Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CATERPILLAR INCCAT · Entity 2808 | Group President | May 14, 2026 | May 15, 2026 |
| MOSAIC COMOS · Entity 3647 | Director | May 25, 2023 | May 26, 2023 |
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 May 14, 2026 · Filed May 15, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 49,825 |
Ending reported balance
After 2026-05-14 transaction · row 10
10 source rows · reconciled sequenceRow 1 · 2026-05-14 · Exercise / conversion · Acquired 16,078 · Balance 65,903 Row 2 · 2026-05-14 · Tax withholding · Disposed 3,473 · Balance 62,430 Row 3 · 2026-05-14 · Sale · Disposed 1,787 · Balance 60,643 F1: This transaction was executed in multiple trades at prices ranging from $904.25 to $905.22. The price reported above reflects the weighted average sale 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. Row 4 · 2026-05-14 · Sale · Disposed 2,259 · Balance 58,384 F2: This transaction was executed in multiple trades at prices ranging from $905.25 to $906.20. The price reported above reflects the weighted average sale 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. Row 5 · 2026-05-14 · Sale · Disposed 1,491 · Balance 56,893 F3: This transaction was executed in multiple trades at prices ranging from $906.25 to $907.22. The price reported above reflects the weighted average sale 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 Row 6 · 2026-05-14 · Sale · Disposed 1,191 · Balance 55,702 F4: This transaction was executed in multiple trades at prices ranging from $907.26 to $908.24. The price reported above reflects the weighted average sale 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 Row 7 · 2026-05-14 · Sale · Disposed 2,302 · Balance 53,400 F5: This transaction was executed in multiple trades at prices ranging from $908.27 to $909.25. The price reported above reflects the weighted average sale 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 Row 8 · 2026-05-14 · Sale · Disposed 1,568 · Balance 51,832 F6: This transaction was executed in multiple trades at prices ranging from $909.46 to $910.45. The price reported above reflects the weighted average sale 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 Row 9 · 2026-05-14 · Sale · Disposed 402 · Balance 51,430 F7: This transaction was executed in multiple trades at prices ranging from $910.62 to $910.89. The price reported above reflects the weighted average sale 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 Row 10 · 2026-05-14 · Sale · Disposed 1,605 · Balance 49,825 F8: This transaction was executed in multiple trades at prices ranging from $911.76 to $911.96. The price reported above reflects the weighted average sale 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 |
| Employee Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $196.70 · Expires 2032-03-07 | Direct | 0 |
Reported balance
After 2026-05-14 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2026-05-14 · Exercise / conversion · Disposed 16,078 · Balance 0 F9: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 7, 2022 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. |
Filing footnotes · ownership attribution and instrument terms
F1: This transaction was executed in multiple trades at prices ranging from $904.25 to $905.22. The price reported above reflects the weighted average sale 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.
F2: This transaction was executed in multiple trades at prices ranging from $905.25 to $906.20. The price reported above reflects the weighted average sale 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.
F3: This transaction was executed in multiple trades at prices ranging from $906.25 to $907.22. The price reported above reflects the weighted average sale 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
F4: This transaction was executed in multiple trades at prices ranging from $907.26 to $908.24. The price reported above reflects the weighted average sale 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
F5: This transaction was executed in multiple trades at prices ranging from $908.27 to $909.25. The price reported above reflects the weighted average sale 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
F6: This transaction was executed in multiple trades at prices ranging from $909.46 to $910.45. The price reported above reflects the weighted average sale 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
F7: This transaction was executed in multiple trades at prices ranging from $910.62 to $910.89. The price reported above reflects the weighted average sale 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
F8: This transaction was executed in multiple trades at prices ranging from $911.76 to $911.96. The price reported above reflects the weighted average sale 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
F9: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 7, 2022 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.
