CATERPILLAR INC — Insider Transactions
Form 4 filings by directors, officers, and 10%+ shareholders
SEC rules require corporate insiders — including directors, executive officers, and any shareholder owning more than 10% of a company's shares — to report changes in their ownership within two business days of a transaction. These disclosures are filed as Form 4. Open-market purchases (code P) are generally considered the most meaningful signal, as insiders are spending their own money.
| Insider | Title | Type | Shares | Price | Value | Owns After | Date |
|---|---|---|---|---|---|---|---|
| Halverson Bradley M | Group President & CFO | Sale | 200 | $114.34 | $22,868 | 20,514 | Jul 27, 2017 |
| Johnson Cheryl H | Chief Human Resources Officer | Award / Grant | 15,715 | — | — | 15,715 | Jul 25, 2017 |
| WILKINS RAYFORD JR | — | Award / Grant | 943 | $99.37 | $93,706 | 943 | May 8, 2017 |
| BUDA JAMES B | Executive Vice President | Tax Withholding | 519 | $102.20 | $53,042 | 43,290 | May 1, 2017 |
| Johnson Denise C | Group President | Tax Withholding | 89 | $102.20 | $9,096 | 7,008 | May 1, 2017 |
| Halverson Bradley M | Group President & CFO | Tax Withholding | 259 | $102.20 | $26,470 | 10,524 | May 1, 2017 |
| Copeland Jananne A. | Chief Accounting Officer | Award / Grant | 875 | — | — | 3,379 | May 1, 2017 |
| Umpleby III Donald J | Chief Executive Officer | Tax Withholding | 259 | $102.20 | $26,470 | 37,344 | May 1, 2017 |
| Pellette Thomas A | Group President | Option Exercise | 5,060 | $57.85 | $292,721 | 6,129 | Apr 28, 2017 |
| GALLARDO JUAN | — | Tax Withholding | 502 | $95.50 | $47,941 | 273,148 | Mar 7, 2017 |
| WHITE MILES D | — | Tax Withholding | 725 | $95.50 | $69,238 | 7,032 | Mar 7, 2017 |
| OSBORN WILLIAM A | — | Award / Grant | 1,307 | — | — | 58,251 | Mar 6, 2017 |
| Long Suzette M | Int. Executive Vice President | Award / Grant | 14,635 | — | — | 15,163 | Mar 6, 2017 |
| DICKINSON DANIEL M | — | Award / Grant | 1,307 | — | — | 10,367 | Mar 6, 2017 |
| Muilenburg Dennis A | — | Award / Grant | 1,307 | — | — | 10,865 | Mar 6, 2017 |
| WHITE MILES D | — | Award / Grant | 1,307 | — | — | 7,313 | Mar 6, 2017 |
| SCHWAB SUSAN C | — | Award / Grant | 1,307 | — | — | 16,189 | Mar 6, 2017 |
| REED DEBRA L | — | Award / Grant | 1,307 | — | — | 5,054 | Mar 6, 2017 |
| RUST EDWARD B JR | — | Award / Grant | 1,307 | — | — | 31,039 | Mar 6, 2017 |
| Huntsman Jon M Jr | — | Award / Grant | 1,307 | — | — | 6,898 | Mar 6, 2017 |
| GALLARDO JUAN | — | Award / Grant | 1,307 | — | — | 273,050 | Mar 6, 2017 |
| GREENE JESSE J JR | — | Award / Grant | 1,307 | — | — | 14,948 | Mar 6, 2017 |
| CALHOUN DAVID L | — | Award / Grant | 3,920 | — | — | 36,932 | Mar 6, 2017 |
| Pellette Thomas A | Group President | Option Exercise | 2,458 | $73.20 | $179,926 | 3,527 | Feb 24, 2017 |
| De Lange Bob | Group President | Purchase | 1,000 | $99.32 | $99,320 | 10,230 | Feb 21, 2017 |
| GALLARDO JUAN | — | Tax Withholding | 631 | $98.51 | $62,160 | 271,725 | Feb 15, 2017 |
| DICKINSON DANIEL M | — | Sale | 3,884 | $97.90 | $380,244 | 9,060 | Feb 14, 2017 |
| OBERHELMAN DOUGLAS R | Chairman of the Board | Disposition | 23,507 | $94.31 | $2,216,945 | 244,481 | Jan 20, 2017 |
| RUST EDWARD B JR | — | Disposition | 3,968 | $92.65 | $367,635 | 29,693 | Nov 18, 2016 |
| Umpleby III Donald J | Group President | Option Exercise | 6,619 | $22.17 | $146,743 | 41,653 | Nov 14, 2016 |
| OBERHELMAN DOUGLAS R | CEO & Chairman of the Board | Tax Withholding | 5,483 | $93.40 | $512,112 | 197,109 | Nov 10, 2016 |
| DICKINSON DANIEL M | — | Option Exercise | 2,916 | $63.04 | $183,825 | 17,476 | Nov 10, 2016 |
| Copeland Jananne A. | Chief Accounting Officer | Disposition | 3,120 | $91.17 | $284,450 | 3,270 | Nov 9, 2016 |
| OBERHELMAN DOUGLAS R | CEO & Chairman of the Board | Gift | 6,013 | — | — | 190,594 | Sep 2, 2016 |
| Johnson Denise C | Group President | Tax Withholding | 285 | $81.29 | $23,168 | 6,682 | Sep 1, 2016 |
| OBERHELMAN DOUGLAS R | CEO & Chairman of the Board | Gift | 32 | — | — | 196,607 | Aug 9, 2016 |
| Pellette Thomas A | Group President | Tax Withholding | 169 | $82.64 | $13,966 | 1,444 | Jul 29, 2016 |
| Copeland Jananne A. | Chief Accounting Officer | Option Exercise | 2,935 | $63.04 | $185,022 | 5,439 | Jul 29, 2016 |
| Muilenburg Dennis A | — | Purchase | 1,930 | $82.75 | $159,708 | 9,558 | Jul 29, 2016 |
| Halverson Bradley M | Group President & CFO | Option Exercise | 9,449 | $57.85 | $546,625 | 20,232 | Jul 28, 2016 |
| OBERHELMAN DOUGLAS R | CEO & Chairman of the Board | Gift | 1,800 | — | — | 196,639 | Jul 22, 2016 |
| Halverson Bradley M | Group President & CFO | Sale | 574 | $72.58 | $41,661 | 10,783 | May 31, 2016 |
| Muilenburg Dennis A | — | Purchase | 1,128 | $71.01 | $80,099 | 7,628 | May 9, 2016 |
| Halverson Bradley M | Group President & CFO | Tax Withholding | 260 | $77.35 | $20,111 | 12,051 | May 3, 2016 |
| OBERHELMAN DOUGLAS R | CEO & Chairman of the Board | Gift | 133 | — | — | 198,506 | May 3, 2016 |
| Bozeman David P | Senior Vice President | Tax Withholding | 52 | $77.35 | $4,022 | 24,260 | May 2, 2016 |
| BUDA JAMES B | Executive Vice President | Tax Withholding | 519 | $77.35 | $40,145 | 43,881 | May 1, 2016 |
| Umpleby III Donald J | Group President | Option Exercise | 2,141 | $63.04 | $134,969 | 36,431 | May 1, 2016 |
| RUST EDWARD B JR | — | Option Exercise | 7,000 | $66.77 | $467,390 | 33,800 | Apr 27, 2016 |
| CALHOUN DAVID L | — | Purchase | 25,000 | $77.44 | $1,936,000 | 33,129 | Apr 26, 2016 |