Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CATERPILLAR INCCAT · Entity 2808 | Executive Chairman | March 04, 2026 | March 06, 2026 |
| CHEVRON CORPCVX · Entity 2804 | Director | May 27, 2026 | May 29, 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 March 04, 2026 · Filed March 06, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 464,199 |
Reported balance
After 2026-03-04 transaction · row 1
1 source rowRow 1 · 2026-03-04 · Tax withholding · Disposed 1,546 · Balance 464,199 F1: Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of restricted stock units granted on March 4, 2024. |
| Common StockSEC Table I · non-derivative | IndirectHeld by Irrevocable Trust for Descendants | 59,000 |
Reported balance
Holding disclosure · report date 2026-03-04 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 59,000 |
| Common StockSEC Table I · non-derivative | IndirectHeld by Children's Irrevocable Trust | 36,040 |
Reported balance
Holding disclosure · report date 2026-03-04 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 36,040 |
| Common StockSEC Table I · non-derivative | IndirectHeld by 401(k) Plan | 1,029 |
Reported balance
Holding disclosure · report date 2026-03-04 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 1,029 F2: The information in this report is based on a 401(k) plan statement as of February 28, 2026. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of restricted stock units granted on March 4, 2024.
F2: The information in this report is based on a 401(k) plan statement as of February 28, 2026.
CHEVRON CORP
Report date May 27, 2026 · Filed May 29, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 3,031 |
Reported balance
After 2026-05-27 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2026-05-27 · Grant · Acquired 1,272 · Balance 3,031 F1: This number represents stock units issued under the Chevron Corporation Non-Employee Directors' Equity Compensation and Deferral Plan. F2: This number includes the acquisition of dividend equivalent accruals on stock units (55) issued under the Chevron Corporation Non-Employee Directors' Equity Compensation and Deferral Plan. |
| Common StockSEC Table I · non-derivative | IndirectBy Spouse Irrevocable Trust | 3 |
Reported balance
Holding disclosure · report date 2026-05-27 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 3 |
| Common StockSEC Table I · non-derivative | Indirectby Spouse Revocable Trust | 55 |
Reported balance
Holding disclosure · report date 2026-05-27 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 55 |
| Common StockSEC Table I · non-derivative | Indirectby Umpleby Revocable Trust | 13,714 |
Reported balance
Holding disclosure · report date 2026-05-27 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 13,714 |
Filing footnotes · ownership attribution and instrument terms
F1: This number represents stock units issued under the Chevron Corporation Non-Employee Directors' Equity Compensation and Deferral Plan.
F2: This number includes the acquisition of dividend equivalent accruals on stock units (55) issued under the Chevron Corporation Non-Employee Directors' Equity Compensation and Deferral 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 |
|---|---|---|---|---|---|---|
| March 07, 2022 Filed Mar 8, 2022 23:24 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Options · Derivative | 130,579 | $0.00 Strike: $196.70 | $0.00 |
DisclosureSEC source: 0000018230-22-000074 · wf-form4_164678184094203.xml · derivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 130,579 Underlying: Common Stock · 130,579 shares Expires 2032-03-07 F1 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| February 08, 2022 Filed Feb 10, 2022 21:27 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 17,984 | $200.77 | $3,610,647.68 |
DisclosureSEC source: 0001104659-22-019407 · tm226127-1_4seq1.xml · nonDerivative · entry 2 Umpleby III Donald J · CIK 0001566320 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 156,275 F3 · shares: Represents shares withheld from the reporting person to satisfy tax obligations arising from the vesting of performance - based restricted stock units granted on March 4, 2019. Read SEC document |
| December 01, 2021 Filed Feb 10, 2022 21:27 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon Stock | 1,520 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-22-019407 · tm226127-1_4seq1.xml · nonDerivative · entry 3 Umpleby III Donald J · CIK 0001566320 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Grantor Retained Annuity Disclosed balance after: 0 F4 · shares: Gift of shares to an irrevocable trust of which a member of the reporting person's immediate family serves as trustee end of which the reporting person's decendants are beneficiaries. Read SEC document |
| July 06, 2021 Filed Feb 10, 2022 21:27 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 42,281 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-22-019407 · tm226127-1_4seq1.xml · nonDerivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 174,259 F1 · balance_after: Represents 33,000 shares transferred on July 6, 2021 and 24,000 shares transferred on August 3, 2021 to Grantor Retained Annuity Trusts. F2 · balance_after: Represents 6,411 shares received on August 10, 2021 and 2,875 shares received on December 1, 2021 from Grantor Retained Annuity Trusts. Read SEC document |