MOSAIC CO
Report date May 25, 2023 · Filed May 26, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 20,296 |
Reported balance
After 2023-05-25 transaction · row 1
1 source rowRow 1 · 2023-05-25 · Exercise / conversion · Acquired 2,575 · Balance 20,296 |
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 0 |
Reported balance
After 2023-05-25 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2023-05-25 · Exercise / conversion · Disposed 2,575 · Balance 0 F1: One-for-One F4: The restricted stock units will vest and be paid to the reporting person on the later of (i) the date of the issuer's 2023 Annual Meeting of Stockholders; or (ii) the date that is at 50 weeks after the issuer's immediately preceding year's annual meeting. F3: Not Applicable |
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 4,609 |
Reported balance
After 2023-05-25 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2023-05-25 · Grant · Acquired 4,609 · Balance 4,609 F1: One-for-One F5: The restricted stock units will vest and be paid to the reporting person on the date of the issuer's 2024 Annual Meeting of Stockholders. F3: Not Applicable |
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 4,435 |
Reported balance
Holding disclosure · report date 2023-05-25 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance 4,435 F1: One-for-One F2: The restricted stock units vested on the date of the issuer's 2022 Annual Meeting of Stockholders. Vested shares will be delivered to the reporting person on May 20, 2024. F3: Not Applicable |
| Common StockSEC Table I · non-derivative | IndirectSEP IRA | 1,578 |
Reported balance
Holding disclosure · report date 2023-05-25 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 1,578 |
Filing footnotes · ownership attribution and instrument terms
F1: One-for-One
F2: The restricted stock units vested on the date of the issuer's 2022 Annual Meeting of Stockholders. Vested shares will be delivered to the reporting person on May 20, 2024.
F3: Not Applicable
F4: The restricted stock units will vest and be paid to the reporting person on the later of (i) the date of the issuer's 2023 Annual Meeting of Stockholders; or (ii) the date that is at 50 weeks after the issuer's immediately preceding year's annual meeting.
F5: The restricted stock units will vest and be paid to the reporting person on the date of the issuer's 2024 Annual Meeting of Stockholders.
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 |
|---|---|---|---|---|---|---|
| May 14, 2026 Filed May 15, 2026 21:29 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 16,078 | $196.70 Strike: $196.70 | $3,162,542.60 |
DisclosureSEC source: 0001104659-26-062809 · tm2614830-1_4seq1.xml · derivative · entry 11 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 16,078 shares Expires 2032-03-07 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F9 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 7, 2022 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| May 14, 2026 Filed May 15, 2026 21:29 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 1,605 | $911.92 | $1,463,631.60 |
DisclosureSEC source: 0001104659-26-062809 · tm2614830-1_4seq1.xml · nonDerivative · entry 10 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 49,825 F8 · price: This transaction was executed in multiple trades at prices ranging from $911.76 to $911.96. The price reported above reflects the weighted average sale 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 |
| May 14, 2026 Filed May 15, 2026 21:29 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 402 | $910.65 | $366,081.30 |
DisclosureSEC source: 0001104659-26-062809 · tm2614830-1_4seq1.xml · nonDerivative · entry 9 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 51,430 F7 · price: This transaction was executed in multiple trades at prices ranging from $910.62 to $910.89. The price reported above reflects the weighted average sale 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 |
| May 14, 2026 Filed May 15, 2026 21:29 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 1,568 | $909.70 | $1,426,409.60 |
DisclosureSEC source: 0001104659-26-062809 · tm2614830-1_4seq1.xml · nonDerivative · entry 8 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 51,832 F6 · price: This transaction was executed in multiple trades at prices ranging from $909.46 to $910.45. The price reported above reflects the weighted average sale 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 |
| May 14, 2026 Filed May 15, 2026 21:29 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 2,302 | $908.76 | $2,091,965.52 |
DisclosureSEC source: 0001104659-26-062809 · tm2614830-1_4seq1.xml · nonDerivative · entry 7 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 53,400 F5 · price: This transaction was executed in multiple trades at prices ranging from $908.27 to $909.25. The price reported above reflects the weighted average sale 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 |
| May 14, 2026 Filed May 15, 2026 21:29 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 1,191 | $907.98 | $1,081,404.18 |
DisclosureSEC source: 0001104659-26-062809 · tm2614830-1_4seq1.xml · nonDerivative · entry 6 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 55,702 F4 · price: This transaction was executed in multiple trades at prices ranging from $907.26 to $908.24. The price reported above reflects the weighted average sale 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 |
