Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CATERPILLAR INCCAT · Entity 2808 | Chief Executive Officer | September 25, 2026 | September 28, 2026 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
CATERPILLAR INC
Report date September 25, 2026 · Filed September 28, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Phantom Stock UnitsSEC Table II · derivative / convertible security | Direct | 11,234 |
Reported balance
After 2026-09-25 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-09-25 · Grant · Acquired 19 · Balance 11,234 F1: Each phantom stock unit under the company's non-qualified deferred compensation plan as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2: This total includes 10 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") at a price per share of $821.58 and 9 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service. F4: Includes adjustments for 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. |
Filing footnotes · ownership attribution and instrument terms
F1: Each phantom stock unit under the company's non-qualified deferred compensation plan as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock.
F2: This total includes 10 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") at a price per share of $821.58 and 9 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.
F3: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.
F4: Includes adjustments for 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.
Transaction history
JSON APIPurchases/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 | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| September 25, 2026 Filed Sep 28, 2026 19:00 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 19 | $821.58 | $15,610.02 |
DisclosureSEC source: 0001104659-26-111312 · tm2626483-1_4seq1.xml · derivative · entry 1 Creed Joseph E · CIK 0001739859 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 11,234 Underlying: Common Stock · 19 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plan as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 10 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") at a price per share of $821.58 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 adjustments for 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 |
| August 28, 2026 Filed Sep 1, 2026 16:32 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock options · Derivative | 44,403 | $219.76 Strike: $219.76 | $9,758,003.28 |
DisclosureSEC source: 0001104659-26-104202 · tm2624382-1_4seq1.xml · derivative · entry 18 Creed Joseph E · CIK 0001739859 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 44,403 shares Expires 2031-03-01 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. F17 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 1, 2021 and vest equally in 1/3 increments in the first, second and third anniversaries of the grant date. Read SEC document |
| August 28, 2026 Filed Sep 1, 2026 16:32 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 4,831 | $813.72 | $3,931,081.32 |
DisclosureSEC source: 0001104659-26-104202 · tm2624382-1_4seq1.xml · nonDerivative · entry 16 Creed Joseph E · CIK 0001739859 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 34,555 F15 · price: The transaction was executed in multiple trades at prices ranging from $813.23 to $813.86. 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 |
| August 28, 2026 Filed Sep 1, 2026 16:32 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 1,280 | $812.09 | $1,039,475.20 |
DisclosureSEC source: 0001104659-26-104202 · tm2624382-1_4seq1.xml · nonDerivative · entry 15 Creed Joseph E · CIK 0001739859 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 39,386 F14 · price: The transaction was executed in multiple trades at prices ranging from $811.82 to $812.49. 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 |
| August 28, 2026 Filed Sep 1, 2026 16:32 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 5,035 | $811.31 | $4,084,945.85 |
DisclosureSEC source: 0001104659-26-104202 · tm2624382-1_4seq1.xml · nonDerivative · entry 14 Creed Joseph E · CIK 0001739859 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 40,666 F13 · price: The transaction was executed in multiple trades at prices ranging from $810.81 to $811.73. 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 |
| August 28, 2026 Filed Sep 1, 2026 16:32 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 3,041 | $810.31 | $2,464,152.71 |
DisclosureSEC source: 0001104659-26-104202 · tm2624382-1_4seq1.xml · nonDerivative · entry 13 Creed Joseph E · CIK 0001739859 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 45,701 F12 · price: The transaction was executed in multiple trades at prices ranging from $809.81 to $810.79. 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 |
| August 28, 2026 Filed Sep 1, 2026 16:32 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 2,137 | $809.08 | $1,729,003.96 |
DisclosureSEC source: 0001104659-26-104202 · tm2624382-1_4seq1.xml · nonDerivative · entry 12 Creed Joseph E · CIK 0001739859 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 48,742 F11 · price: The transaction was executed in multiple trades at prices ranging from $808.81 to $809.59. 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 |
| August 28, 2026 Filed Sep 1, 2026 16:32 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 2,639 | $808.20 | $2,132,839.80 |