| May 26, 2021 Filed May 28, 2021 20:58 UTC | CHEVRON CORP CVX · Entity 2804 | GrantCommon Stock | 2,166 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-018342 · form4.xml · nonDerivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,101 F1 · shares: This number represents stock units issued under the Chevron Corporation Non-Employee Directors' Equity Compensation and Deferral Plan. F2 · balance_after: This number includes the acquisition of dividend equivalent accruals on stock units (29) issued under the Chevron Corporation Non-Employee Directors' Equity Compensation and Deferral Plan. Read SEC document |
| May 07, 2021 Filed May 11, 2021 21:06 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon Stock | 4,495 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-21-000160 · wf-form4_162076718562191.xml · nonDerivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 179,692 F1 · shares: Represents a donation of ordinary shares to The Ayco Charitable Foundation, a Donor Advised Fund. F2 · balance_after: Reflects transfer of 5,890 shares on May 7, 2021. This transfer was exempt form reporting pursuant to Rule 16a-13 under the Act. Read SEC document |
| March 01, 2021 Filed Mar 3, 2021 02:01 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Options · Derivative | 155,411 | $0.00 Strike: $219.76 | $0.00 |
DisclosureSEC source: 0000018230-21-000091 · wf-form4_161473684836929.xml · derivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 155,411 Underlying: Common Stock · 155,411 shares Expires 2031-03-01 F1 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| February 09, 2021 Filed Feb 11, 2021 20:44 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 19,766 | $196.78 | $3,889,553.48 |
DisclosureSEC source: 0000018230-21-000058 · wf-form4_161307626917642.xml · nonDerivative · entry 3 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 178,297 F3 · shares: Represents shares withheld from the reporting person to satisfy tax obligations arising from the vesting of performance-based restricted stock units granted on March 5, 2018. Read SEC document |
| February 09, 2021 Filed Feb 11, 2021 20:44 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 46,337 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-21-000058 · wf-form4_161307626917642.xml · nonDerivative · entry 2 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 198,063 Read SEC document |
| December 30, 2020 Filed Feb 11, 2021 20:44 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon Stock | 59,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-21-000058 · wf-form4_161307626917642.xml · nonDerivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 151,726 F1 · kind: Gift of shares to an irrevocable trust of which a member of the reporting person's immediate family serves as trustee and of which the reporting person's descendants are beneficiaries. F2 · balance_after: Reflects transfer of 2,500 shares on December 7, 2020. This transfer was exempt from reporting pursuant to Rule 16a-13 under the Act. Read SEC document |
| November 24, 2020 Filed Nov 25, 2020 22:42 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 214,370 | $0.00 Strike: $95.66 | $0.00 |
DisclosureSEC source: 0000018230-20-000315 · wf-form4_160634415166156.xml · derivative · entry 7 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 214,370 shares Expires 2027-03-06 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 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 6, 2017 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| November 24, 2020 Filed Nov 25, 2020 22:42 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 159,572 | $176.80 | $28,212,329.60 |
DisclosureSEC source: 0000018230-20-000315 · wf-form4_160634415166156.xml · nonDerivative · entry 2 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 208,226 Read SEC document |
| November 24, 2020 Filed Nov 25, 2020 22:42 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 214,370 | $95.66 | $20,506,634.20 |
DisclosureSEC source: 0000018230-20-000315 · wf-form4_160634415166156.xml · nonDerivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 367,798 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 03, 2020 Filed Nov 5, 2020 15:19 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 114,049 | $0.00 Strike: $74.77 | $0.00 |
DisclosureSEC source: 0000018230-20-000301 · wf-form4_160458954998133.xml · derivative · entry 13 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 114,049 shares Expires 2026-03-07 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, 2016 and vest equally in 1/3 increments on the first, second and third anniversary of the grant date. Read SEC document |
| November 03, 2020 Filed Nov 5, 2020 15:19 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 172,621 | $0.00 Strike: $83.00 | $0.00 |
DisclosureSEC source: 0000018230-20-000301 · wf-form4_160458954998133.xml · derivative · entry 12 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 172,621 shares Expires 2025-03-02 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 2, 2015 and vest equally in 1/3 increments on the first, second and third anniversary of the grant date. Read SEC document |
| November 03, 2020 Filed Nov 5, 2020 15:19 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 85,606 | $0.00 Strike: $96.31 | $0.00 |
