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 |
|---|---|---|---|---|---|---|
| March 03, 2025 Filed Mar 5, 2025 23:36 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 2,692 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-25-021011 · tm258358-5_4seq1.xml · nonDerivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 44,066 F1 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| February 11, 2025 Filed Feb 13, 2025 19:36 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 3,742 | $362.70 | $1,357,223.40 |
DisclosureSEC source: 0001104659-25-012848 · tm255985-5_4seq1.xml · nonDerivative · entry 2 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 41,342 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 7, 2022. Read SEC document |
| February 11, 2025 Filed Feb 13, 2025 19:36 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 9,901 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-25-012848 · tm255985-5_4seq1.xml · nonDerivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 45,084 Read SEC document |
| January 12, 2025 Filed Jan 14, 2025 22:44 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 452 | $357.50 | $161,590.00 |
DisclosureSEC source: 0001104659-25-003505 · tm253305-1_4seq1.xml · nonDerivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 35,183 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 |
| December 26, 2024 Filed Dec 27, 2024 22:43 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 26 | $367.12 | $9,545.12 |
DisclosureSEC source: 0001104659-24-132196 · tm2432149-1_4seq1.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 29,142 Underlying: Common Stock · 26 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 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 $367.12 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 dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. Read SEC document |
| November 26, 2024 Filed Nov 27, 2024 19:09 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 23 | $407.83 | $9,380.09 |
DisclosureSEC source: 0001104659-24-123610 · tm2429721-2_4seq1.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 28,888 Underlying: Common Stock · 23 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 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 $407.83 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 dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. Read SEC document |
| October 25, 2024 Filed Oct 28, 2024 20:23 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 25 | $385.97 | $9,649.25 |
DisclosureSEC source: 0001104659-24-111834 · tm2426969-2_4seq1.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 29,118 Underlying: Common Stock · 25 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 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 $385.97 and 12 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. Read SEC document |
| September 26, 2024 Filed Sep 27, 2024 19:19 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 24 | $390.96 | $9,383.04 |
DisclosureSEC source: 0001104659-24-103656 · tm2425131-2_4seq1.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 27,972 Underlying: Common Stock · 24 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 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 $390.96 and 12 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 |
| August 26, 2024 Filed Aug 27, 2024 18:49 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 27 | $351.16 | $9,481.32 |
DisclosureSEC source: 0001104659-24-093320 · tm2422802-1_4seq1.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 28,690 Underlying: Common Stock · 27 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 14 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $351.16 and 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 dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. Read SEC document |
| July 26, 2024 Filed Jul 29, 2024 19:29 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 27 | $350.48 | $9,462.96 |
DisclosureSEC source: 0001104659-24-083503 · tm2420389-1_4seq1.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 28,379 Underlying: Common Stock · 27 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 14 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $350.48 and 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 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, 2024 Filed Jun 27, 2024 17:55 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 29 | $326.73 | $9,475.17 |
DisclosureSEC source: 0001104659-24-075572 · tm2418430-1_4seq1.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 28,821 Underlying: Common Stock · 29 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 15 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $326.73 and 14 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 |
| May 24, 2024 Filed May 28, 2024 18:29 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 15 | $348.90 | $5,233.50 |
DisclosureSEC source: 0001104659-24-065534 · tm2415718-1_4seq1.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 28,852 Underlying: Common Stock · 15 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 8 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $348.90 and 7 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. Read SEC document |
| March 14, 2024 Filed Mar 18, 2024 10:04 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 658 | $341.92 | $224,983.36 |