DisclosureSEC source: 0001104659-26-104202 · tm2624382-1_4seq1.xml · nonDerivative · entry 11 Creed Joseph E · CIK 0001739859 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 50,879 F10 · price: The transaction was executed in multiple trades at prices ranging from $807.87 to $808.76. 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 |
| August 28, 2026 Filed Sep 1, 2026 16:32 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 6,135 | $807.41 | $4,953,460.35 |
DisclosureSEC source: 0001104659-26-104202 · tm2624382-1_4seq1.xml · nonDerivative · entry 10 Creed Joseph E · CIK 0001739859 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 53,518 F9 · price: The transaction was executed in multiple trades at prices ranging from $806.85 to $807.83. 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 |
| August 28, 2026 Filed Sep 1, 2026 16:32 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 3,382 | $806.31 | $2,726,940.42 |
DisclosureSEC source: 0001104659-26-104202 · tm2624382-1_4seq1.xml · nonDerivative · entry 9 Creed Joseph E · CIK 0001739859 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 59,653 F8 · price: The transaction was executed in multiple trades at prices ranging from $805.80 to $806.79. 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 |
| August 28, 2026 Filed Sep 1, 2026 16:32 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 1,351 | $805.36 | $1,088,041.36 |
DisclosureSEC source: 0001104659-26-104202 · tm2624382-1_4seq1.xml · nonDerivative · entry 8 Creed Joseph E · CIK 0001739859 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 63,035 F7 · price: The transaction was executed in multiple trades at prices ranging from $804.78 to $805.75. 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 |
| August 28, 2026 Filed Sep 1, 2026 16:32 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 520 | $803.86 | $418,007.20 |
DisclosureSEC source: 0001104659-26-104202 · tm2624382-1_4seq1.xml · nonDerivative · entry 7 Creed Joseph E · CIK 0001739859 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 64,386 F6 · price: The transaction was executed in multiple trades at prices ranging from $803.73 to $804.19. 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 |
| August 28, 2026 Filed Sep 1, 2026 16:32 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 750 | $803.39 | $602,542.50 |
DisclosureSEC source: 0001104659-26-104202 · tm2624382-1_4seq1.xml · nonDerivative · entry 6 Creed Joseph E · CIK 0001739859 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 64,906 F5 · price: The transaction was executed in multiple trades at prices ranging from $802.72 to $803.66. 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 |
| August 28, 2026 Filed Sep 1, 2026 16:32 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 280 | $802.10 | $224,588.00 |
DisclosureSEC source: 0001104659-26-104202 · tm2624382-1_4seq1.xml · nonDerivative · entry 5 Creed Joseph E · CIK 0001739859 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 65,656 F4 · price: The transaction was executed in multiple trades at prices ranging from $801.68 to $802.25. 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 |
| August 28, 2026 Filed Sep 1, 2026 16:32 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 540 | $801.10 | $432,594.00 |
DisclosureSEC source: 0001104659-26-104202 · tm2624382-1_4seq1.xml · nonDerivative · entry 4 Creed Joseph E · CIK 0001739859 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 65,936 F3 · price: The transaction was executed in multiple trades at prices ranging from $800.68 to $801.53. 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 |
| August 28, 2026 Filed Sep 1, 2026 16:32 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 480 | $800.19 | $384,091.20 |
DisclosureSEC source: 0001104659-26-104202 · tm2624382-1_4seq1.xml · nonDerivative · entry 3 Creed Joseph E · CIK 0001739859 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 66,476 F2 · price: The transaction was executed in multiple trades at prices ranging from $799.67 to $800.63. 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 |
| August 28, 2026 Filed Sep 1, 2026 16:32 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 12,002 | $812.98 | $9,757,385.96 |
DisclosureSEC source: 0001104659-26-104202 · tm2624382-1_4seq1.xml · nonDerivative · entry 2 Creed Joseph E · CIK 0001739859 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 66,956 Read SEC document |
| August 28, 2026 Filed Sep 1, 2026 16:32 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 44,403 | $219.76 | $9,758,003.28 |
DisclosureSEC source: 0001104659-26-104202 · tm2624382-1_4seq1.xml · nonDerivative · entry 1 Creed Joseph E · CIK 0001739859 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 78,958 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: This transaction includes dividends accrued. Read SEC document |
| August 26, 2026 Filed Aug 27, 2026 19:45 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 19 | $821.93 | $15,616.67 |
DisclosureSEC source: 0001104659-26-102417 · tm2624211-1_4seq1.xml · derivative · entry 1 Creed Joseph E · CIK 0001739859 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 11,291 Underlying: Common Stock · 19 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plan as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 10 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") at a price per share of $821.93 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 adjustments for 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 |
| July 24, 2026 Filed Jul 27, 2026 18:41 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 18 | $888.73 | $15,997.14 |