DisclosureSEC source: 0000018230-20-000301 · wf-form4_160458954998133.xml · derivative · entry 11 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 85,606 shares Expires 2024-03-03 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 03, 2020 Filed Nov 5, 2020 15:19 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 78,992 | $166.84 | $13,179,025.28 |
DisclosureSEC source: 0000018230-20-000301 · wf-form4_160458954998133.xml · nonDerivative · entry 6 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 153,428 Read SEC document |
| November 03, 2020 Filed Nov 5, 2020 15:19 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 114,049 | $74.77 | $8,527,443.73 |
DisclosureSEC source: 0000018230-20-000301 · wf-form4_160458954998133.xml · nonDerivative · entry 5 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 232,420 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 03, 2020 Filed Nov 5, 2020 15:19 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 124,329 | $166.75 | $20,731,860.75 |
DisclosureSEC source: 0000018230-20-000301 · wf-form4_160458954998133.xml · nonDerivative · entry 4 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 118,371 Read SEC document |
| November 03, 2020 Filed Nov 5, 2020 15:19 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 172,621 | $83.00 | $14,327,543.00 |
DisclosureSEC source: 0000018230-20-000301 · wf-form4_160458954998133.xml · nonDerivative · entry 3 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 242,700 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 03, 2020 Filed Nov 5, 2020 15:19 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 65,528 | $166.36 | $10,901,238.08 |
DisclosureSEC source: 0000018230-20-000301 · wf-form4_160458954998133.xml · nonDerivative · entry 2 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,079 Read SEC document |
| November 03, 2020 Filed Nov 5, 2020 15:19 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 85,606 | $96.31 | $8,244,713.86 |
DisclosureSEC source: 0000018230-20-000301 · wf-form4_160458954998133.xml · nonDerivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 135,607 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 |
| October 05, 2020 Filed Feb 9, 2021 21:41 UTC | CHEVRON CORP CVX · Entity 2804 | GrantCommon Stock | 8 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-004717 · form5.xml · nonDerivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · by Spouse Trust Disclosed balance after: 49 F1 · kind: This Form 5 reports securities acquired upon the effectiveness of the acquisition of Noble Energy, Inc. ("Noble Energy") by Chevron Corporation ("Chevron") on October 5, 2020, pursuant to the Agreement and Plan of Merger, dated as of July 20, 2020, by and among Chevron, Chelsea Merger Sub, Inc., a direct, wholly-owned subsidiary of Chevron, and Noble Energy (the "Merger Agreement"). At the effective time, each outstanding share of Noble Energy common stock was converted into the right to receive 0.1191 of a share of Chevron common stock. F1 · price: This Form 5 reports securities acquired upon the effectiveness of the acquisition of Noble Energy, Inc. ("Noble Energy") by Chevron Corporation ("Chevron") on October 5, 2020, pursuant to the Agreement and Plan of Merger, dated as of July 20, 2020, by and among Chevron, Chelsea Merger Sub, Inc., a direct, wholly-owned subsidiary of Chevron, and Noble Energy (the "Merger Agreement"). At the effective time, each outstanding share of Noble Energy common stock was converted into the right to receive 0.1191 of a share of Chevron common stock. Read SEC document |
| September 02, 2020 Filed Sep 3, 2020 22:41 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 79,976 | $0.00 Strike: $89.75 | $0.00 |
DisclosureSEC source: 0000018230-20-000233 · wf-form4_159917283873003.xml · derivative · entry 10 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 79,976 shares Expires 2023-03-04 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| September 02, 2020 Filed Sep 3, 2020 22:41 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 21,416 | $0.00 Strike: $110.09 | $0.00 |
DisclosureSEC source: 0000018230-20-000233 · wf-form4_159917283873003.xml · derivative · entry 9 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 21,416 shares Expires 2022-03-05 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| September 02, 2020 Filed Sep 3, 2020 22:41 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 62,310 | $148.73 | $9,267,366.30 |
DisclosureSEC source: 0000018230-20-000233 · wf-form4_159917283873003.xml · nonDerivative · entry 4 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,001 Read SEC document |
| September 02, 2020 Filed Sep 3, 2020 22:41 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 79,976 | $89.75 | $7,177,846.00 |
DisclosureSEC source: 0000018230-20-000233 · wf-form4_159917283873003.xml · nonDerivative · entry 3 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 112,311 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 |
| September 02, 2020 Filed Sep 3, 2020 22:41 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 18,323 | $148.62 | $2,723,164.26 |
DisclosureSEC source: 0000018230-20-000233 · wf-form4_159917283873003.xml · nonDerivative · entry 2 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,335 Read SEC document |
