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 |
|---|---|---|---|---|---|---|
| March 04, 2025 Filed Mar 6, 2025 00:47 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 364 | $325.30 | $118,409.20 |
DisclosureSEC source: 0001104659-25-021038 · tm258358-7_4seq1.xml · nonDerivative · entry 2 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,614 F2 · shares: Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of restricted stock units granted March 4, 2024. Read SEC document |
| March 03, 2025 Filed Mar 6, 2025 00:47 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Options · Derivative | 8,439 | $0.00 Strike: $332.04 | $0.00 |
DisclosureSEC source: 0001104659-25-021038 · tm258358-7_4seq1.xml · derivative · entry 4 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,439 Underlying: Common Stock · 8,439 shares Expires 2035-03-03 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 03, 2025 Filed Mar 6, 2025 00:47 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 2,692 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-25-021038 · tm258358-7_4seq1.xml · nonDerivative · entry 1 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,978 F1 · balance_after: Includes adjustment for dividends accrued. Read SEC document |
| February 18, 2025 Filed Feb 19, 2025 15:45 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 2,425 | $354.70 | $860,147.50 |
DisclosureSEC source: 0001104659-25-015034 · tm256990-1_4seq1.xml · nonDerivative · entry 1 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,275 Read SEC document |
| February 11, 2025 Filed Feb 13, 2025 19:38 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 920 | $362.70 | $333,684.00 |
DisclosureSEC source: 0001104659-25-012851 · tm255985-7_4seq1.xml · nonDerivative · entry 2 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,700 F2 · shares: Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of performance-based restricted stock units granted March 7, 2022. Read SEC document |
| February 11, 2025 Filed Feb 13, 2025 19:38 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 3,345 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-25-012851 · tm255985-7_4seq1.xml · nonDerivative · entry 1 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 9,620 F1 · balance_after: Includes adjustment for dividends accrued. Read SEC document |
| December 26, 2024 Filed Dec 27, 2024 22:44 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 18 | $367.12 | $6,608.16 |
DisclosureSEC source: 0001104659-24-132197 · tm2432149-2_4seq1.xml · derivative · entry 1 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,552 Underlying: Common Stock · 18 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 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 $367.12 and 9 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes 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, 2024 Filed Nov 27, 2024 19:10 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 17 | $407.83 | $6,933.11 |
DisclosureSEC source: 0001104659-24-123611 · tm2429721-3_4seq1.xml · derivative · entry 1 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,498 Underlying: Common Stock · 17 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 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 $407.83 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 dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. Read SEC document |
| October 25, 2024 Filed Oct 28, 2024 20:24 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 17 | $385.97 | $6,561.49 |
DisclosureSEC source: 0001104659-24-111835 · tm2426969-3_4seq1.xml · derivative · entry 1 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,521 Underlying: Common Stock · 17 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 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 $385.97 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 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, 2024 Filed Sep 27, 2024 19:21 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 17 | $390.96 | $6,646.32 |
DisclosureSEC source: 0001104659-24-103660 · tm2425131-3_4seq1.xml · derivative · entry 1 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,331 Underlying: Common Stock · 17 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 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 $390.96 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: IIncludes 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, 2024 Filed Aug 27, 2024 18:54 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 19 | $351.16 | $6,672.04 |
DisclosureSEC source: 0001104659-24-093325 · tm2422802-2_4seq1.xml · derivative · entry 1 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,428 Underlying: Common Stock · 19 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 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 $351.16 and 9 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes 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, 2024 Filed Jul 29, 2024 19:31 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 17 | $350.48 | $5,958.16 |
DisclosureSEC source: 0001104659-24-083504 · tm2420389-2_4seq1.xml · derivative · entry 1 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,365 Underlying: Common Stock · 17 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 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 $350.48 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 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, 2024 Filed Mar 18, 2024 10:04 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 352 | $341.92 | $120,355.84 |
DisclosureSEC source: 0001104659-24-035169 · tm249012-2_4seq1.xml · derivative · entry 1 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,388 Underlying: Common Stock · 352 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 220 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $341.92 and 132 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 08, 2024 Filed Mar 12, 2024 10:03 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 117 | $339.19 | $39,685.23 |
DisclosureSEC source: 0001104659-24-033188 · tm248510-3_4seq1.xml · derivative · entry 1 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,053 Underlying: Common Stock · 117 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 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, 2024 Filed Mar 6, 2024 17:22 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Options · Derivative | 8,871 | $0.00 Strike: $338.65 | $0.00 |
DisclosureSEC source: 0001104659-24-031369 · tm248078-6_4seq1.xml · derivative · entry 3 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,871 Underlying: Common Stock · 8,871 shares Expires 2034-03-04 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 on the first, second and third anniversaries of the grant date. Read SEC document |
| March 04, 2024 Filed Mar 6, 2024 17:22 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 2,731 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-24-031369 · tm248078-6_4seq1.xml · nonDerivative · entry 1 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,244 Read SEC document |
| February 13, 2024 Filed Feb 15, 2024 11:03 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 605 | $313.40 | $189,607.00 |
DisclosureSEC source: 0001104659-24-024301 · tm245322-7_4seq1.xml · nonDerivative · entry 2 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,513 F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of performance-based stock units granted March 1, 2021. Read SEC document |
| February 13, 2024 Filed Feb 15, 2024 11:03 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 2,408 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-24-024301 · tm245322-7_4seq1.xml · nonDerivative · entry 1 Kaiser Jason · CIK 0002005183 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,118 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.