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 |
|---|---|---|---|---|---|---|
| February 13, 2018 Filed Feb 15, 2018 23:43 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 16,325 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-18-000050 · wf-form4_151873820217672.xml · nonDerivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,669 Read SEC document |
| May 01, 2017 Filed May 3, 2017 22:22 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 259 | $102.20 | $26,469.80 |
DisclosureSEC source: 0000018230-17-000147 · edgar.xml · nonDerivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,344 F1 · shares: Represents shares withheld from the reporting person solely to satisfy tax obligations arising from the vesting of restricted stock units granted on 5/01/12, of which one-third vested on 05/01/2017. F2 · balance_after: Adjusted to reflect inadvertent clerical error. Read SEC document |
| March 06, 2017 Filed Mar 8, 2017 23:10 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Option · Derivative | 214,370 | $0.00 Strike: $95.66 | $0.00 |
DisclosureSEC source: 0000018230-17-000080 · edgar.xml · derivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 214,370 Underlying: Common Stock · 214,370 shares Expires 2027-03-06 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 |
| November 14, 2016 Filed Nov 15, 2016 19:30 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionStock Appreciation Right · Derivative | 6,619 | $0.00 Strike: $22.17 | $0.00 |
DisclosureSEC source: 0000018230-16-000729 · edgar.xml · derivative · entry 9 Umpleby III Donald J · CIK 0001566320 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 6,619 shares Expires 2019-03-02 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. Read SEC document |
| November 14, 2016 Filed Nov 15, 2016 19:30 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionStock Appreciation Right · Derivative | 4,661 | $0.00 Strike: $73.20 | $0.00 |
DisclosureSEC source: 0000018230-16-000729 · edgar.xml · derivative · entry 8 Umpleby III Donald J · CIK 0001566320 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,661 shares Expires 2018-03-02 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. Read SEC document |
| November 14, 2016 Filed Nov 15, 2016 19:30 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 1,575 | $94.26 | $148,459.50 |
DisclosureSEC source: 0000018230-16-000729 · edgar.xml · nonDerivative · entry 6 Umpleby III Donald J · CIK 0001566320 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,522 Read SEC document |
| November 14, 2016 Filed Nov 15, 2016 19:30 UTC | CATERPILLAR INC CAT · Entity 2808 | Disposition to issuerCommon Stock | 1,556 | $94.26 | $146,668.56 |
DisclosureSEC source: 0000018230-16-000729 · edgar.xml · nonDerivative · entry 5 Umpleby III Donald J · CIK 0001566320 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,097 Read SEC document |
| November 14, 2016 Filed Nov 15, 2016 19:30 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 6,619 | $22.17 | $146,743.23 |
DisclosureSEC source: 0000018230-16-000729 · edgar.xml · nonDerivative · entry 4 Umpleby III Donald J · CIK 0001566320 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,653 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 14, 2016 Filed Nov 15, 2016 19:30 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 324 | $94.26 | $30,540.24 |
DisclosureSEC source: 0000018230-16-000729 · edgar.xml · nonDerivative · entry 3 Umpleby III Donald J · CIK 0001566320 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,034 Read SEC document |
| November 14, 2016 Filed Nov 15, 2016 19:30 UTC | CATERPILLAR INC CAT · Entity 2808 | Disposition to issuerCommon Stock | 3,619 | $94.26 | $341,126.94 |
DisclosureSEC source: 0000018230-16-000729 · edgar.xml · nonDerivative · entry 2 Umpleby III Donald J · CIK 0001566320 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,358 Read SEC document |
| November 14, 2016 Filed Nov 15, 2016 19:30 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 4,661 | $73.20 | $341,185.20 |
DisclosureSEC source: 0000018230-16-000729 · edgar.xml · nonDerivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,977 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 |
| May 01, 2016 Filed May 3, 2016 23:49 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 260 | $77.35 | $20,111.00 |
DisclosureSEC source: 0000018230-16-000524 · edgar.xml · nonDerivative · entry 4 Umpleby III Donald J · CIK 0001566320 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,316 F1 · shares: Represents shares withheld from the reporting person solely to satisfy tax obligations arising from the vesting of restricted stock units granted on 05/01/2012, of which one-third vested on 05/01/2016. Read SEC document |
| April 29, 2016 Filed May 3, 2016 23:49 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionStock Appreciation Right · Derivative | 2,141 | $0.00 Strike: $63.04 | $0.00 |
