Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CATERPILLAR INCCAT · Entity 2808 | Group President | 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 | 5,449 |
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 5,449 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") 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. |
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") 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 19:01 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 11 | $821.58 | $9,037.38 |
DisclosureSEC source: 0001104659-26-111315 · tm2626483-3_4seq1.xml · derivative · entry 1 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,449 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") 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 19:46 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 11 | $821.93 | $9,041.23 |
DisclosureSEC source: 0001104659-26-102419 · tm2624211-2_4seq1.xml · derivative · entry 1 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,476 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") 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 18:43 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 10 | $888.73 | $8,887.30 |
DisclosureSEC source: 0001104659-26-087024 · tm2621393-2_4seq1.xml · derivative · entry 1 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,567 Underlying: Common Stock · 10 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 5 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 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 |
| June 26, 2026 Filed Jun 29, 2026 19:52 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 5 | $997.47 | $4,987.35 |
DisclosureSEC source: 0001104659-26-078801 · tm2619309-2_4seq1.xml · derivative · entry 1 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,831 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") at a price per share of $997.47 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 |
| May 06, 2026 Filed May 6, 2026 22:28 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon Stock | 294 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-26-056437 · tm2613823-2_4seq1.xml · nonDerivative · entry 1 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 9,300 F1 · shares: Represents a donation of ordinary shares to a Donor Advised Fund. Read SEC document |
| May 04, 2026 Filed May 5, 2026 23:07 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 7,917 | $253.98 Strike: $253.98 | $2,010,759.66 |
DisclosureSEC source: 0001104659-26-055795 · tm2613646-1_4seq1.xml · derivative · entry 5 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,917 shares Expires 2033-03-06 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 · shares: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 6, 2023 and vest equally in 1/3 increments in the first, second and third anniversaries of the grant date. F2 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 6, 2023 and vest equally in 1/3 increments in the first, second and third anniversaries of the grant date. Read SEC document |
| May 04, 2026 Filed May 5, 2026 23:07 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 5,642 | $883.03 | $4,982,055.26 |
DisclosureSEC source: 0001104659-26-055795 · tm2613646-1_4seq1.xml · nonDerivative · entry 3 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 9,594 Read SEC document |
| May 04, 2026 Filed May 5, 2026 23:07 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 2,275 | $883.50 | $2,009,962.50 |
DisclosureSEC source: 0001104659-26-055795 · tm2613646-1_4seq1.xml · nonDerivative · entry 2 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 15,236 Read SEC document |
| May 04, 2026 Filed May 5, 2026 23:07 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 7,917 | $253.98 | $2,010,759.66 |
DisclosureSEC source: 0001104659-26-055795 · tm2613646-1_4seq1.xml · nonDerivative · entry 1 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 17,511 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 13, 2026 Filed Mar 16, 2026 21:14 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 186 | $693.99 | $129,082.14 |
DisclosureSEC source: 0001104659-26-028585 · tm268925-2_4seq1.xml · derivative · entry 1 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,564 Underlying: Common Stock · 186 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 93 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 93 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 15:41 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 106 | $680.90 | $72,175.40 |
DisclosureSEC source: 0001104659-26-025678 · tm268410-2_4seq1.xml · derivative · entry 1 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,520 Underlying: Common Stock · 106 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 04, 2026 Filed Mar 6, 2026 17:40 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 368 | $738.42 | $271,738.56 |
DisclosureSEC source: 0001104659-26-024557 · tm268220-5_4seq1.xml · nonDerivative · entry 1 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 9,594 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 23:14 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 358 | $719.13 | $257,448.54 |
