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 |
|---|---|---|---|---|---|---|
| November 09, 2020 Filed Nov 10, 2020 23:48 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 46,646 | $175.00 | $8,163,050.00 |
DisclosureSEC source: 0000018230-20-000307 · wf-form4_160505211020626.xml · nonDerivative · entry 3 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,290 Read SEC document |
| November 09, 2020 Filed Nov 10, 2020 23:48 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 18,013 | $138.35 | $2,492,098.55 |
DisclosureSEC source: 0000018230-20-000307 · wf-form4_160505211020626.xml · nonDerivative · entry 2 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,936 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 09, 2020 Filed Nov 10, 2020 23:48 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 37,527 | $151.12 | $5,671,080.24 |
DisclosureSEC source: 0000018230-20-000307 · wf-form4_160505211020626.xml · nonDerivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,923 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| October 26, 2020 Filed Oct 28, 2020 14:13 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 50 | $163.20 | $8,160.00 |
DisclosureSEC source: 0000018230-20-000281 · wf-form4_160389442272506.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,929 Underlying: Common Stock · 50 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 25 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $163.20 and 25 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 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 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 25, 2020 Filed Sep 28, 2020 23:35 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 56 | $145.91 | $8,170.96 |
DisclosureSEC source: 0000018230-20-000251 · wf-form4_160133611150977.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,068 Underlying: Common Stock · 56 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 28 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of 145.91 and 28 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 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 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 08, 2020 Filed Sep 9, 2020 22:59 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 34,496 | $0.00 Strike: $95.66 | $0.00 |
DisclosureSEC source: 0000018230-20-000241 · wf-form4_159969238214833.xml · derivative · entry 4 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 34,496 shares Expires 2027-03-06 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 6, 2017 and vest equally in 1/3 increments on each of the first, second and third anniversaries of the grant date. Read SEC document |
| September 08, 2020 Filed Sep 9, 2020 22:59 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 19,549 | $146.74 | $2,868,620.26 |
DisclosureSEC source: 0000018230-20-000241 · wf-form4_159969238214833.xml · nonDerivative · entry 3 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,396 Read SEC document |
| September 08, 2020 Filed Sep 9, 2020 22:59 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 22,269 | $148.18 | $3,299,820.42 |
DisclosureSEC source: 0000018230-20-000241 · wf-form4_159969238214833.xml · nonDerivative · entry 2 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,945 Read SEC document |
| September 08, 2020 Filed Sep 9, 2020 22:59 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 34,496 | $95.66 | $3,299,887.36 |
DisclosureSEC source: 0000018230-20-000241 · wf-form4_159969238214833.xml · nonDerivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,214 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 26, 2020 Filed Aug 27, 2020 21:42 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 58 | $141.83 | $8,226.14 |
DisclosureSEC source: 0000018230-20-000228 · wf-form4_159856454196246.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,031 Underlying: Common Stock · 58 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 29 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $141.83 and 29 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 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 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 06, 2020 Filed Aug 10, 2020 14:41 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherCommon Stock | 4,855 | $134.39 | $652,463.45 |
DisclosureSEC source: 0000018230-20-000221 · wf-form4_159707046000815.xml · nonDerivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Indirect · Held by 401(k) Plan Disclosed balance after: 0 Read SEC document |
| July 24, 2020 Filed Jul 28, 2020 18:48 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 60 | $137.58 | $8,254.80 |
DisclosureSEC source: 0000018230-20-000209 · wf-form4_159596208512210.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,930 Underlying: Common Stock · 60 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 30 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $137.58 and 30 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 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 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, 2020 Filed Jun 29, 2020 22:28 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 67 | $122.39 | $8,200.13 |