DisclosureSEC source: 0001104659-24-035167 · tm249012-1_4seq1.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 28,564 Underlying: Common Stock · 658 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 329 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $341.92 and 329 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. Read SEC document |
| March 08, 2024 Filed Mar 12, 2024 10:05 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 313 | $339.19 | $106,166.47 |
DisclosureSEC source: 0001104659-24-033203 · tm248510-1_4seq1.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 28,023 Underlying: Common Stock · 313 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · derivative.exercise_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service. F2 · derivative.expiration_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service. F3 · balance_after: Includes dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. Read SEC document |
| March 04, 2024 Filed Mar 6, 2024 17:22 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Options · Derivative | 8,871 | $0.00 Strike: $338.65 | $0.00 |
DisclosureSEC source: 0001104659-24-031368 · tm248078-5_4seq1.xml · derivative · entry 2 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,871 Underlying: Common Stock · 8,871 shares Expires 2034-03-04 F2 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2023 Long Term Incentive Plan and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| March 04, 2024 Filed Mar 6, 2024 17:22 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 2,731 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-24-031368 · tm248078-5_4seq1.xml · nonDerivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 35,525 F1 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| February 13, 2024 Filed Feb 15, 2024 11:02 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 4,369 | $313.40 | $1,369,244.60 |
DisclosureSEC source: 0001104659-24-024295 · tm245322-6_4seq1.xml · nonDerivative · entry 2 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 32,766 F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of performance-based stock units granted March 1, 2021. Read SEC document |
| February 13, 2024 Filed Feb 15, 2024 11:02 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 12,280 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-24-024295 · tm245322-6_4seq1.xml · nonDerivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 37,135 Read SEC document |
| January 12, 2024 Filed Jan 16, 2024 22:24 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 6,887 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-24-004175 · tm243443-2_4seq1.xml · nonDerivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 24,855 Read SEC document |
| December 26, 2023 Filed Dec 27, 2023 19:08 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 31 | $295.63 | $9,164.53 |
DisclosureSEC source: 0001104659-23-129672 · tm2333781-2_4seq1.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 27,070 Underlying: Common Stock · 31 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 16 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $295.63 and 15 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. Read SEC document |
| November 24, 2023 Filed Nov 27, 2023 20:48 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 37 | $247.36 | $9,152.32 |
DisclosureSEC source: 0001104659-23-121216 · tm2331590-1_4seq1.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 27,425 Underlying: Common Stock · 37 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 19 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $247.36 and 18 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. Read SEC document |
| October 26, 2023 Filed Oct 27, 2023 20:55 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 38 | $242.43 | $9,212.34 |
DisclosureSEC source: 0001104659-23-112208 · tm2329317-1_4seq1.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 27,822 Underlying: Common Stock · 38 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 19 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $242.43 and 19 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. Read SEC document |
| September 26, 2023 Filed Sep 27, 2023 22:04 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 34 | $269.52 | $9,163.68 |
DisclosureSEC source: 0001104659-23-104381 · tm2327088-2_4seq1.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 27,790 Underlying: Common Stock · 34 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 17 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $269.52 and 17 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 |
| August 25, 2023 Filed Aug 28, 2023 20:56 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 34 | $272.56 | $9,267.04 |
DisclosureSEC source: 0001104659-23-096048 · tm2324987-1_4seq1.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 26,953 Underlying: Common Stock · 34 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 17 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $272.56 and 17 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 |
| August 03, 2023 Filed Aug 4, 2023 23:33 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 23,736 | $127.60 Strike: $127.60 | $3,028,713.60 |
DisclosureSEC source: 0001104659-23-087958 · tm2322787-4_4seq1.xml · derivative · entry 10 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 23,736 shares Expires 2030-03-02 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. F8 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 2, 2020 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| August 03, 2023 Filed Aug 4, 2023 23:33 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 18,012 | $138.35 Strike: $138.35 | $2,491,960.20 |
