Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CATERPILLAR INCCAT · Entity 2808 | Director | September 30, 2026 | October 02, 2026 |
| ECOLAB INC.ECL · Entity 2954 | Director | September 30, 2026 | October 03, 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 30, 2026 · Filed October 02, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Phantom Stock UnitsSEC Table II · derivative / convertible security | Direct | 505 |
Reported balance
After 2026-09-30 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-09-30 · Grant · Acquired 28 · Balance 505 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: Phantom stock units awarded or acquired in lieu of director cash compensation. F3: The phantom stock units were acquired under the Caterpillar Inc. Directors' Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4: Includes adjustments for dividends accrued. |
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: Phantom stock units awarded or acquired in lieu of director cash compensation.
F3: The phantom stock units were acquired under the Caterpillar Inc. Directors' Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service.
F4: Includes adjustments for dividends accrued.
ECOLAB INC.
Report date September 30, 2026 · Filed October 03, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 25,578.85 |
Reported balance
After 2026-09-30 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2026-09-30 · Grant · Acquired 131.17 · Balance 25,578.85 F1: Includes 21.01 shares acquired pursuant to a dividend reinvestment feature of the Ecolab Inc. 2001 Non-Employee Director Stock Option and Deferred Compensation Plan. |
| Common StockSEC Table I · non-derivative | Direct | 25,625.21 |
Reported balance
After 2026-09-30 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2026-09-30 · Grant · Acquired 46.36 · Balance 25,625.21 |
| Common StockSEC Table I · non-derivative | IndirectBy Kathleen F. MacLennan Revocable Trust u/a dated 11/07/2002 | 3,500 |
Reported balance
Holding disclosure · report date 2026-09-30 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 3,500 |
| Common StockSEC Table I · non-derivative | IndirectBy sibling's trusts | 709 |
Reported balance
Holding disclosure · report date 2026-09-30 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 709 |
Filing footnotes · ownership attribution and instrument terms
F1: Includes 21.01 shares acquired pursuant to a dividend reinvestment feature of the Ecolab Inc. 2001 Non-Employee Director Stock Option and Deferred Compensation Plan.
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 |
|---|---|---|---|---|---|---|
| June 30, 2019 Filed Jul 2, 2019 21:07 UTC | ECOLAB INC. ECL · Entity 2954 | GrantCommon Stock | 147.58 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-19-008410 · edgar.xml · nonDerivative · entry 1 MacLennan David · CIK 0001498535 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,843.81 F1 · balance_after: Includes 6.31 shares acquired pursuant to a dividend reinvestment feature of the Ecolab Inc. 2001 Non-Employee Director Stock Option and Deferred Compensation Plan. Read SEC document |
| May 02, 2019 Filed May 3, 2019 21:14 UTC | ECOLAB INC. ECL · Entity 2954 | GrantNon-Employee Director Stock Option (Right to Buy) · Derivative | 1,281 | $0.00 Strike: $182.98 | $0.00 |
DisclosureSEC source: 0001179110-19-005564 · edgar.xml · derivative · entry 5 MacLennan David · CIK 0001498535 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,281 Underlying: Common Stock · 1,281 shares Expires 2029-05-02 F1 · derivative.exercise_date: The option will become exercisable, on a cumulative basis, as to 25% of the option shares (excluding any fractional portion less than one share), on the last day of each of the first, second and third three-month periods following its date of grant and as to the remaining shares on the last day of the fourth three-month period following its date of grant; provided, however, that if a Change in Control of the Company (as that term is defined in the Ecolab Inc. 2001 Non-Employee Director Stock Option and Deferred Compensation Plan) will occur, then the option will become immediately exercisable in full. Read SEC document |
| March 31, 2019 Filed Apr 2, 2019 21:53 UTC | ECOLAB INC. ECL · Entity 2954 | GrantCommon Stock | 163.33 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-19-004576 · edgar.xml · nonDerivative · entry 1 MacLennan David · CIK 0001498535 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,689.92 F1 · balance_after: Includes 7.17 shares acquired pursuant to a dividend reinvestment feature of the Ecolab Inc. 2001 Non-Employee Director Stock Option and Deferred Compensation Plan. Read SEC document |
| March 06, 2019 Filed Mar 8, 2019 23:18 UTC | ECOLAB INC. ECL · Entity 2954 | PurchaseCommon Stock | 1,000 | $171.05 | $171,050.00 |
DisclosureSEC source: 0001179110-19-003634 · edgar.xml · nonDerivative · entry 1 MacLennan David · CIK 0001498535 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Kathleen MacLennan Revocable Trust u/a dated 11/07/2002 Disclosed balance after: 3,500 Read SEC document |
