Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CATERPILLAR INCCAT · Entity 2808 | Chief Financial 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 | 5,839 |
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 11 · Balance 5,839 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 6 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") as a result of excess contributions at a price per share of $821.58 and 5 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. |
| Phantom Stock UnitsSEC Table II · derivative / convertible security | Direct | 5,846 |
Reported balance
After 2026-09-25 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2026-09-25 · Grant · Acquired 7 · Balance 5,846 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. 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 6 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") as a result of excess contributions at a price per share of $821.58 and 5 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 | 7 | $821.58 | $5,751.06 |
DisclosureSEC source: 0001104659-26-111313 · tm2626483-2_4seq1.xml · derivative · entry 2 Epley Kyle Joseph · CIK 0002131716 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,846 Underlying: Common Stock · 7 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. 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 25, 2026 Filed Sep 28, 2026 19:00 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 11 | $821.58 | $9,037.38 |
DisclosureSEC source: 0001104659-26-111313 · tm2626483-2_4seq1.xml · derivative · entry 1 Epley Kyle Joseph · CIK 0002131716 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,839 Underlying: Common Stock · 11 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") as a result of excess contributions at a price per share of $821.58 and 5 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, 2026 Filed Aug 27, 2026 19:47 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 7 | $821.93 | $5,753.51 |
DisclosureSEC source: 0001104659-26-102420 · tm2624211-3_4seq1.xml · derivative · entry 2 Epley Kyle Joseph · CIK 0002131716 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,869 Underlying: Common Stock · 7 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. 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, 2026 Filed Aug 27, 2026 19:47 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 11 | $821.93 | $9,041.23 |
DisclosureSEC source: 0001104659-26-102420 · tm2624211-3_4seq1.xml · derivative · entry 1 Epley Kyle Joseph · CIK 0002131716 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,862 Underlying: Common Stock · 11 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") as a result of excess contributions at a price per share of $821.93 and 5 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 21:42 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 7 | $888.73 | $6,221.11 |
DisclosureSEC source: 0001104659-26-087156 · tm2621393-3_4seq1.xml · derivative · entry 2 Epley Kyle Joseph · CIK 0002131716 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,961 Underlying: Common Stock · 7 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. 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. Read SEC document |
| July 24, 2026 Filed Jul 27, 2026 21:42 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 5 | $888.73 | $4,443.65 |
DisclosureSEC source: 0001104659-26-087156 · tm2621393-3_4seq1.xml · derivative · entry 1 Epley Kyle Joseph · CIK 0002131716 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,954 Underlying: Common Stock · 5 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 3 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") as a result of excess contributions at a price per share of $888.73 and 2 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 19:48 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 6 | $997.47 | $5,984.82 |
DisclosureSEC source: 0001104659-26-078798 · tm2619309-3_4seq1.xml · derivative · entry 1 Epley Kyle Joseph · CIK 0002131716 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,242 Underlying: Common Stock · 6 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 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 19:09 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 6 | $908.55 | $5,451.30 |
DisclosureSEC source: 0001104659-26-066858 · tm2615789-2_4seq1.xml · derivative · entry 1 Epley Kyle Joseph · CIK 0002131716 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,711 Underlying: Common Stock · 6 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 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 08, 2026 Filed May 12, 2026 17:23 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Options · Derivative | 1,394 | $0.00 Strike: $897.45 | $0.00 |
DisclosureSEC source: 0001104659-26-059232 · tm2614368-1_4seq1.xml · derivative · entry 3 Epley Kyle Joseph · CIK 0002131716 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,394 Underlying: Common Stock · 1,394 shares Expires 2036-05-08 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 2, 2028 and 1/3 vests on March 2, 2029. Read SEC document |
| May 08, 2026 Filed May 12, 2026 17:23 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 515 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-26-059232 · tm2614368-1_4seq1.xml · nonDerivative · entry 1 Epley Kyle Joseph · CIK 0002131716 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 17,705 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.