DisclosureSEC source: 0000018230-16-000524 · edgar.xml · derivative · entry 6 Umpleby III Donald J · CIK 0001566320 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,141 shares Expires 2017-03-02 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. Read SEC document |
| April 29, 2016 Filed May 3, 2016 23:49 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 129 | $78.16 | $10,082.64 |
DisclosureSEC source: 0000018230-16-000524 · edgar.xml · nonDerivative · entry 3 Umpleby III Donald J · CIK 0001566320 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,576 Read SEC document |
| April 29, 2016 Filed May 3, 2016 23:49 UTC | CATERPILLAR INC CAT · Entity 2808 | Disposition to issuerCommon Stock | 1,726 | $78.16 | $134,904.16 |
DisclosureSEC source: 0000018230-16-000524 · edgar.xml · nonDerivative · entry 2 Umpleby III Donald J · CIK 0001566320 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,705 Read SEC document |
| April 29, 2016 Filed May 3, 2016 23:49 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 2,141 | $63.04 | $134,968.64 |
DisclosureSEC source: 0000018230-16-000524 · edgar.xml · nonDerivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,431 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 18, 2016 Filed Mar 22, 2016 17:28 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionStock Appreciation Right · Derivative | 1,200 | $0.00 Strike: $63.04 | $0.00 |
DisclosureSEC source: 0000018230-16-000475 · edgar.xml · derivative · entry 5 Umpleby III Donald J · CIK 0001566320 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,141 Underlying: Common Stock · 1,200 shares Expires 2017-03-02 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. Read SEC document |
| March 18, 2016 Filed Mar 22, 2016 17:28 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 63 | $75.79 | $4,774.77 |
DisclosureSEC source: 0000018230-16-000475 · edgar.xml · nonDerivative · entry 3 Umpleby III Donald J · CIK 0001566320 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,290 F1 · balance_after: The number of shares in this column has been adjusted from the reporting person's previous Form 4 to account for dividend reinvestment. Read SEC document |
| March 18, 2016 Filed Mar 22, 2016 17:28 UTC | CATERPILLAR INC CAT · Entity 2808 | Disposition to issuerCommon Stock | 998 | $75.79 | $75,638.42 |
DisclosureSEC source: 0000018230-16-000475 · edgar.xml · nonDerivative · entry 2 Umpleby III Donald J · CIK 0001566320 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,353 Read SEC document |
| March 18, 2016 Filed Mar 22, 2016 17:28 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 1,200 | $63.04 | $75,648.00 |
DisclosureSEC source: 0000018230-16-000475 · edgar.xml · nonDerivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,351 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 07, 2016 Filed Mar 9, 2016 20:21 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Option · Derivative | 114,049 | $0.00 Strike: $74.77 | $0.00 |
DisclosureSEC source: 0000018230-16-000438 · edgar.xml · derivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 114,049 Underlying: Common Stock · 114,049 shares Expires 2026-03-07 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 beginning on the first anniversary of the grant date. Read SEC document |
| November 30, 2015 Filed Dec 2, 2015 22:15 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 5,431 | $72.65 | $394,562.15 |
DisclosureSEC source: 0000018230-15-000350 · edgar.xml · derivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 187,346 Underlying: Common Stock · 5,431 shares Expires not disclosed F1 · derivative.exercise_price: Each phatom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and the Caterpillar Inc. Deferred Employees' Investment Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F2 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and the Caterpillar Inc. Deferred Employees' Investment Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| November 11, 2015 Filed Nov 16, 2015 22:36 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 2,234 | $68.66 | $153,386.44 |
DisclosureSEC source: 0000018230-15-000337 · edgar.xml · derivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 181,915 Underlying: Common Stock · 2,234 shares Expires not disclosed F1 · derivative.exercise_price: Each phatom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F2 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| July 29, 2015 Filed Jul 31, 2015 18:52 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 7,060 | $77.33 | $545,949.80 |
DisclosureSEC source: 0000018230-15-000270 · edgar.xml · derivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 179,681 Underlying: Common Stock · 7,060 shares Expires not disclosed F1 · derivative.exercise_price: Each phatom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F2 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| May 01, 2015 Filed May 5, 2015 21:37 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 382 | $87.52 | $33,432.64 |
DisclosureSEC source: 0000018230-15-000171 · edgar.xml · nonDerivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,896 Read SEC document |