| May 14, 2026 Filed May 15, 2026 21:29 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 1,491 | $906.73 | $1,351,934.43 |
DisclosureSEC source: 0001104659-26-062809 · tm2614830-1_4seq1.xml · nonDerivative · entry 5 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 56,893 F3 · price: This transaction was executed in multiple trades at prices ranging from $906.25 to $907.22. The price reported above reflects the weighted average sale 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 |
| May 14, 2026 Filed May 15, 2026 21:29 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 2,259 | $905.73 | $2,046,044.07 |
DisclosureSEC source: 0001104659-26-062809 · tm2614830-1_4seq1.xml · nonDerivative · entry 4 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 58,384 F2 · price: This transaction was executed in multiple trades at prices ranging from $905.25 to $906.20. The price reported above reflects the weighted average sale 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 |
| May 14, 2026 Filed May 15, 2026 21:29 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 1,787 | $904.70 | $1,616,698.90 |
DisclosureSEC source: 0001104659-26-062809 · tm2614830-1_4seq1.xml · nonDerivative · entry 3 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 60,643 F1 · price: This transaction was executed in multiple trades at prices ranging from $904.25 to $905.22. The price reported above reflects the weighted average sale 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 |
| May 14, 2026 Filed May 15, 2026 21:29 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 3,473 | $910.55 | $3,162,340.15 |
DisclosureSEC source: 0001104659-26-062809 · tm2614830-1_4seq1.xml · nonDerivative · entry 2 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 62,430 Read SEC document |
| May 14, 2026 Filed May 15, 2026 21:29 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 16,078 | $196.70 | $3,162,542.60 |
DisclosureSEC source: 0001104659-26-062809 · tm2614830-1_4seq1.xml · nonDerivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 65,903 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 13, 2026 Filed May 14, 2026 18:47 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 7,900 | $196.70 Strike: $196.70 | $1,553,930.00 |
DisclosureSEC source: 0001104659-26-061036 · tm2614666-1_4seq1.xml · derivative · entry 5 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 16,078 Underlying: Common Stock · 7,900 shares Expires 2032-03-07 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 7, 2022 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| May 13, 2026 Filed May 14, 2026 18:47 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 2,650 | $910.24 | $2,412,136.00 |
DisclosureSEC source: 0001104659-26-061036 · tm2614666-1_4seq1.xml · nonDerivative · entry 4 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 49,825 F2 · price: This transaction was executed in multiple trades at prices ranging from $910.17 to $910.47. The price reported above reflects the weighted average sale 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 |
| May 13, 2026 Filed May 14, 2026 18:47 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 3,546 | $909.46 | $3,224,945.16 |
DisclosureSEC source: 0001104659-26-061036 · tm2614666-1_4seq1.xml · nonDerivative · entry 3 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 52,475 F1 · price: This transaction was executed in multiple trades at prices ranging from $909.10 to $910.08. The price reported above reflects the weighted average sale 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 |
| May 13, 2026 Filed May 14, 2026 18:47 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 1,704 | $911.61 | $1,553,383.44 |
DisclosureSEC source: 0001104659-26-061036 · tm2614666-1_4seq1.xml · nonDerivative · entry 2 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 56,021 Read SEC document |
| May 13, 2026 Filed May 14, 2026 18:47 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 7,900 | $196.70 | $1,553,930.00 |
DisclosureSEC source: 0001104659-26-061036 · tm2614666-1_4seq1.xml · nonDerivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 57,725 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, 2026 Filed Mar 6, 2026 17:39 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 346 | $738.42 | $255,493.32 |
DisclosureSEC source: 0001104659-26-024554 · tm268220-3_4seq1.xml · nonDerivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 49,825 F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of restricted stock units granted on March 4, 2024. Read SEC document |
| March 03, 2026 Filed Mar 4, 2026 23:15 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 337 | $719.13 | $242,346.81 |
DisclosureSEC source: 0001104659-26-023600 · tm268026-6_4seq1.xml · nonDerivative · entry 2 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 50,171 F2 · shares: Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of restricted stock units granted March 3, 2025. Read SEC document |
| March 02, 2026 Filed Mar 4, 2026 23:15 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock options · Derivative | 4,601 | $0.00 Strike: $752.18 | $0.00 |
