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 |
|---|---|---|---|---|---|---|
| October 26, 2022 Filed Oct 27, 2022 19:54 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 36 | $196.96 | $7,090.56 |
DisclosureSEC source: 0000018230-22-000219 · wf-form4_166690047714026.xml · derivative · entry 1 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,474 Underlying: Common Stock · 36 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans 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 $196.96 and 18 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 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 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 |
| September 26, 2022 Filed Sep 27, 2022 21:55 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 44 | $162.62 | $7,155.28 |
DisclosureSEC source: 0000018230-22-000205 · wf-form4_166431571478354.xml · derivative · entry 1 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,547 Underlying: Common Stock · 44 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans 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 $162.62 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 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 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 |
| August 26, 2022 Filed Aug 30, 2022 14:38 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 37 | $191.92 | $7,101.04 |
DisclosureSEC source: 0000018230-22-000186 · wf-form4_166187030157051.xml · derivative · entry 1 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,654 Underlying: Common Stock · 37 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 19 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $191.92 and 18 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 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 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 |
| July 26, 2022 Filed Jul 28, 2022 15:11 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 39 | $181.23 | $7,067.97 |
DisclosureSEC source: 0000018230-22-000174 · wf-form4_165902107974162.xml · derivative · entry 1 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,415 Underlying: Common Stock · 39 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans 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 $181.23 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 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 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 |
| June 24, 2022 Filed Jun 28, 2022 00:49 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 26 | $185.49 | $4,822.74 |
DisclosureSEC source: 0000018230-22-000164 · wf-form4_165637737558895.xml · derivative · entry 1 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,084 Underlying: Common Stock · 26 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans 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 $185.49 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 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 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 18, 2022 Filed May 23, 2022 16:11 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 2,757 | $214.13 | $590,356.41 |
DisclosureSEC source: 0000018230-22-000119 · wf-form4_165332229703111.xml · nonDerivative · entry 1 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| April 20, 2022 Filed Apr 22, 2022 16:59 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 5,004 | $138.35 Strike: $138.35 | $692,303.40 |
DisclosureSEC source: 0000018230-22-000099 · wf-form4_165064675086854.xml · derivative · entry 4 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,003 Underlying: Common Stock · 5,004 shares Expires 2029-03-04 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. F2 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 4, 2019 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| April 20, 2022 Filed Apr 22, 2022 16:59 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 5,004 | $235.00 | $1,175,940.00 |
DisclosureSEC source: 0000018230-22-000099 · wf-form4_165064675086854.xml · nonDerivative · entry 2 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,757 Read SEC document |
| April 20, 2022 Filed Apr 22, 2022 16:59 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 5,004 | $138.35 | $692,303.40 |
DisclosureSEC source: 0000018230-22-000099 · wf-form4_165064675086854.xml · nonDerivative · entry 1 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,761 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. Read SEC document |
| March 14, 2022 Filed Mar 15, 2022 21:51 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 684 | $215.44 | $147,360.96 |
DisclosureSEC source: 0000018230-22-000079 · wf-form4_164738105855816.xml · derivative · entry 2 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,221 Underlying: Common Stock · 684 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F4 · shares: This total includes 342 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $215.44 and 342 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F2 · derivative.exercise_date: The phantom stock units are to be settled 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 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 11, 2022 Filed Mar 15, 2022 21:51 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 87 | $214.83 | $18,690.21 |
DisclosureSEC source: 0000018230-22-000079 · wf-form4_164738105855816.xml · derivative · entry 1 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,477 Underlying: Common Stock · 87 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans 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 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 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 07, 2022 Filed Mar 8, 2022 23:22 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Options · Derivative | 35,788 | $0.00 Strike: $196.70 | $0.00 |
DisclosureSEC source: 0000018230-22-000069 · wf-form4_164678173263326.xml · derivative · entry 1 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,788 Underlying: Common Stock · 35,788 shares Expires 2032-03-07 F1 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 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 |
| February 08, 2022 Filed Feb 10, 2022 18:40 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 1,122 | $200.77 | $225,263.94 |