DisclosureSEC source: 0001104659-26-023599 · tm268026-5_4seq1.xml · nonDerivative · entry 2 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 9,962 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 23:14 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock options · Derivative | 4,601 | $0.00 Strike: $752.18 | $0.00 |
DisclosureSEC source: 0001104659-26-023599 · tm268026-5_4seq1.xml · derivative · entry 4 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,601 Underlying: Common Stock · 4,601 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 23:14 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 1,650 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-26-023599 · tm268026-5_4seq1.xml · nonDerivative · entry 1 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 10,320 F1 · balance_after: Includes adjustment for dividends accrued. Read SEC document |
| February 12, 2026 Filed Feb 13, 2026 20:13 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 1,690 | $776.70 | $1,312,623.00 |
DisclosureSEC source: 0001104659-26-015109 · tm266383-2_4seq1.xml · nonDerivative · entry 1 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 8,661 Read SEC document |
| February 10, 2026 Filed Feb 13, 2026 00:45 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 779 | $744.83 | $580,222.57 |
DisclosureSEC source: 0001104659-26-014514 · tm266149-2_4seq1.xml · nonDerivative · entry 2 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 10,351 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 00:45 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 2,469 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-26-014514 · tm266149-2_4seq1.xml · nonDerivative · entry 1 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 11,130 F2 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| December 26, 2025 Filed Dec 29, 2025 18:09 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 13 | $583.00 | $7,579.00 |
DisclosureSEC source: 0001104659-25-124749 · tm2534401-1_4seq1.xml · derivative · entry 1 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,228 Underlying: Common Stock · 13 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 7 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 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 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 18:31 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 13 | $573.73 | $7,458.49 |
DisclosureSEC source: 0001104659-25-117256 · tm2532449-2_4seq1.xml · derivative · entry 1 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,132 Underlying: Common Stock · 13 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 7 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 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 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 11, 2025 Filed Nov 13, 2025 17:27 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 8,000 | $196.70 Strike: $196.70 | $1,573,600.00 |
DisclosureSEC source: 0001104659-25-111091 · tm2531191-1_4seq1.xml · derivative · entry 20 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 8,000 shares Expires 2032-03-07 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 7, 2022 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| November 11, 2025 Filed Nov 13, 2025 17:27 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 8,881 | $219.76 Strike: $219.76 | $1,951,688.56 |
DisclosureSEC source: 0001104659-25-111091 · tm2531191-1_4seq1.xml · derivative · entry 19 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 8,881 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. F16 · 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 on the first, second and third anniversaries of the grant date. Read SEC document |
| November 11, 2025 Filed Nov 13, 2025 17:27 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 632 | $568.65 | $359,386.80 |
DisclosureSEC source: 0001104659-25-111091 · tm2531191-1_4seq1.xml · nonDerivative · entry 17 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 8,649 F14 · price: This transaction was entered as multiple trades, as prices ranging from $568.03 to $569.41. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of 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 |
| November 11, 2025 Filed Nov 13, 2025 17:27 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 380 | $567.35 | $215,593.00 |
DisclosureSEC source: 0001104659-25-111091 · tm2531191-1_4seq1.xml · nonDerivative · entry 16 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 9,281 F13 · price: This transaction was entered as multiple trades, as prices ranging from $566.87 to $567.71. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of 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 |
| November 11, 2025 Filed Nov 13, 2025 17:27 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 460 | $564.09 | $259,481.40 |
DisclosureSEC source: 0001104659-25-111091 · tm2531191-1_4seq1.xml · nonDerivative · entry 15 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 9,661 F12 · price: This transaction was entered as multiple trades, as prices ranging from $563.70 to $564.50. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of 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 |
| November 11, 2025 Filed Nov 13, 2025 17:27 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 1,480 | $563.22 | $833,565.60 |