| December 31, 2018 Filed Jan 3, 2019 22:27 UTC | ECOLAB INC. ECL · Entity 2954 | GrantCommon Stock | 196.88 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-19-000298 · edgar.xml · nonDerivative · entry 1 MacLennan David · CIK 0001498535 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,519.42 F1 · balance_after: Includes 5.96 shares acquired under a dividend reinvestment feature of the Ecolab Inc. 2001 Non-Employee Director Stock Option and Deferred Compensation Plan. Read SEC document |
| September 30, 2018 Filed Oct 2, 2018 21:05 UTC | ECOLAB INC. ECL · Entity 2954 | GrantCommon Stock | 183.54 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-18-011930 · edgar.xml · nonDerivative · entry 1 MacLennan David · CIK 0001498535 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,316.58 F1 · balance_after: Includes 5.52 shares acquired under a dividend reinvestment feature of the Ecolab Inc. 2001 Non-Employee Director Stock Option and Deferred Compensation Plan. Read SEC document |
| August 02, 2018 Filed Aug 3, 2018 21:11 UTC | ECOLAB INC. ECL · Entity 2954 | PurchaseCommon Stock | 500 | $146.40 | $73,197.50 |
DisclosureSEC source: 0001179110-18-010266 · edgar.xml · nonDerivative · entry 1 MacLennan David · CIK 0001498535 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Kathleen F. MacLennan Revocable Trust u/a dated 11/07/2002 Disclosed balance after: 2,500 Read SEC document |
| June 30, 2018 Filed Jul 3, 2018 21:19 UTC | ECOLAB INC. ECL · Entity 2954 | GrantCommon Stock | 203.94 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-18-009379 · edgar.xml · nonDerivative · entry 1 MacLennan David · CIK 0001498535 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,127.52 F1 · balance_after: Includes 4.86 shares acquired under a dividend reinvestment feature of the Ecolab Inc. 2001 Non-Employee Director Stock Option and Deferred Compensation Plan. Read SEC document |
| May 03, 2018 Filed May 4, 2018 21:08 UTC | ECOLAB INC. ECL · Entity 2954 | GrantNon-Employee Director Stock Option (Right to Buy) · Derivative | 1,800 | $0.00 Strike: $144.02 | $0.00 |
DisclosureSEC source: 0001179110-18-006323 · edgar.xml · derivative · entry 5 MacLennan David · CIK 0001498535 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,800 Underlying: Common Stock · 1,800 shares Expires 2028-05-03 F1 · derivative.exercise_date: The option will become exercisable, on a cumulative basis, as to 25% of the option shares (excluding any fractional portion less than one share), on the last day of each of the first, second and third three-month periods following its date of grant and as to the remaining shares on the last day of the fourth three-month period following its date of grant; provided, however, that if a Change in Control of the Company (as that term is defined in the Ecolab Inc. 2001 Non-Employee Director Stock Option and Deferred Compensation Plan) will occur, then the option will become immediately exercisable in full. Read SEC document |
| March 31, 2018 Filed Apr 3, 2018 20:59 UTC | ECOLAB INC. ECL · Entity 2954 | GrantCommon Stock | 210.72 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-18-005252 · edgar.xml · nonDerivative · entry 1 MacLennan David · CIK 0001498535 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,918.72 F1 · balance_after: Includes 4.52 shares acquired under a dividend reinvestment feature of the Ecolab Inc. 2001 Non-Employee Director Stock Option and Deferred Compensation Plan. Read SEC document |
| December 31, 2017 Filed Jan 3, 2018 21:54 UTC | ECOLAB INC. ECL · Entity 2954 | GrantCommon Stock | 185.4 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-18-000318 · edgar.xml · nonDerivative · entry 1 MacLennan David · CIK 0001498535 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,703.48 F1 · balance_after: Includes 3.63 shares acquired under a dividend reinvestment feature of the Ecolab Inc. 2001 Non-Employee Director Stock Option and Deferred Compensation Plan. Read SEC document |
| November 06, 2017 Filed Nov 8, 2017 23:00 UTC | ECOLAB INC. ECL · Entity 2954 | PurchaseCommon Stock | 450 | $131.77 | $59,298.30 |
DisclosureSEC source: 0001179110-17-013897 · edgar.xml · nonDerivative · entry 1 MacLennan David · CIK 0001498535 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Kathleen McLennan Revocable Trust u/a dated 11/07/2002 Disclosed balance after: 2,000 F1 · price: This transaction was executed in multiple trades at prices ranging from $131.765 to $131.793 The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| September 30, 2017 Filed Oct 3, 2017 21:04 UTC | ECOLAB INC. ECL · Entity 2954 | GrantCommon Stock | 193.66 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-17-012993 · edgar.xml · nonDerivative · entry 1 MacLennan David · CIK 0001498535 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,514.45 F1 · balance_after: Includes 3.16 shares acquired under a dividend reinvestment feature of the Ecolab Inc. 2001 Non-Employee Director Stock Option and Deferred Compensation Plan. Read SEC document |
