Insider at

04

Insider transactions

05
0 buys (P) 0 sells (S) Net: $0 + 37 non-open-market transactions below last 12 months, based on the transactions shown below

Price change vs current quote, split-adjusted for corporate actions since the filing — not benchmarked, not annualized, not size-weighted

37 other filings hidden
DateTickerCodeSharesPriceValue Owned afterΔ ownA/Dvs now
May 7, 2018 CAT S 53,245 $150.16 $7,995,269 1,069 Direct -98.03% Disposed 475.0% (price as of 2026-10-06)
May 7, 2018 CAT S 1,236 $150.56 $186,092 1,069 Direct -53.62% Disposed 473.5% (price as of 2026-10-06)
Jan. 31, 2018 CAT S 6,376 $162.70 $1,037,375 1,069 Direct -85.64% Disposed 430.7% (price as of 2026-10-06)
Jan. 31, 2018 CAT S 69,024 $162.84 $11,239,868 7,445 Direct -90.26% Disposed 430.2% (price as of 2026-10-06)
Jan. 31, 2018 CAT S 19,799 $164.11 $3,249,214 76,469 Direct -20.57% Disposed 426.1% (price as of 2026-10-06)
Nov. 17, 2017 CAT S 24,547 $135.69 $3,330,782 8,608 Direct -74.04% Disposed 536.3% (price as of 2026-10-06)

P = Open-market purchase · S = Sale · A = Grant/award · M = Option exercise · G = Gift · F = Tax withholding

Insider transactions are not a recommendation; sales are often driven by liquidity or tax reasons.

Derivative holdings (Form 4 Table II) Options, RSUs and convertible securities reported on Form 4 Table II.

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DateTickerSecurityUnderlying Exercise priceExpirationSharesA/D
May 7, 2018 CAT Employee Stock Option Common Stock (28,220) $96.31 March 3, 2024 28,220 Disposed
May 7, 2018 CAT Employee Stock Option Common Stock (20,569) $89.75 March 4, 2023 20,569 Disposed
May 7, 2018 CAT Employee Stock Option Common Stock (4,456) $110.09 March 4, 2022 4,456 Disposed
May 7, 2018 CAT Stock Appreciation Right Common Stock (3,842) $102.13 March 7, 2021 3,842 Disposed
March 12, 2018 CAT Phantom Stock Units Common Stock (380) · · 380 Acquired
March 5, 2018 CAT Employee Stock Option Common Stock (56,290) $151.12 March 5, 2028 56,290 Acquired
Jan. 31, 2018 CAT Employee Stock Option Common Stock (95,199) $83.00 March 2, 2025 95,199 Disposed
Nov. 17, 2017 CAT Employee Stock Options Common Stock (32,086) $74.77 March 7, 2026 32,086 Disposed
April 28, 2017 CAT Stock Appreciation Right Common Stock (5,060) $57.85 March 1, 2020 5,060 Disposed
March 10, 2017 CAT Phantom Stock Units Common Stock (117) · · 117 Acquired
March 6, 2017 CAT Employee Stock Option Common Stock (103,489) $95.66 March 6, 2027 103,489 Acquired
Feb. 24, 2017 CAT Stock Appreciation Right Common Stock (2,458) $73.20 March 3, 2018 2,458 Disposed
July 29, 2016 CAT Stock Appreciation Right Common Stock (2,290) $63.04 March 2, 2017 2,290 Disposed
March 7, 2016 CAT Employee Stock Option Common Stock (96,257) $74.77 March 7, 2026 96,257 Acquired
March 6, 2015 CAT Phantom Stock Units Common (407) · · 407 Acquired
March 2, 2015 CAT Employee Stock Option Common (142,798) $83.00 March 2, 2025 142,798 Acquired

Exercise/conversion price is blank when not applicable (e.g. RSUs).

Initial ownership (Form 3) 9 holdings

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Securities held when first becoming an insider, per SEC Form 3.

DateTickerSecuritySharesOwnership
Jan. 8, 2015 CAT Common Stock 9,102 Direct
Jan. 8, 2015 CAT Employee Stock Option→ Common Stock (28,220) 28,220 Direct
Jan. 8, 2015 CAT Employee Stock Option→ Common Stock (20,569) 20,569 Direct
Jan. 8, 2015 CAT Employee Stock Option→ Common Stock (4,456) 4,456 Direct
Jan. 8, 2015 CAT Stock Appreciation Right→ Common Stock (3,842) 3,842 Direct
Jan. 8, 2015 CAT Stock Appreciation Right→ Common Stock (5,060) 5,060 Direct
Jan. 8, 2015 CAT Stock Appreciation Right→ Common Stock (2,458) 2,458 Direct
Jan. 8, 2015 CAT Stock Appreciation Right→ Common Stock (2,290) 2,290 Direct
Jan. 8, 2015 CAT Phantom Stock Units→ Common Stock (400) 400 Direct