| March 02, 2015 Filed Mar 4, 2015 20:54 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Option · Derivative | 172,621 | $0.00 Strike: $83.00 | $0.00 |
DisclosureSEC source: 0000018230-15-000083 · edgar.xml · derivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 172,621 Underlying: Common Stock · 172,621 shares Expires 2025-03-02 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 |
| May 01, 2014 Filed May 2, 2014 17:49 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 8,400 | $0.00 Strike: $45.64 | $0.00 |
DisclosureSEC source: 0000018230-14-000175 · edgar.xml · derivative · entry 3 Umpleby III Donald J · CIK 0001566320 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 8,400 shares Expires 2015-02-18 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 |
| May 01, 2014 Filed May 2, 2014 17:49 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 5,881 | $105.43 | $620,051.47 |
DisclosureSEC source: 0000018230-14-000175 · edgar.xml · nonDerivative · entry 2 Umpleby III Donald J · CIK 0001566320 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,045 F1 · shares: Shares sold to cover cost of (i) exercise price of options and (ii) cost of tax liability. Read SEC document |
| May 01, 2014 Filed May 2, 2014 17:49 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 8,400 | $45.64 | $383,397.00 |
DisclosureSEC source: 0000018230-14-000175 · edgar.xml · nonDerivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,926 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 03, 2014 Filed Mar 5, 2014 19:39 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Option · Derivative | 85,606 | $0.00 Strike: $96.31 | $0.00 |
DisclosureSEC source: 0000018230-14-000094 · edgar.xml · derivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 85,606 Underlying: Common Stock · 85,606 shares Expires 2024-03-03 Read SEC document |
| January 30, 2014 Filed Feb 3, 2014 23:29 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 10,000 | $0.00 Strike: $38.63 | $0.00 |
DisclosureSEC source: 0000018230-14-000035 · edgar.xml · derivative · entry 3 Umpleby III Donald J · CIK 0001566320 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,000 shares Expires 2014-06-08 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 |
| January 30, 2014 Filed Feb 3, 2014 23:29 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 6,133 | $92.40 | $566,689.20 |
DisclosureSEC source: 0000018230-14-000035 · edgar.xml · nonDerivative · entry 2 Umpleby III Donald J · CIK 0001566320 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,526 F2 · shares: Shares sold to cover cost of (i) exercise price of options and (ii) cost of tax liability. F1 · balance_after: Includes adjustments for shares acquired under Caterpillar Inc.'s 401(k) plan. Read SEC document |
| January 30, 2014 Filed Feb 3, 2014 23:29 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 10,000 | $38.63 | $386,275.00 |
DisclosureSEC source: 0000018230-14-000035 · edgar.xml · nonDerivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,659 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 04, 2013 Filed Mar 5, 2013 22:15 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Option (right to buy) · Derivative | 79,976 | $0.00 Strike: $89.75 | $0.00 |
DisclosureSEC source: 0000018230-13-000106 · edgar.xml · derivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 79,976 Underlying: Common Stock · 79,976 shares Expires 2023-03-04 Read SEC document |
| March 04, 2013 Filed Mar 7, 2013 00:43 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 159 | $91.05 | $14,476.16 |
DisclosureSEC source: 0000018230-13-000145 · edgar.xml · nonDerivative · entry 2 Umpleby III Donald J · CIK 0001566320 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,649 Read SEC document |
| March 01, 2013 Filed Mar 7, 2013 00:43 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionRestricted Stock Units · Derivative | 490 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-13-000145 · edgar.xml · derivative · entry 3 Umpleby III Donald J · CIK 0001566320 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 490 shares Expires 2013-03-01 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. F1 · derivative.exercise_price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 1, 2013, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar Inc. common stock. F1 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 1, 2013, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar Inc. common stock. Read SEC document |
| March 01, 2013 Filed Mar 7, 2013 00:43 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 490 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-13-000145 · edgar.xml · nonDerivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,808 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 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 1, 2013, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar Inc. common stock. 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.