| September 02, 2020 Filed Sep 3, 2020 22:41 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 21,416 | $110.09 | $2,357,687.44 |
DisclosureSEC source: 0000018230-20-000233 · wf-form4_159917283873003.xml · nonDerivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,658 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: Reflects the transfer of 27,650 shares on May 7, 2020 and 22,200 shares on August 7, 2020 to grantor retained annuity trusts. These transfers were exempt from reporting pursuant to Rule 16a-13 under the Securities and Exchange Act of 1934, as amended. Read SEC document |
| May 27, 2020 Filed May 29, 2020 21:26 UTC | CHEVRON CORP CVX · Entity 2804 | GrantCommon Stock | 2,411 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-018174 · form4.xml · nonDerivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,806 F1 · shares: This number represents stock units issued under the Chevron Corporation Non-Employee Directors' Equity Compensation and Deferral Plan. F2 · balance_after: This number includes the acquisition of dividend equivalent accruals on stock units (86) issued under the Chevron Corporation Non-Employee Directors' Equity Compensation and Deferral Plan. Read SEC document |
| March 02, 2020 Filed Mar 3, 2020 23:36 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Options · Derivative | 227,103 | $0.00 Strike: $127.60 | $0.00 |
DisclosureSEC source: 0000018230-20-000103 · wf-form4_158327859982165.xml · derivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 227,103 Underlying: Common Stock · 227,103 shares Expires 2030-03-02 F1 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan and vest equally in 1/3 increments beginning on the first anniversary of the grant date. Read SEC document |
| February 11, 2020 Filed Feb 13, 2020 19:00 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 15,684 | $136.15 | $2,135,376.60 |
DisclosureSEC source: 0000018230-20-000038 · wf-form4_158162041050590.xml · nonDerivative · entry 2 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 79,092 F2 · shares: Represents shares withheld from the reporting person to satisfy tax obligations arising from the vesting of performance-based restricted stock units granted on March 6, 2017. Read SEC document |
| February 11, 2020 Filed Feb 13, 2020 19:00 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 37,895 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-20-000038 · wf-form4_158162041050590.xml · nonDerivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,776 F1 · balance_after: Reflects the transfer of 6,895 shares to a grantor retained annuity trust on November 29, 2019. This transfer was exempt from reporting pursuant to Rule 16a-13 under the Securities Exchange Act of 1934, as amended. Read SEC document |
| November 04, 2019 Filed Nov 6, 2019 19:15 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionStock Appreciation Rights · Derivative | 22,696 | $0.00 Strike: $102.13 | $0.00 |
DisclosureSEC source: 0000018230-19-000289 · wf-form4_157306770712663.xml · derivative · entry 5 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 22,696 shares Expires 2021-03-07 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 · security: Reported as "Employee Stock Option" on Form 3 filed on January 11, 2013. Read SEC document |
| November 04, 2019 Filed Nov 6, 2019 19:15 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 3,021 | $146.01 | $441,096.21 |
DisclosureSEC source: 0000018230-19-000289 · wf-form4_157306770712663.xml · nonDerivative · entry 3 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,776 Read SEC document |
| November 04, 2019 Filed Nov 6, 2019 19:15 UTC | CATERPILLAR INC CAT · Entity 2808 | Disposition to issuerCommon Stock | 15,875 | $146.01 | $2,317,908.75 |
DisclosureSEC source: 0000018230-19-000289 · wf-form4_157306770712663.xml · nonDerivative · entry 2 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,797 Read SEC document |
| November 04, 2019 Filed Nov 6, 2019 19:15 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 22,696 | $102.13 | $2,317,942.48 |
DisclosureSEC source: 0000018230-19-000289 · wf-form4_157306770712663.xml · nonDerivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,672 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: Adjusted to correct inadvertent clerical error. Read SEC document |
| October 28, 2019 Filed Oct 30, 2019 17:35 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionStock Appreciation Rights · Derivative | 6,781 | $0.00 Strike: $57.85 | $0.00 |
DisclosureSEC source: 0000018230-19-000279 · wf-form4_157245689099618.xml · derivative · entry 5 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 6,781 shares Expires 2020-03-01 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. F2 · security: Reported as "Employee Stock Option" on the Form 3 filed on January 11, 2013. Read SEC document |
| October 28, 2019 Filed Oct 30, 2019 17:35 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 1,764 | $140.25 | $247,401.00 |
DisclosureSEC source: 0000018230-19-000279 · wf-form4_157245689099618.xml · nonDerivative · entry 3 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,810 Read SEC document |
| October 28, 2019 Filed Oct 30, 2019 17:35 UTC | CATERPILLAR INC CAT · Entity 2808 | Disposition to issuerCommon Stock | 2,797 | $140.25 | $392,279.25 |