DisclosureSEC source: 0001104659-26-087023 · tm2621393-1_4seq1.xml · derivative · entry 1 Creed Joseph E · CIK 0001739859 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 11,483 Underlying: Common Stock · 18 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plan 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 $888.73 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 adjustments for 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 |
| June 26, 2026 Filed Jun 29, 2026 19:50 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 16 | $997.47 | $15,959.52 |
DisclosureSEC source: 0001104659-26-078800 · tm2619309-1_4seq1.xml · derivative · entry 1 Creed Joseph E · CIK 0001739859 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 12,028 Underlying: Common Stock · 16 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plan as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 8 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") at a price per share of $997.47 and 8 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 adjustments for 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 |
| May 26, 2026 Filed May 27, 2026 19:11 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 18 | $908.55 | $16,353.90 |
DisclosureSEC source: 0001104659-26-066860 · tm2615789-1_4seq1.xml · derivative · entry 1 Creed Joseph E · CIK 0001739859 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 11,001 Underlying: Common Stock · 18 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plan 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 $908.55 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 adjustments for 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 |
| May 11, 2026 Filed May 12, 2026 20:31 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 574 | $912.03 | $523,505.22 |
DisclosureSEC source: 0001104659-26-059449 · tm2614405-2_4seq1.xml · nonDerivative · entry 1 Creed Joseph E · CIK 0001739859 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 34,507 F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligations arising from the vesting of restricted stock units granted on May 9, 2025. Read SEC document |
| April 24, 2026 Filed Apr 27, 2026 18:23 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 19 | $830.79 | $15,785.01 |
DisclosureSEC source: 0001104659-26-049316 · tm2612836-1_4seq1.xml · derivative · entry 1 Creed Joseph E · CIK 0001739859 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 11,409 Underlying: Common Stock · 19 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plan as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 10 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") at a price per share of $830.79 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 adjustments for 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 |
| March 26, 2026 Filed Mar 27, 2026 18:14 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 3 | $703.19 | $2,109.57 |
DisclosureSEC source: 0001104659-26-035977 · tm2610094-1_4seq1.xml · derivative · entry 1 Creed Joseph E · CIK 0001739859 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 11,583 Underlying: Common Stock · 3 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plan as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 2 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") at a price per share of $703.19 and 1 share that was 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 adjustments for 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 |
| March 13, 2026 Filed Mar 16, 2026 21:15 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 428 | $693.99 | $297,027.72 |
DisclosureSEC source: 0001104659-26-028590 · tm268925-1_4seq1.xml · derivative · entry 1 Creed Joseph E · CIK 0001739859 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 11,433 Underlying: Common Stock · 428 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plan as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 214 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") at a price per share of $693.99 and 214 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 |
| March 06, 2026 Filed Mar 10, 2026 15:39 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 214 | $680.90 | $145,712.60 |
DisclosureSEC source: 0001104659-26-025676 · tm268410-1_4seq1.xml · derivative · entry 1 Creed Joseph E · CIK 0001739859 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 11,293 Underlying: Common Stock · 214 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plan as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · 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. F2 · 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. F3 · 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 |
| March 05, 2026 Filed Mar 6, 2026 17:41 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 120 | $721.00 | $86,520.00 |
DisclosureSEC source: 0001104659-26-024558 · tm268220-6_4seq1.xml · nonDerivative · entry 6 Creed Joseph E · CIK 0001739859 · Chief Executive Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 35,083 Read SEC document |
| March 05, 2026 Filed Mar 6, 2026 17:41 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 575 | $720.10 | $414,057.50 |
DisclosureSEC source: 0001104659-26-024558 · tm268220-6_4seq1.xml · nonDerivative · entry 5 Creed Joseph E · CIK 0001739859 · Chief Executive Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 35,203 F5 · price: This transaction was executed in multiple trades at prices ranging from $720.00 to $720.83. 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 |