DisclosureSEC source: 0001104659-26-023600 · tm268026-6_4seq1.xml · derivative · entry 3 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,601 Underlying: Common Stock · 4,601 shares Expires 2036-03-02 F3 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2023 Long Term Incentive Plan and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| March 02, 2026 Filed Mar 4, 2026 23:15 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 1,650 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-26-023600 · tm268026-6_4seq1.xml · nonDerivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 50,508 F1 · balance_after: Includes adjustment for dividends accrued. Read SEC document |
| February 10, 2026 Filed Feb 13, 2026 00:57 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 3,563 | $744.83 | $2,653,829.29 |
DisclosureSEC source: 0001104659-26-014526 · tm266149-10_4seq1.xml · nonDerivative · entry 2 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 48,842 F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of performance-based restricted stock units granted March 6, 2023. Read SEC document |
| February 10, 2026 Filed Feb 13, 2026 00:57 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 9,055 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-26-014526 · tm266149-10_4seq1.xml · nonDerivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 52,405 Read SEC document |
| February 04, 2026 Filed Feb 6, 2026 17:44 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherPhantom Stock Units · Derivative | 10,946 | $691.82 | $7,572,661.72 |
DisclosureSEC source: 0001104659-26-011396 · tm263771-6_4seq1.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,946 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plan as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Intra-plan transfer pursuant to the employee's Supplemental Deferred Compensation Plan ("the Plan"). 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. Read SEC document |
| February 02, 2026 Filed Feb 4, 2026 22:11 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 45,291 | $219.76 Strike: $219.76 | $9,953,150.16 |
DisclosureSEC source: 0001104659-26-010372 · tm263771-4_4seq1.xml · derivative · entry 14 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 45,291 shares Expires 2031-03-01 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F9 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 1, 2021 and vest equally in 1/3 increments in the first, second and third anniversaries of the grant date. Read SEC document |
| February 02, 2026 Filed Feb 4, 2026 22:11 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 11,810 | $196.70 Strike: $196.70 | $2,323,027.00 |
DisclosureSEC source: 0001104659-26-010372 · tm263771-4_4seq1.xml · derivative · entry 13 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 23,978 Underlying: Common Stock · 11,810 shares Expires 2032-03-07 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F8 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 7, 2022 and vest equally in 1/3 increments in the first, second and third anniversaries of the grant date. Read SEC document |
| February 02, 2026 Filed Feb 4, 2026 22:11 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 1,138 | $684.93 | $779,450.34 |
DisclosureSEC source: 0001104659-26-010372 · tm263771-4_4seq1.xml · nonDerivative · entry 12 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 43,350 F7 · price: This transaction was executed in a trade at a price of $684.93. 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 |
| February 02, 2026 Filed Feb 4, 2026 22:11 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 2,258 | $683.90 | $1,544,246.20 |
DisclosureSEC source: 0001104659-26-010372 · tm263771-4_4seq1.xml · nonDerivative · entry 11 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 44,488 F6 · price: This transaction was executed in multiple trades at prices ranging from $683.37 to $684.33. The price reported above reflects the weighted average sale 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 |
| February 02, 2026 Filed Feb 4, 2026 22:11 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 2,761 | $682.84 | $1,885,321.24 |
DisclosureSEC source: 0001104659-26-010372 · tm263771-4_4seq1.xml · nonDerivative · entry 10 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 46,746 F5 · price: This transaction was executed in multiple trades at prices ranging from $682.38 to $683.36. The price reported above reflects the weighted average sale 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 |
| February 02, 2026 Filed Feb 4, 2026 22:11 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 2,994 | $681.69 | $2,040,979.86 |
DisclosureSEC source: 0001104659-26-010372 · tm263771-4_4seq1.xml · nonDerivative · entry 9 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 49,507 F4 · price: This transaction was executed in multiple trades at prices ranging from $681.35 to $682.33. The price reported above reflects the weighted average sale 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 |
| February 02, 2026 Filed Feb 4, 2026 22:11 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 20,145 | $680.76 | $13,713,910.20 |