DisclosureSEC source: 0000018230-20-000193 · wf-form4_159346968325753.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,300 Underlying: Common Stock · 67 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 34 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $122.39 and 33 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 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 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, 2020 Filed May 29, 2020 12:00 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 58 | $117.41 | $6,809.78 |
DisclosureSEC source: 0000018230-20-000163 · wf-form4_159075359211285.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,934 Underlying: Common Stock · 58 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 29 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of 117.41 and 29 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 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 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 21, 2020 Filed May 22, 2020 20:17 UTC | MOSAIC CO MOS · Entity 3647 | GrantRestricted Stock Units · Derivative | 13,420 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001243786-20-000080 · wf-form4_159017865628585.xml · derivative · entry 5 Johnson Denise C · CIK 0001608229 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,420 Underlying: Common Stock · 13,420 shares Expires not disclosed F1 · derivative.exercise_price: One-for-One F5 · derivative.exercise_date: The restricted stock units will vest 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 18, 2020 Filed May 19, 2020 17:19 UTC | MOSAIC CO MOS · Entity 3647 | Exercise / conversionRestricted Stock Units · Derivative | 6,346 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001243786-20-000064 · wf-form4_158990873964772.xml · derivative · entry 3 Johnson Denise C · CIK 0001608229 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 6,346 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 2018 Annual Meeting of Stockholders. Vested shares were delivered to the reporting person on May 18, 2020. F3 · derivative.expiration_date: Not Applicable Read SEC document |
| May 18, 2020 Filed May 19, 2020 17:19 UTC | MOSAIC CO MOS · Entity 3647 | Exercise / conversionCommon Stock | 6,346 | $0.00 | $0.00 |
DisclosureSEC source: 0001243786-20-000064 · wf-form4_158990873964772.xml · nonDerivative · entry 1 Johnson Denise C · CIK 0001608229 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,930 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 11, 2020 Filed Mar 12, 2020 20:20 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 3,003 | $100.69 | $302,372.07 |
DisclosureSEC source: 0000018230-20-000124 · wf-form4_158404440345020.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,675 Underlying: Common Stock · 3,003 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 2503 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $100.69 and 500 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 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 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 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, 2020 Filed Mar 10, 2020 14:43 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 727 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-20-000113 · wf-form4_158385140161738.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,629 Underlying: Common Stock · 727 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: The phantom stock units were contributed to the reporting person's account pursuant to the terms of the Caterpillar Inc. Supplemental Deferred Compensation Plan ( the "Plan") for no consideration. F3 · derivative.exercise_date: The phantom stock units are to be settled 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 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 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 02, 2020 Filed Mar 3, 2020 23:34 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Options · Derivative | 71,210 | $0.00 Strike: $127.60 | $0.00 |
DisclosureSEC source: 0000018230-20-000096 · wf-form4_158327843863268.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,210 Underlying: Common Stock · 71,210 shares Expires 2030-03-02 F1 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan and vest equally in 1/3 increments beginning on the first anniversary of the grant date. Read SEC document |
| February 11, 2020 Filed Feb 13, 2020 18:59 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 6,898 | $136.15 | $939,162.70 |
DisclosureSEC source: 0000018230-20-000035 · wf-form4_158162034641067.xml · nonDerivative · entry 2 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,718 F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligations arising from the vesting of performance-based restricted stock units granted on March 6, 2017. Read SEC document |
| February 11, 2020 Filed Feb 13, 2020 18:59 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 18,294 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-20-000035 · wf-form4_158162034641067.xml · nonDerivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,616 Read SEC document |
| December 27, 2019 Filed Dec 30, 2019 21:32 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 81 | $148.28 | $12,010.68 |