| March 05, 2026 Filed Mar 6, 2026 17:41 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 585 | $719.39 | $420,843.15 |
DisclosureSEC source: 0001104659-26-024558 · tm268220-6_4seq1.xml · nonDerivative · entry 4 Creed Joseph E · CIK 0001739859 · Chief Executive Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 35,778 F4 · price: This transaction was executed in multiple trades at prices ranging from $718.99 to $719.98. 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 |
| March 05, 2026 Filed Mar 6, 2026 17:41 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 800 | $718.44 | $574,752.00 |
DisclosureSEC source: 0001104659-26-024558 · tm268220-6_4seq1.xml · nonDerivative · entry 3 Creed Joseph E · CIK 0001739859 · Chief Executive Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 36,363 F3 · price: This transaction was executed in multiple trades at prices ranging from $717.96 to $718.81. 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 |
| March 05, 2026 Filed Mar 6, 2026 17:41 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 420 | $717.01 | $301,144.20 |
DisclosureSEC source: 0001104659-26-024558 · tm268220-6_4seq1.xml · nonDerivative · entry 2 Creed Joseph E · CIK 0001739859 · Chief Executive Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 37,163 F2 · price: This transaction was executed in multiple trades at prices ranging from $716.48 to $717.45. 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 |
| March 04, 2026 Filed Mar 6, 2026 17:41 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 696 | $738.42 | $513,940.32 |
DisclosureSEC source: 0001104659-26-024558 · tm268220-6_4seq1.xml · nonDerivative · entry 1 Creed Joseph E · CIK 0001739859 · Chief Executive Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 37,583 F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of restricted stock units granted on March 4, 2024. Read SEC document |
| March 03, 2026 Filed Mar 4, 2026 23:09 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 676 | $719.13 | $486,131.88 |
DisclosureSEC source: 0001104659-26-023593 · tm268026-1_4seq1.xml · nonDerivative · entry 2 Creed Joseph E · CIK 0001739859 · CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 38,279 F2 · shares: Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of restricted stock units granted March 3, 2025. Read SEC document |
| March 02, 2026 Filed Mar 4, 2026 23:09 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock options · Derivative | 13,803 | $0.00 Strike: $752.18 | $0.00 |
DisclosureSEC source: 0001104659-26-023593 · tm268026-1_4seq1.xml · derivative · entry 4 Creed Joseph E · CIK 0001739859 · CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 13,803 Underlying: Common Stock · 13,803 shares Expires 2036-03-02 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 02, 2026 Filed Mar 4, 2026 23:09 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 4,950 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-26-023593 · tm268026-1_4seq1.xml · nonDerivative · entry 1 Creed Joseph E · CIK 0001739859 · CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 38,955 F1 · balance_after: Includes adjustment for dividends accrued. Read SEC document |
| February 10, 2026 Filed Feb 13, 2026 00:55 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 3,366 | $744.83 | $2,507,097.78 |
DisclosureSEC source: 0001104659-26-014525 · tm266149-9_4seq1.xml · nonDerivative · entry 2 Creed Joseph E · CIK 0001739859 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 33,980 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 6, 2023. Read SEC document |
| February 10, 2026 Filed Feb 13, 2026 00:55 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 9,055 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-26-014525 · tm266149-9_4seq1.xml · nonDerivative · entry 1 Creed Joseph E · CIK 0001739859 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 37,346 F2 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| December 26, 2025 Filed Dec 29, 2025 18:10 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 26 | $583.00 | $15,158.00 |
DisclosureSEC source: 0001104659-25-124750 · tm2534401-2_4seq1.xml · derivative · entry 1 Creed Joseph E · CIK 0001739859 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 10,699 Underlying: Common Stock · 26 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plan 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 $583.00 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 adjustments for 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 |
| November 26, 2025 Filed Dec 1, 2025 18:29 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 26 | $573.73 | $14,916.98 |
DisclosureSEC source: 0001104659-25-117255 · tm2532449-1_4seq1.xml · derivative · entry 1 Creed Joseph E · CIK 0001739859 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 10,503 Underlying: Common Stock · 26 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plan 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 $573.73 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 adjustments for 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 |
| October 24, 2025 Filed Oct 27, 2025 18:30 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 29 | $522.73 | $15,159.17 |
DisclosureSEC source: 0001104659-25-102544 · tm2529538-3_4seq1.xml · derivative · entry 1 Creed Joseph E · CIK 0001739859 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 10,599 Underlying: Common Stock · 29 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plan 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 $522.73 and 14 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 adjustments for 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 |