DisclosureSEC source: 0001104659-26-010372 · tm263771-4_4seq1.xml · nonDerivative · entry 8 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 52,501 F3 · price: This transaction was executed in multiple trades at prices ranging from $680.35 to $681.29. The price reported above reflects the weighted average sale 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 |
| February 02, 2026 Filed Feb 4, 2026 22:11 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 1,431 | $680.11 | $973,237.41 |
DisclosureSEC source: 0001104659-26-010372 · tm263771-4_4seq1.xml · nonDerivative · entry 7 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 72,646 F2 · price: This transaction was executed in multiple trades at prices ranging from $679.35 to $680.32. The price reported above reflects the weighted average sale 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 |
| February 02, 2026 Filed Feb 4, 2026 22:11 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 14,564 | $683.39 | $9,952,891.96 |
DisclosureSEC source: 0001104659-26-010372 · tm263771-4_4seq1.xml · nonDerivative · entry 6 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 74,077 Read SEC document |
| February 02, 2026 Filed Feb 4, 2026 22:11 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 45,291 | $219.76 | $9,953,150.16 |
DisclosureSEC source: 0001104659-26-010372 · tm263771-4_4seq1.xml · nonDerivative · entry 5 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 86,641 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 |
| February 02, 2026 Filed Feb 4, 2026 22:11 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 7,411 | $680.11 | $5,040,295.21 |
DisclosureSEC source: 0001104659-26-010372 · tm263771-4_4seq1.xml · nonDerivative · entry 4 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 43,350 F2 · price: This transaction was executed in multiple trades at prices ranging from $679.35 to $680.32. The price reported above reflects the weighted average sale 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 |
| February 02, 2026 Filed Feb 4, 2026 22:11 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 1,000 | $678.52 | $678,520.00 |
DisclosureSEC source: 0001104659-26-010372 · tm263771-4_4seq1.xml · nonDerivative · entry 3 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 50,761 F1 · price: This transaction was executed in multiple trades at prices ranging from $678.25 to $678.82. The price reported above reflects the weighted average sale 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 |
| February 02, 2026 Filed Feb 4, 2026 22:11 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 3,399 | $683.39 | $2,322,842.61 |
DisclosureSEC source: 0001104659-26-010372 · tm263771-4_4seq1.xml · nonDerivative · entry 2 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 51,761 Read SEC document |
| February 02, 2026 Filed Feb 4, 2026 22:11 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 11,810 | $196.70 | $2,323,027.00 |
DisclosureSEC source: 0001104659-26-010372 · tm263771-4_4seq1.xml · nonDerivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 55,160 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 12, 2026 Filed Jan 13, 2026 19:57 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 473 | $621.97 | $294,191.81 |
DisclosureSEC source: 0001104659-26-003277 · tm263076-1_4seq1.xml · nonDerivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 43,350 F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of Restricted Stock Units granted January 12, 2024. F2 · balance_after: Includes adjustment for dividends accrued. Read SEC document |
| November 12, 2025 Filed Nov 14, 2025 17:56 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherPhantom Stock Units · Derivative | 10,944 | $573.02 | $6,271,130.88 |
DisclosureSEC source: 0001104659-25-112198 · tm2531332-1_4seq1.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 10,752 Underlying: Common Stock · 10,944 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plan as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Intra-plan transfer pursuant to the employee's Supplemental Deferred Compensation Plan ("the Plan"). F3 · derivative.exercise_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes adjustments for dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. Read SEC document |
| October 24, 2025 Filed Oct 27, 2025 18:28 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 19 | $522.73 | $9,931.87 |
DisclosureSEC source: 0001104659-25-102540 · tm2529538-1_4seq1.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 21,817 Underlying: Common Stock · 19 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plan as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 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 $522.73 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 adjustments for dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. Read SEC document |
| September 26, 2025 Filed Sep 29, 2025 20:30 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 21 | $465.76 | $9,780.96 |
DisclosureSEC source: 0001104659-25-094519 · tm2527436-3_4seq1.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 21,762 Underlying: Common Stock · 21 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plan as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 11 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") at a price per share of $465.76 and 10 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes adjustments for dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. Read SEC document |