DisclosureSEC source: 0001104659-23-087958 · tm2322787-4_4seq1.xml · derivative · entry 9 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 18,012 shares Expires 2029-03-04 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. F7 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 4, 2019 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| August 03, 2023 Filed Aug 4, 2023 23:33 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 714 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-23-087958 · tm2322787-4_4seq1.xml · nonDerivative · entry 8 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 17,968 F6 · price: This transaction was executed in multiple trades at prices ranging from $287.57 to $287.79. 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 |
| August 03, 2023 Filed Aug 4, 2023 23:33 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 4,112 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-23-087958 · tm2322787-4_4seq1.xml · nonDerivative · entry 7 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 18,682 F5 · price: This transaction was executed in multiple trades at prices ranging from $286.31 to $287.22. 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 |
| August 03, 2023 Filed Aug 4, 2023 23:33 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 2,300 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-23-087958 · tm2322787-4_4seq1.xml · nonDerivative · entry 6 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 22,794 F4 · price: This transaction was executed in multiple trades at prices ranging from $285.16 to $285.95. 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 |
| August 03, 2023 Filed Aug 4, 2023 23:33 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 16,610 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-23-087958 · tm2322787-4_4seq1.xml · nonDerivative · entry 5 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 25,094 F3 · price: This transaction was executed in multiple trades at prices ranging from $284.15 to $285.05. 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 |
| August 03, 2023 Filed Aug 4, 2023 23:33 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 23,736 | $127.60 | $3,028,713.60 |
DisclosureSEC source: 0001104659-23-087958 · tm2322787-4_4seq1.xml · nonDerivative · entry 4 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 41,704 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 03, 2023 Filed Aug 4, 2023 23:33 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 10,120 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-23-087958 · tm2322787-4_4seq1.xml · nonDerivative · entry 3 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 17,968 F2 · price: This transaction was executed in multiple trades at prices ranging from $283.54 to $284.15. 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 |
| August 03, 2023 Filed Aug 4, 2023 23:33 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 7,892 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-23-087958 · tm2322787-4_4seq1.xml · nonDerivative · entry 2 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 28,088 F1 · price: This transaction was executed in multiple trades at prices ranging from $282.54 to $283.53. 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 |
| August 03, 2023 Filed Aug 4, 2023 23:33 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 18,012 | $138.35 | $2,491,960.20 |
DisclosureSEC source: 0001104659-23-087958 · tm2322787-4_4seq1.xml · nonDerivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 35,980 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 |
| July 26, 2023 Filed Jul 28, 2023 12:58 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 36 | $258.32 | $9,299.52 |
DisclosureSEC source: 0001104659-23-085106 · tm2322276-2_4seq1.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 27,650 Underlying: Common Stock · 36 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 18 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $258.32 and 18 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 |
| June 26, 2023 Filed Jun 27, 2023 20:53 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 39 | $236.95 | $9,241.05 |
DisclosureSEC source: 0001104659-23-075311 · tm2319805-1_4seq1.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 26,832 Underlying: Common Stock · 39 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 20 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $236.95 and 19 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 |
| May 26, 2023 Filed May 31, 2023 10:10 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 25 | $211.80 | $5,295.00 |
DisclosureSEC source: 0001104659-23-066274 · tm2317337-1_4seq1.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 26,883 Underlying: Common Stock · 25 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 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 $211.80 and 12 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 |
| May 25, 2023 Filed May 26, 2023 20:30 UTC | MOSAIC CO MOS · Entity 3647 | GrantRestricted Stock Units · Derivative | 4,609 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001243786-23-000107 · wf-form4_168513300848915.xml · derivative · entry 5 Johnson Denise C · CIK 0001608229 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,609 Underlying: Common Stock · 4,609 shares Expires not disclosed F1 · derivative.exercise_price: One-for-One F5 · derivative.exercise_date: 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 · derivative.expiration_date: Not Applicable Read SEC document |