DisclosureSEC source: 0000018230-22-000034 · wf-form4_164451842628521.xml · nonDerivative · entry 2 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,757 F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligations arising from the vesting of performance-based restricted stock units granted on March 4, 2019. Read SEC document |
| February 08, 2022 Filed Feb 10, 2022 18:40 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 3,879 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-22-000034 · wf-form4_164451842628521.xml · nonDerivative · entry 1 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,879 Read SEC document |
| January 18, 2022 Filed Jan 19, 2022 20:52 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 5,004 | $138.35 Strike: $138.35 | $692,303.40 |
DisclosureSEC source: 0000018230-22-000011 · wf-form4_164262553304046.xml · derivative · entry 4 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,007 Underlying: Common Stock · 5,004 shares Expires 2029-03-04 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. F2 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan March 4, 2019 and vest equally in 1/3 increments on each of the first, second and third anniversaries of the grant date. Read SEC document |
| January 18, 2022 Filed Jan 19, 2022 20:52 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 5,004 | $230.00 | $1,150,920.00 |
DisclosureSEC source: 0000018230-22-000011 · wf-form4_164262553304046.xml · nonDerivative · entry 2 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| January 18, 2022 Filed Jan 19, 2022 20:52 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 5,004 | $138.35 | $692,303.40 |
DisclosureSEC source: 0000018230-22-000011 · wf-form4_164262553304046.xml · nonDerivative · entry 1 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,004 Read SEC document |
| December 23, 2021 Filed Dec 27, 2021 21:05 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 32 | $206.20 | $6,598.40 |
DisclosureSEC source: 0000018230-21-000267 · wf-form4_164063911761192.xml · derivative · entry 1 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,330 Underlying: Common Stock · 32 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans 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 $206.20 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 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 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 |
| November 26, 2021 Filed Nov 29, 2021 22:56 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 33 | $198.73 | $6,558.09 |
DisclosureSEC source: 0000018230-21-000263 · wf-form4_163822657658020.xml · derivative · entry 1 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,628 Underlying: Common Stock · 33 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 17 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $198.73 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 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 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 |
| November 01, 2021 Filed Nov 2, 2021 19:29 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 5,038 | $204.09 | $1,028,205.42 |
DisclosureSEC source: 0000018230-21-000254 · wf-form4_163588137296454.xml · nonDerivative · entry 1 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| October 26, 2021 Filed Oct 27, 2021 19:44 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 33 | $199.64 | $6,588.12 |
DisclosureSEC source: 0000018230-21-000247 · wf-form4_163536387379254.xml · derivative · entry 1 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,439 Underlying: Common Stock · 33 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 17 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $199.64 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 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 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 |
| September 24, 2021 Filed Sep 27, 2021 21:15 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 34 | $196.82 | $6,691.88 |
DisclosureSEC source: 0000018230-21-000236 · wf-form4_163277731622694.xml · derivative · entry 1 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,304 Underlying: Common Stock · 34 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 17 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $196.82 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 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 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 |
| August 26, 2021 Filed Aug 27, 2021 19:34 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 31 | $211.24 | $6,548.44 |
DisclosureSEC source: 0000018230-21-000229 · wf-form4_163009282748212.xml · derivative · entry 1 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,357 Underlying: Common Stock · 31 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans 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 $211.24 and 15 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 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 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 |
| July 26, 2021 Filed Jul 27, 2021 21:58 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 32 | $211.03 | $6,752.96 |
DisclosureSEC source: 0000018230-21-000208 · wf-form4_162742297344257.xml · derivative · entry 1 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,203 Underlying: Common Stock · 32 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans 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 $211.03 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 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 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 |
| June 25, 2021 Filed Jun 28, 2021 21:32 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 24 | $216.31 | $5,191.44 |
DisclosureSEC source: 0000018230-21-000200 · wf-form4_162491593307964.xml · derivative · entry 1 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,249 Underlying: Common Stock · 24 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 12 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $216.31 and 12 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 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 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 |