| August 26, 2025 Filed Aug 27, 2025 19:37 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 23 | $431.26 | $9,918.98 |
DisclosureSEC source: 0001104659-25-083977 · tm2524523-1_4seq1.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 21,905 Underlying: Common Stock · 23 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plan as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 12 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") at a price per share of $431.26 and 11 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes adjustments for dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. Read SEC document |
| August 07, 2025 Filed Aug 8, 2025 20:18 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherPhantom Stock Units · Derivative | 8,493 | $417.12 | $3,542,600.16 |
DisclosureSEC source: 0001104659-25-075705 · tm2522999-1_4seq1.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 22,597 Underlying: Common Stock · 8,493 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plan as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Intra-plan transfer pursuant to the employee's Supplemental Deferred Compensation Plan ("the Plan"). F3 · derivative.exercise_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's separation from service. F3 · derivative.expiration_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's separation from service. Read SEC document |
| July 25, 2025 Filed Jul 28, 2025 20:13 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 23 | $433.75 | $9,976.25 |
DisclosureSEC source: 0001104659-25-071158 · tm2521859-3_4seq1.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 30,021 Underlying: Common Stock · 23 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plan as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 12 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") at a price per share of $433.75 and 11 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes adjustments for dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. Read SEC document |
| June 26, 2025 Filed Jun 27, 2025 18:40 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 26 | $381.88 | $9,928.88 |
DisclosureSEC source: 0001104659-25-063560 · tm2519319-3_4seq1.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 29,421 Underlying: Common Stock · 26 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plan as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 13 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") at a price per share of $381.88 and 13 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes adjustments for dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. Read SEC document |
| May 23, 2025 Filed May 27, 2025 19:18 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 19 | $343.39 | $6,524.41 |
DisclosureSEC source: 0001104659-25-052918 · tm2516223-1_4seq1.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 30,392 Underlying: Common Stock · 19 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plan as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 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 $343.39 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 |
| March 14, 2025 Filed Mar 17, 2025 20:31 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 486 | $339.64 | $165,065.04 |
DisclosureSEC source: 0001104659-25-024452 · tm259502-1_4seq1.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 29,542 Underlying: Common Stock · 486 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plan as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 243 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") at a price per share of $339.64 and 243 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. Read SEC document |
| March 07, 2025 Filed Mar 10, 2025 21:28 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 354 | $350.30 | $124,006.20 |
DisclosureSEC source: 0001104659-25-022232 · tm258771-2_4seq1.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 28,825 Underlying: Common Stock · 354 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plan as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · derivative.exercise_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service. F2 · derivative.expiration_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service. F3 · balance_after: Includes dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. Read SEC document |
| March 04, 2025 Filed Mar 5, 2025 23:36 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 343 | $325.30 | $111,577.90 |
DisclosureSEC source: 0001104659-25-021011 · tm258358-5_4seq1.xml · nonDerivative · entry 2 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 43,723 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 5, 2025 23:36 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Options · Derivative | 8,439 | $0.00 Strike: $332.04 | $0.00 |
DisclosureSEC source: 0001104659-25-021011 · tm258358-5_4seq1.xml · derivative · entry 3 Johnson Denise C · CIK 0001608229 · 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 F3 · 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.