DisclosureSEC source: 0001104659-25-111091 · tm2531191-1_4seq1.xml · nonDerivative · entry 14 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 10,121 F11 · price: This transaction was entered as multiple trades, as prices ranging from $562.81 to $563.65. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of 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 |
| November 11, 2025 Filed Nov 13, 2025 17:27 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 1,260 | $562.15 | $708,309.00 |
DisclosureSEC source: 0001104659-25-111091 · tm2531191-1_4seq1.xml · nonDerivative · entry 13 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 11,601 F10 · price: This transaction was entered as multiple trades, as prices ranging from $561.77 to $562.70. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of 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 |
| November 11, 2025 Filed Nov 13, 2025 17:27 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 1,032 | $561.29 | $579,251.28 |
DisclosureSEC source: 0001104659-25-111091 · tm2531191-1_4seq1.xml · nonDerivative · entry 12 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 12,861 F9 · price: This transaction was entered as multiple trades, as prices ranging from $560.79 to $561.73. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of 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 |
| November 11, 2025 Filed Nov 13, 2025 17:27 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 2,756 | $570.85 | $1,573,262.60 |
DisclosureSEC source: 0001104659-25-111091 · tm2531191-1_4seq1.xml · nonDerivative · entry 11 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 13,893 Read SEC document |
| November 11, 2025 Filed Nov 13, 2025 17:27 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 8,000 | $196.70 | $1,573,600.00 |
DisclosureSEC source: 0001104659-25-111091 · tm2531191-1_4seq1.xml · nonDerivative · entry 10 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 16,649 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 |
| November 11, 2025 Filed Nov 13, 2025 17:27 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 653 | $568.60 | $371,295.80 |
DisclosureSEC source: 0001104659-25-111091 · tm2531191-1_4seq1.xml · nonDerivative · entry 9 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 8,649 F8 · price: This transaction was entered as multiple trades, as prices ranging from $568.07 to $568.72. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of 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 |
| November 11, 2025 Filed Nov 13, 2025 17:27 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 400 | $567.26 | $226,904.00 |
DisclosureSEC source: 0001104659-25-111091 · tm2531191-1_4seq1.xml · nonDerivative · entry 8 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 9,302 F7 · price: This transaction was entered as multiple trades, as prices ranging from $566.87 to $567.71. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of 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 |
| November 11, 2025 Filed Nov 13, 2025 17:27 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 37 | $565.06 | $20,907.22 |
DisclosureSEC source: 0001104659-25-111091 · tm2531191-1_4seq1.xml · nonDerivative · entry 7 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 9,702 F6 · price: This transaction was entered as multiple trades at $565.06. The reporting person hereby undertakes to provide upon request of 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 |
| November 11, 2025 Filed Nov 13, 2025 17:27 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 280 | $563.88 | $157,886.40 |
DisclosureSEC source: 0001104659-25-111091 · tm2531191-1_4seq1.xml · nonDerivative · entry 6 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 9,739 F5 · price: This transaction was entered as multiple trades, as prices ranging from $563.87 to $563.79. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of 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 |
| November 11, 2025 Filed Nov 13, 2025 17:27 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 1,640 | $563.22 | $923,680.80 |
DisclosureSEC source: 0001104659-25-111091 · tm2531191-1_4seq1.xml · nonDerivative · entry 5 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 10,019 F4 · price: This transaction was entered as multiple trades, as prices ranging from $562.81 to $563.79. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of 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 |
| November 11, 2025 Filed Nov 13, 2025 17:27 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 1,413 | $562.27 | $794,487.51 |
DisclosureSEC source: 0001104659-25-111091 · tm2531191-1_4seq1.xml · nonDerivative · entry 4 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 11,659 F3 · price: This transaction was entered as multiple trades, as prices ranging from $561.77 to $562.76. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of 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 |
| November 11, 2025 Filed Nov 13, 2025 17:27 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 1,040 | $561.29 | $583,741.60 |
DisclosureSEC source: 0001104659-25-111091 · tm2531191-1_4seq1.xml · nonDerivative · entry 3 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 13,072 F2 · price: This transaction was entered as multiple trades, as prices ranging from $560.79 to $561.73. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of 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 |