DisclosureSEC source: 0000018230-19-000302 · wf-form4_157774153979515.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,639 Underlying: Common Stock · 81 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 54 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $148.28 and 27 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 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 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, 2019 Filed Nov 27, 2019 17:19 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 83 | $146.09 | $12,125.47 |
DisclosureSEC source: 0000018230-19-000295 · wf-form4_157487513464818.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,609 Underlying: Common Stock · 83 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 55 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $146.09 and 28 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 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 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 05, 2019 Filed Nov 6, 2019 19:15 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 936 | $146.74 | $137,348.64 |
DisclosureSEC source: 0000018230-19-000288 · wf-form4_157306768795800.xml · nonDerivative · entry 2 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Jerry Johnson Trust Disclosed balance after: 0 Read SEC document |
| November 05, 2019 Filed Nov 6, 2019 19:15 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 4,172 | $146.67 | $611,907.24 |
DisclosureSEC source: 0000018230-19-000288 · wf-form4_157306768795800.xml · nonDerivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,322 F1 · balance_after: Adjusted to correct inadvertent clerical error. Read SEC document |
| November 01, 2019 Filed Nov 5, 2019 20:10 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock · Derivative | 68,993 | $95.66 Strike: $95.66 | $6,599,870.38 |
DisclosureSEC source: 0000018230-19-000283 · wf-form4_157298460858301.xml · derivative · entry 6 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,496 Underlying: Common Stock · 68,993 shares Expires 2027-03-06 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 6, 2017 and vest equally in 1/3 increments on each of the first, second and third anniversaries of the grant date. Read SEC document |
| November 01, 2019 Filed Nov 5, 2019 20:10 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 34,496 | $144.00 | $4,967,424.00 |
DisclosureSEC source: 0000018230-19-000283 · wf-form4_157298460858301.xml · nonDerivative · entry 3 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,687 Read SEC document |
| November 01, 2019 Filed Nov 5, 2019 20:10 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 34,497 | $142.01 | $4,898,918.97 |
DisclosureSEC source: 0000018230-19-000283 · wf-form4_157298460858301.xml · nonDerivative · entry 2 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,183 Read SEC document |
| November 01, 2019 Filed Nov 5, 2019 20:10 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 68,993 | $95.66 | $6,599,870.38 |
DisclosureSEC source: 0000018230-19-000283 · wf-form4_157298460858301.xml · nonDerivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,680 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| October 28, 2019 Filed Oct 29, 2019 19:19 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 14,777 | $0.00 Strike: $74.77 | $0.00 |
DisclosureSEC source: 0000018230-19-000272 · wf-form4_157237669538143.xml · derivative · entry 5 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 14,777 shares Expires 2026-03-07 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 7, 2016 and vest equally in 1/3 increments on each of the first, second and third anniversaries of the grant date. Read SEC document |
| October 28, 2019 Filed Oct 29, 2019 19:19 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 14,777 | $140.00 | $2,068,780.00 |
DisclosureSEC source: 0000018230-19-000272 · wf-form4_157237669538143.xml · nonDerivative · entry 2 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,687 Read SEC document |
| October 28, 2019 Filed Oct 29, 2019 19:19 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 14,777 | $74.77 | $1,104,876.29 |
DisclosureSEC source: 0000018230-19-000272 · wf-form4_157237669538143.xml · nonDerivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,464 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| October 25, 2019 Filed Oct 29, 2019 19:19 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 86 | $139.73 | $12,016.78 |
DisclosureSEC source: 0000018230-19-000272 · wf-form4_157237669538143.xml · derivative · entry 6 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,777 Underlying: Common Stock · 86 shares Expires not disclosed F3 · 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. F4 · shares: This total includes 57 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $139.73 and 29 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F5 · derivative.exercise_date: The phantom stock units are to be settled 100% in cash upon the reporting person's retirement or separation from service. F5 · derivative.expiration_date: The phantom stock units are to be settled 100% in cash upon the reporting person's retirement or separation from service. F6 · 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, 2019 Filed Sep 30, 2019 20:28 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 95 | $126.39 | $12,007.05 |