DisclosureSEC source: 0000018230-19-000279 · wf-form4_157245689099618.xml · nonDerivative · entry 2 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,574 Read SEC document |
| October 28, 2019 Filed Oct 30, 2019 17:35 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 6,781 | $57.85 | $392,280.85 |
DisclosureSEC source: 0000018230-19-000279 · wf-form4_157245689099618.xml · nonDerivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,371 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 |
| August 28, 2019 Filed Aug 30, 2019 20:45 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherPhantom Stock Units · Derivative | 9,413 | $114.86 | $1,081,177.18 |
DisclosureSEC source: 0000018230-19-000236 · wf-form4_156719790574298.xml · derivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,683 Underlying: Common Stock · 9,413 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the Caterpillar Inc. Supplemental Deferred Compensation Plan as reported is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · derivative.exercise_date: The phantom stock units are settled 100% in cash upon the reporting person's retirement or separation from service. F2 · derivative.expiration_date: The phantom stock units are settled 100% in cash upon the reporting person's retirement or separation from service. F3 · balance_after: Includes adjustments for dividends accrued. Also adjusted to correct total holdings after the transactions reported on Forms 4 filed on July 31, 2015, November 16, 2015 and December 2, 2015. Read SEC document |
| May 29, 2019 Filed May 31, 2019 21:38 UTC | CHEVRON CORP CVX · Entity 2804 | GrantCommon Stock | 1,901 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-020351 · form4.xml · nonDerivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,309 F1 · shares: This number represents stock units issued under the Chevron Corporation Non-Employee Directors' Equity Compensation and Deferral Plan. F2 · balance_after: This number includes the acquisition of dividend equivalent accruals on stock units (58) issued under the Chevron Corporation Non-Employee Directors' Equity Compensation and Deferral Plan. Read SEC document |
| March 04, 2019 Filed Mar 5, 2019 23:08 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Option · Derivative | 163,615 | $0.00 Strike: $138.35 | $0.00 |
DisclosureSEC source: 0000018230-19-000082 · wf-form4_155182730243110.xml · derivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 163,615 Underlying: Common Stock · 163,615 shares Expires 2029-03-04 F1 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan and vest equally in 1/3 increments beginning on the first anniversary of the grant date. Read SEC document |
| February 12, 2019 Filed Feb 14, 2019 22:32 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 6,848 | $131.78 | $902,429.44 |
DisclosureSEC source: 0000018230-19-000048 · wf-form4_155018352503660.xml · nonDerivative · entry 2 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,590 F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligations arising from the vesting of performance-based restricted stock units granted on March 7, 2016. Read SEC document |
| February 12, 2019 Filed Feb 14, 2019 22:32 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 18,029 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-19-000048 · wf-form4_155018352503660.xml · nonDerivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,438 Read SEC document |
| May 30, 2018 Filed Jun 1, 2018 21:02 UTC | CHEVRON CORP CVX · Entity 2804 | GrantCommon Stock | 1,853 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-019548 · form4.xml · nonDerivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,350 F1 · shares: This number represents stock units issued under the Chevron Corporation Non-Employee Directors' Equity Compensation and Deferral Plan. Read SEC document |
| March 05, 2018 Filed Mar 8, 2018 00:06 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Option · Derivative | 182,944 | $0.00 Strike: $151.12 | $0.00 |
DisclosureSEC source: 0000018230-18-000097 · wf-form4_152046758906762.xml · derivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 182,944 Underlying: Common Stock · 182,944 shares Expires 2028-03-05 F1 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan and vest equally in 1/3 increments beginning on the first anniversary of the grant date. Read SEC document |
| March 01, 2018 Filed Mar 2, 2018 21:42 UTC | CHEVRON CORP CVX · Entity 2804 | GrantCommon Stock | 496 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-009703 · form4.xml · nonDerivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 496 F1 · shares: This number represents stock units issued under the Chevron Corporation Non-Employee Directors' Equity Compensation and Deferral Plan. Read SEC document |
| February 13, 2018 Filed Feb 15, 2018 23:43 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 6,260 | $153.10 | $958,406.00 |
DisclosureSEC source: 0000018230-18-000050 · wf-form4_151873820217672.xml · nonDerivative · entry 2 Umpleby III Donald J · CIK 0001566320 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,409 F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligations arising from the vesting of performance-based restricted stock units granted on February 27, 2015. 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.