| September 26, 2025 Filed Sep 29, 2025 20:28 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 32 | $465.76 | $14,904.32 |
DisclosureSEC source: 0001104659-25-094513 · tm2527436-2_4seq1.xml · derivative · entry 1 Creed Joseph E · CIK 0001739859 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 10,553 Underlying: Common Stock · 32 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plan as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 16 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") at a price per share of $465.76 and 16 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 adjustments for 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 |
| August 26, 2025 Filed Aug 27, 2025 19:39 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 35 | $431.26 | $15,094.10 |
DisclosureSEC source: 0001104659-25-083981 · tm2524523-3_4seq1.xml · derivative · entry 1 Creed Joseph E · CIK 0001739859 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 10,600 Underlying: Common Stock · 35 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plan as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 18 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") at a price per share of $431.26 and 17 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 adjustments for 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 |
| July 25, 2025 Filed Jul 28, 2025 20:03 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 35 | $433.75 | $15,181.25 |
DisclosureSEC source: 0001104659-25-071150 · tm2521859-2_4seq1.xml · derivative · entry 1 Creed Joseph E · CIK 0001739859 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 10,436 Underlying: Common Stock · 35 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plan as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 18 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") at a price per share of $433.75 and 17 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 adjustments for 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 |
| June 26, 2025 Filed Jun 27, 2025 18:38 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 39 | $381.88 | $14,893.32 |
DisclosureSEC source: 0001104659-25-063558 · tm2519319d1_4seq1.xml · derivative · entry 1 Creed Joseph E · CIK 0001739859 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 10,203 Underlying: Common Stock · 39 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plan as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 20 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") at a price per share of $381.88 and 19 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 adjustments for 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 |
| May 23, 2025 Filed May 27, 2025 19:16 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 44 | $343.39 | $15,109.16 |
DisclosureSEC source: 0001104659-25-052916 · tm2516223-2_4seq1.xml · derivative · entry 1 Creed Joseph E · CIK 0001739859 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 10,508 Underlying: Common Stock · 44 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plan as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 22 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") at a price per share of $343.39 and 22 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 |
| May 09, 2025 Filed May 13, 2025 20:09 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Options · Derivative | 13,086 | $0.00 Strike: $325.62 | $0.00 |
DisclosureSEC source: 0001104659-25-047827 · tm2514949-2_4seq1.xml · derivative · entry 3 Creed Joseph E · CIK 0001739859 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 13,086 Underlying: Common Stock · 13,086 shares Expires 2035-05-09 F2 · 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. 1/3 vests on the first anniversary of the grant date; 1/3 vests on March 3, 2027 and 1/3 vests on March 3, 2028. Read SEC document |
| May 09, 2025 Filed May 13, 2025 20:09 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 4,330 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-25-047827 · tm2514949-2_4seq1.xml · nonDerivative · entry 1 Creed Joseph E · CIK 0001739859 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 28,157 Read SEC document |
| April 25, 2025 Filed Apr 28, 2025 19:49 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 12 | $306.45 | $3,677.40 |
DisclosureSEC source: 0001104659-25-040159 · tm2513401-1_4seq1.xml · derivative · entry 1 Creed Joseph E · CIK 0001739859 · Chief Operating Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 10,445 Underlying: Common Stock · 12 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plan as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 6 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") at a price per share of $306.45 and 6 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 |
| March 14, 2025 Filed Mar 17, 2025 20:30 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 667 | $339.64 | $226,539.88 |
DisclosureSEC source: 0001104659-25-024448 · tm259502-3_4seq1.xml · derivative · entry 1 Creed Joseph E · CIK 0001739859 · Chief Operating Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 10,175 Underlying: Common Stock · 667 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plan as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 334 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") at a price per share of $339.64 and 333 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.