| June 13, 2021 Filed Jun 15, 2021 18:31 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 1,009 | $218.79 | $220,759.11 |
DisclosureSEC source: 0000018230-21-000176 · wf-form4_162378188938663.xml · nonDerivative · entry 1 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,038 Read SEC document |
| June 04, 2021 Filed Jun 7, 2021 18:30 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 7,699 | $127.60 Strike: $127.60 | $982,392.40 |
DisclosureSEC source: 0000018230-21-000168 · wf-form4_162309063353548.xml · derivative · entry 4 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,396 Underlying: Common Stock · 7,699 shares Expires 2030-03-02 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. F3 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar 2014 Long-Term Incentive Plan on March 2, 2020 and vest and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| June 04, 2021 Filed Jun 7, 2021 18:30 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 7,699 | $245.12 | $1,887,178.88 |
DisclosureSEC source: 0000018230-21-000168 · wf-form4_162309063353548.xml · nonDerivative · entry 2 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,047 Read SEC document |
| June 04, 2021 Filed Jun 7, 2021 18:30 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 7,699 | $127.60 | $982,392.40 |
DisclosureSEC source: 0000018230-21-000168 · wf-form4_162309063353548.xml · nonDerivative · entry 1 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,746 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: Includes adjustments for dividends accrued. Read SEC document |
| March 05, 2021 Filed Mar 10, 2021 00:58 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 120 | $220.16 | $26,419.20 |
DisclosureSEC source: 0000018230-21-000115 · wf-form4_161533790526142.xml · derivative · entry 1 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,936 Underlying: Common Stock · 120 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans 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 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 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 01, 2021 Filed Mar 3, 2021 01:57 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Options · Derivative | 44,403 | $0.00 Strike: $219.76 | $0.00 |
DisclosureSEC source: 0000018230-21-000085 · wf-form4_161473665356883.xml · derivative · entry 1 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,403 Underlying: Common Stock · 44,403 shares Expires 2031-03-01 F1 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 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 |
| February 09, 2021 Filed Feb 11, 2021 20:42 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 1,150 | $196.78 | $226,297.00 |
DisclosureSEC source: 0000018230-21-000052 · wf-form4_161307610429535.xml · nonDerivative · entry 2 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,025 F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligations arising from the vesting of performance-based restricted stock units granted on March 5, 2018. Read SEC document |
| February 09, 2021 Filed Feb 11, 2021 20:42 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 4,633 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-21-000052 · wf-form4_161307610429535.xml · nonDerivative · entry 1 Creed Joseph E · CIK 0001739859 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,175 Read SEC document |
| June 13, 2018 Filed Jun 14, 2018 20:35 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 7,111 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-18-000170 · wf-form4_152900853349895.xml · nonDerivative · entry 1 Creed Joseph E · CIK 0001739859 · Interim CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,283 F1 · shares: The restricted stock units were granted under the Company's 2014 Long-Term Incentive Plan and have a three year pro-rata vesting schedule, vesting one-third on each of the first three anniversaries of the grant date. Read SEC document |
| May 11, 2018 Filed May 15, 2018 17:19 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 2,150 | $0.00 Strike: $89.75 | $0.00 |
DisclosureSEC source: 0000018230-18-000153 · wf-form4_152640476926621.xml · derivative · entry 7 Creed Joseph E · CIK 0001739859 · Interim CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,210 Underlying: Common Stock · 2,150 shares Expires 2023-03-04 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. Read SEC document |
| May 11, 2018 Filed May 15, 2018 17:19 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 2,382 | $0.00 Strike: $110.09 | $0.00 |
DisclosureSEC source: 0000018230-18-000153 · wf-form4_152640476926621.xml · derivative · entry 6 Creed Joseph E · CIK 0001739859 · Interim CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,382 shares Expires 2022-03-05 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. Read SEC document |
| May 11, 2018 Filed May 15, 2018 17:19 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 2,150 | $155.67 | $334,690.50 |
DisclosureSEC source: 0000018230-18-000153 · wf-form4_152640476926621.xml · nonDerivative · entry 4 Creed Joseph E · CIK 0001739859 · Interim CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 172 Read SEC document |
| May 11, 2018 Filed May 15, 2018 17:19 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 2,150 | $89.75 | $192,962.50 |
DisclosureSEC source: 0000018230-18-000153 · wf-form4_152640476926621.xml · nonDerivative · entry 3 Creed Joseph E · CIK 0001739859 · Interim CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,322 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. Read SEC document |
| May 11, 2018 Filed May 15, 2018 17:19 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 2,382 | $155.67 | $370,805.94 |
DisclosureSEC source: 0000018230-18-000153 · wf-form4_152640476926621.xml · nonDerivative · entry 2 Creed Joseph E · CIK 0001739859 · Interim CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 172 Read SEC document |
| May 11, 2018 Filed May 15, 2018 17:19 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 2,382 | $110.09 | $262,234.38 |
DisclosureSEC source: 0000018230-18-000153 · wf-form4_152640476926621.xml · nonDerivative · entry 1 Creed Joseph E · CIK 0001739859 · Interim CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,554 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. 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.