footnote id Trans timelines # Shares Value Total Value Price / share Acq or Disp Date exercisable Expiration date # Owned post trans Value Owned post trans Underlying security title # Underlying securities Value underlying securities Direct or Indirect own Nature indirect own
Derriv. transPhantom Stock Units2017-12-294A : Grant / awardFalse237158A4623Common Stock237.0D
Filing date
2018-01-03
Submission
0000018230-18-000004.nc
Form
4 Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Issuer
CATERPILLAR INC CAT
Reporting Owner
Ayotte Kelly [ Director, ]
Type Title Conv/Exer price Trans. date Deemed Exe date Trans Form Type Trans Code Eqty swap? Footnote id Trans timelines # Shares Value Total Value Price / share Acq or Disp Date exercisable Expiration date # Owned post trans Value Owned post trans Underlying security title # Underlying securities Value underlying securities Direct or Indirect own Nature indirect own
Derriv. transPhantom Stock Units2017-12-294A : Grant / awardFalse118158A219Common Stock118.0D
Filing date
2018-01-03
Submission
0000018230-18-000014.nc
Form
4 Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Issuer
CATERPILLAR INC CAT
Reporting Owner
WHITE MILES D [ Director, ]
Type Title Conv/Exer price Trans. date Deemed Exe date Trans Form Type Trans Code Eqty swap? Footnote id Trans timelines # Shares Value Total Value Price / share Acq or Disp Date exercisable Expiration date # Owned post trans Value Owned post trans Underlying security title # Underlying securities Value underlying securities Direct or Indirect own Nature indirect own
Derriv. transPhantom Stock Units2017-12-294A : Grant / awardFalse269158A7784Common Stock269.0D
Filing date
2018-01-03
Submission
0000018230-18-000018.nc
Form
4 Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Issuer
CATERPILLAR INC CAT
Reporting Owner
DICKINSON DANIEL M [ Director, ]
Type Title Conv/Exer price Trans. date Deemed Exe date Trans Form Type Trans Code Eqty swap? Footnote id Trans timelines # Shares Value Total Value Price / share Acq or Disp Date exercisable Expiration date # Owned post trans Value Owned post trans Underlying security title # Underlying securities Value underlying securities Direct or Indirect own Nature indirect own
Derriv. transPhantom Stock Units2017-12-294A : Grant / awardFalse237158A26424Common Stock237.0D
Filing date
2017-12-27
Submission
0000018230-17-000321.nc
Form
4 Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Issuer
CATERPILLAR INC CAT
Reporting Owner
Johnson Denise C [ Officer, Group President, ]
Type Title Conv/Exer price Trans. date Deemed Exe date Trans Form Type Trans Code Eqty swap? Footnote id Trans timelines # Shares Value Total Value Price / share Acq or Disp Date exercisable Expiration date # Owned post trans Value Owned post trans Underlying security title # Underlying securities Value underlying securities Direct or Indirect own Nature indirect own
Derriv. transPhantom Stock Units2017-12-264A : Grant / awardFalse68156.44A4373Common Stock68.0D
Filing date
2017-12-27
Submission
0000018230-17-000320.nc
Form
4 Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )
Issuer
CATERPILLAR INC CAT
Reporting Owner
Copeland Jananne A. [ Officer, Chief Accounting Officer, ]
Type Title Conv/Exer price Trans. date Deemed Exe date Trans Form Type Trans Code Eqty swap? Footnote id Trans timelines # Shares Value Total Value Price / share Acq or Disp Date exercisable Expiration date # Owned post trans Value Owned post trans Underlying security title # Underlying securities Value underlying securities Direct or Indirect own Nature indirect own
Derriv. transPhantom Stock Units2017-12-264A : Grant / awardFalse18156.44A2893Common Stock18.0D
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