| November 11, 2025 Filed Nov 13, 2025 17:27 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 3,418 | $570.85 | $1,951,165.30 |
DisclosureSEC source: 0001104659-25-111091 · tm2531191-1_4seq1.xml · nonDerivative · entry 2 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 14,112 Read SEC document |
| November 11, 2025 Filed Nov 13, 2025 17:27 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 8,881 | $219.76 | $1,951,688.56 |
DisclosureSEC source: 0001104659-25-111091 · tm2531191-1_4seq1.xml · nonDerivative · entry 1 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 17,530 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 |
| October 24, 2025 Filed Oct 27, 2025 18:29 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 14 | $522.73 | $7,318.22 |
DisclosureSEC source: 0001104659-25-102542 · tm2529538-2_4seq1.xml · derivative · entry 1 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,178 Underlying: Common Stock · 14 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 7 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 7 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 20:32 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 16 | $465.76 | $7,452.16 |
DisclosureSEC source: 0001104659-25-094525 · tm2527436-1_4seq1.xml · derivative · entry 1 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,156 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 $465.76 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 |
| August 26, 2025 Filed Aug 27, 2025 19:38 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 17 | $431.26 | $7,331.42 |
DisclosureSEC source: 0001104659-25-083979 · tm2524523-2_4seq1.xml · derivative · entry 1 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,179 Underlying: Common Stock · 17 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 $431.26 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 |
| August 11, 2025 Filed Aug 13, 2025 16:59 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 4,091 | $196.70 Strike: $196.70 | $804,699.70 |
DisclosureSEC source: 0001104659-25-077411 · tm2523334-1_4seq1.xml · derivative · entry 5 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,091 shares Expires 2032-03-07 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 Inc. 2014 Long Term Incentive Plan on March 7, 2022 and vest equally in 1/3 incrememnts on the first, second and third anniversaries of the grant date. Read SEC document |
| August 11, 2025 Filed Aug 13, 2025 16:59 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 2,161 | $417.70 | $902,649.70 |
DisclosureSEC source: 0001104659-25-077411 · tm2523334-1_4seq1.xml · nonDerivative · entry 3 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,632 Read SEC document |
| August 11, 2025 Filed Aug 13, 2025 16:59 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 1,930 | $416.80 | $804,424.00 |
DisclosureSEC source: 0001104659-25-077411 · tm2523334-1_4seq1.xml · nonDerivative · entry 2 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 10,793 Read SEC document |
| August 11, 2025 Filed Aug 13, 2025 16:59 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 4,091 | $196.70 | $804,699.70 |
DisclosureSEC source: 0001104659-25-077411 · tm2523334-1_4seq1.xml · nonDerivative · entry 1 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 12,723 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 dividends accrued. Read SEC document |
| July 25, 2025 Filed Jul 28, 2025 20:04 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 17 | $433.75 | $7,373.75 |
DisclosureSEC source: 0001104659-25-071152 · tm2521859-1_4seq1.xml · derivative · entry 1 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,099 Underlying: Common Stock · 17 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 $433.75 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 |
| June 26, 2025 Filed Jun 27, 2025 18:40 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 1 | $381.88 | $381.88 |
DisclosureSEC source: 0001104659-25-063559 · tm2519319-2_4seq1.xml · derivative · entry 1 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,984 Underlying: Common Stock · 1 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 1 share that was credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") at a price per share of $381.88. 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 14, 2025 Filed Mar 17, 2025 20:29 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 380 | $339.64 | $129,063.20 |
DisclosureSEC source: 0001104659-25-024441 · tm259502-2_4seq1.xml · derivative · entry 1 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,016 Underlying: Common Stock · 380 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 190 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 190 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 07, 2025 Filed Mar 10, 2025 21:26 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 155 | $350.30 | $54,296.50 |
DisclosureSEC source: 0001104659-25-022229 · tm258771-3_4seq1.xml · derivative · entry 1 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,602 Underlying: Common Stock · 155 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.