| June 30, 2017 Filed Jul 5, 2017 22:21 UTC | ECOLAB INC. ECL · Entity 2954 | GrantCommon Stock | 188.65 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-17-010062 · edgar.xml · nonDerivative · entry 3 MacLennan David · CIK 0001498535 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,317.63 F2 · balance_after: Includes 2.74 shares acquired under a dividend reinvestment feature of the Ecolab Inc. 2001 Non-Employee Director Stock Option and Deferred Compensation Plan. Read SEC document |
| June 27, 2017 Filed Jul 5, 2017 22:21 UTC | ECOLAB INC. ECL · Entity 2954 | GiftCommon Stock | 750 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-17-010062 · edgar.xml · nonDerivative · entry 2 MacLennan David · CIK 0001498535 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Kathleen MacLennan Trust u/a dated 11/02/2002 Disclosed balance after: 1,550 F1 · shares: On June 27, 2017, 750 shares of Ecolab common stock that were previously reported as being held by the David W. MacLennan 2015 GRAT were distributed by the GRAT to the reporting person in the form of an annuity payment and were then gifted on June 27, 2017 by the reporting person to the Kathleen MacLennan Revocable Trust u/a dated 11/07/2002. Read SEC document |
| June 27, 2017 Filed Jul 5, 2017 22:21 UTC | ECOLAB INC. ECL · Entity 2954 | GiftCommon Stock | 750 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-17-010062 · edgar.xml · nonDerivative · entry 1 MacLennan David · CIK 0001498535 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,126.24 F1 · shares: On June 27, 2017, 750 shares of Ecolab common stock that were previously reported as being held by the David W. MacLennan 2015 GRAT were distributed by the GRAT to the reporting person in the form of an annuity payment and were then gifted on June 27, 2017 by the reporting person to the Kathleen MacLennan Revocable Trust u/a dated 11/07/2002. F1 · balance_after: On June 27, 2017, 750 shares of Ecolab common stock that were previously reported as being held by the David W. MacLennan 2015 GRAT were distributed by the GRAT to the reporting person in the form of an annuity payment and were then gifted on June 27, 2017 by the reporting person to the Kathleen MacLennan Revocable Trust u/a dated 11/07/2002. Read SEC document |
| May 04, 2017 Filed May 5, 2017 20:55 UTC | ECOLAB INC. ECL · Entity 2954 | GrantNon-Employee Director Stock Option (Right to Buy) · Derivative | 2,000 | $0.00 Strike: $125.67 | $0.00 |
DisclosureSEC source: 0001179110-17-006697 · edgar.xml · derivative · entry 6 MacLennan David · CIK 0001498535 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,000 Underlying: Common Stock · 2,000 shares Expires 2027-05-04 F1 · derivative.exercise_date: The option will become exercisable, on a cumulative basis, as to 25% of the option shares (excluding any fractional portion less than one share), on the last day of each of the first, second and third three-month periods following its date of grant and as to the remaining shares on the last day of the fourth three-month period following its date of grant; provided, however, that if a Change in Control of the Company (as that term is defined in the Ecolab Inc. 2001 Non-Employee Director Stock Option and Deferred Compensation Plan) will occur, then the option will become immediately exercisable in full. Read SEC document |
| March 31, 2017 Filed Apr 4, 2017 22:03 UTC | ECOLAB INC. ECL · Entity 2954 | GrantCommon Stock | 199.49 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-17-005646 · edgar.xml · nonDerivative · entry 1 MacLennan David · CIK 0001498535 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,126.24 F1 · balance_after: Includes 2.23 shares acquired under a dividend reinvestment feature of the Ecolab Inc. 2001 Non-Employee Director Stock Option and Deferred Compensation Plan. Read SEC document |
| February 24, 2017 Filed Feb 28, 2017 22:22 UTC | ECOLAB INC. ECL · Entity 2954 | PurchaseCommon Stock | 800 | $124.94 | $99,952.00 |
DisclosureSEC source: 0001179110-17-003399 · edgar.xml · nonDerivative · entry 1 MacLennan David · CIK 0001498535 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Kathleen MacLennan Revocable Trust u/a, dated 11/02/2002 Disclosed balance after: 800 F1 · price: This transaction was executed in multiple trades at prices ranging from $124.939 to $1.24.94 The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| December 31, 2016 Filed Jan 4, 2017 21:29 UTC | ECOLAB INC. ECL · Entity 2954 | GrantCommon Stock | 212.59 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-17-000215 · edgar.xml · nonDerivative · entry 1 MacLennan David · CIK 0001498535 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 924.52 F1 · balance_after: Includes 1.52 shares acquired under a dividend reinvestment feature of the Ecolab Inc. 2001 Non-Employee Director Stock Option and Deferred Compensation Plan. Read SEC document |
| September 30, 2016 Filed Oct 4, 2016 20:45 UTC | ECOLAB INC. ECL · Entity 2954 | GrantCommon Stock | 205.96 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-16-030296 · edgar.xml · nonDerivative · entry 1 MacLennan David · CIK 0001498535 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 710.41 F1 · balance_after: Includes 0.84 shares acquired pursuant to a dividend reinvestment feature of the Ecolab Inc. 2001 Non-Employee Director Stock Option and Deferred Compensation Plan. 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.