| May 25, 2023 Filed May 26, 2023 20:30 UTC | MOSAIC CO MOS · Entity 3647 | Exercise / conversionRestricted Stock Units · Derivative | 2,575 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001243786-23-000107 · wf-form4_168513300848915.xml · derivative · entry 4 Johnson Denise C · CIK 0001608229 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,575 shares Expires not disclosed 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: One-for-One F4 · derivative.exercise_date: 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 · derivative.expiration_date: Not Applicable Read SEC document |
| May 25, 2023 Filed May 26, 2023 20:30 UTC | MOSAIC CO MOS · Entity 3647 | Exercise / conversionCommon Stock | 2,575 | $0.00 | $0.00 |
DisclosureSEC source: 0001243786-23-000107 · wf-form4_168513300848915.xml · nonDerivative · entry 1 Johnson Denise C · CIK 0001608229 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 20,296 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 21, 2023 Filed May 23, 2023 14:45 UTC | MOSAIC CO MOS · Entity 3647 | Exercise / conversionRestricted Stock Units · Derivative | 13,420 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001243786-23-000083 · wf-form4_168485313136501.xml · derivative · entry 3 Johnson Denise C · CIK 0001608229 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 13,420 shares Expires not disclosed 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: One-for-One F2 · derivative.exercise_date: The restricted stock units vested on the date of the issuer's 2021 Annual Meeting of Stockholders. Vested shares will be delivered to the reporting person on May 21, 2023. F3 · derivative.expiration_date: Not Applicable Read SEC document |
| May 21, 2023 Filed May 23, 2023 14:45 UTC | MOSAIC CO MOS · Entity 3647 | Exercise / conversionCommon Stock | 13,420 | $0.00 | $0.00 |
DisclosureSEC source: 0001243786-23-000083 · wf-form4_168485313136501.xml · nonDerivative · entry 1 Johnson Denise C · CIK 0001608229 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 17,721 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 14, 2023 Filed Mar 16, 2023 16:00 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 821 | $225.67 | $185,275.07 |
DisclosureSEC source: 0001104659-23-033179 · tm239693-1_4seq1.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,796 Underlying: Common Stock · 821 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 410 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $225.67 and 411 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 interest 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 10, 2023 Filed Mar 14, 2023 10:03 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 516 | $227.01 | $117,137.16 |
DisclosureSEC source: 0001104659-23-031971 · tm239475-2_4seq1.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,630 Underlying: Common Stock · 516 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · derivative.exercise_date: The phantom stock units are to be settled 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 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 06, 2023 Filed Mar 8, 2023 18:39 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Options · Derivative | 29,028 | $0.00 Strike: $253.98 | $0.00 |
DisclosureSEC source: 0001104659-23-030007 · tm238923-5_4seq1.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,028 Underlying: Common Stock · 29,028 shares Expires 2033-03-06 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 on the first, second and third anniversaries of the grant date. Read SEC document |
| February 07, 2023 Filed Feb 9, 2023 02:05 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 6,083 | $248.68 | $1,512,720.44 |
DisclosureSEC source: 0001104659-23-014711 · tm236025-2_4seq1.xml · nonDerivative · entry 2 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,968 F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of performance-based stock units granted March 2, 2020. Read SEC document |
| February 07, 2023 Filed Feb 9, 2023 02:05 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 15,446 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-23-014711 · tm236025-2_4seq1.xml · nonDerivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,051 Read SEC document |
| December 27, 2022 Filed Dec 28, 2022 18:43 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 23,737 | $127.60 Strike: $127.60 | $3,028,841.20 |
DisclosureSEC source: 0001104659-22-130462 · tm2233604-2_4seq1.xml · derivative · entry 3 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,736 Underlying: Common Stock · 23,737 shares Expires 2030-03-02 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, 2020 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| December 27, 2022 Filed Dec 28, 2022 18:43 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 23,737 | $240.14 | $5,700,203.18 |
DisclosureSEC source: 0001104659-22-130462 · tm2233604-2_4seq1.xml · nonDerivative · entry 2 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,605 F1 · shares: This transaction was executed as multiple trades, all executed at the price reported above. The reporting person herby undertakes to provide upon request of the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares at which the transaction was effected. Read SEC document |
| December 27, 2022 Filed Dec 28, 2022 18:43 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 23,737 | $127.60 | $3,028,841.20 |
DisclosureSEC source: 0001104659-22-130462 · tm2233604-2_4seq1.xml · nonDerivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,342 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.