DisclosureSEC source: 0000018230-19-000248 · wf-form4_156987527449321.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,335 Underlying: Common Stock · 95 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 63 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $126.39 and 32 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 were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes adjustments for dividends accrued. Also adjusted to include 3,292 phantom stock units initially reported on Form 3 filed on January 27, 2016 and unintentionally omitted from subsequent filings. Read SEC document |
| August 26, 2019 Filed Aug 28, 2019 18:55 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 105 | $114.42 | $12,014.10 |
DisclosureSEC source: 0000018230-19-000234 · wf-form4_156701853266565.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,987 Underlying: Common Stock · 105 shares Expires not disclosed F1 · derivative.exercise_price: Each Phantom Stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 70 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $114.42 and 35 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 were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| July 26, 2019 Filed Jul 29, 2019 20:08 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 91 | $132.92 | $12,095.72 |
DisclosureSEC source: 0000018230-19-000219 · wf-form4_156443089577769.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,882 Underlying: Common Stock · 91 shares Expires not disclosed F1 · derivative.exercise_price: Each Phantom Stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 60 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $132.92 and 31 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 were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| June 26, 2019 Filed Jun 27, 2019 15:51 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 89 | $135.15 | $12,028.35 |
DisclosureSEC source: 0000018230-19-000191 · wf-form4_156165067907744.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,791 Underlying: Common Stock · 89 shares Expires not disclosed F1 · derivative.exercise_price: Each Phantom Stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 59 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $135.15 and 30 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 were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| May 24, 2019 Filed May 29, 2019 21:24 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 65 | $122.90 | $7,988.50 |
DisclosureSEC source: 0000018230-19-000162 · wf-form4_155916505869112.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,702 Underlying: Common Stock · 65 shares Expires not disclosed F1 · derivative.exercise_price: Each Phantom Stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 48 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $122.90 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 were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| May 23, 2019 Filed May 28, 2019 16:14 UTC | MOSAIC CO MOS · Entity 3647 | GrantRestricted Stock Units · Derivative | 7,169 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001243786-19-000089 · wf-form4_155906006874614.xml · derivative · entry 5 Johnson Denise C · CIK 0001608229 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,169 Underlying: Common Stock · 7,169 shares Expires not disclosed F1 · derivative.exercise_price: One-for-One F5 · derivative.exercise_date: The restricted stock units will vest on the date of the issuer's 2020 Annual Meeting of Stockholders. Vested shares will be delivered to the reporting person on May 23, 2022. F3 · derivative.expiration_date: Not Applicable Read SEC document |
| May 19, 2019 Filed May 21, 2019 11:56 UTC | MOSAIC CO MOS · Entity 3647 | Exercise / conversionRestricted Stock Units · Derivative | 6,038 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001243786-19-000070 · wf-form4_155843979204344.xml · derivative · entry 3 Johnson Denise C · CIK 0001608229 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 6,038 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 2017 Annual Meeting of Stockholders. Vested shares will be delivered to the reporting person on May 19, 2019. F3 · derivative.expiration_date: Not Applicable Read SEC document |
| May 19, 2019 Filed May 21, 2019 11:56 UTC | MOSAIC CO MOS · Entity 3647 | Exercise / conversionCommon Stock | 6,038 | $0.00 | $0.00 |
DisclosureSEC source: 0001243786-19-000070 · wf-form4_155843979204344.xml · nonDerivative · entry 1 Johnson Denise C · CIK 0001608229 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,584 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| May 01, 2019 Filed May 3, 2019 16:44 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 126 | $138.79 | $17,487.54 |
DisclosureSEC source: 0000018230-19-000150 · wf-form4_155690186957396.xml · nonDerivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,687 F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligations arising from the vesting of restricted stock units granted on May 1, 2014. Read SEC document |
| April 26, 2019 Filed Apr 29, 2019 21:28 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 31 | $139.03 | $4,309.93 |
DisclosureSEC source: 0000018230-19-000143 · wf-form4_155657329162153.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,637 Underlying: Common Stock · 31 shares Expires not disclosed F1 · derivative.exercise_price: Each Phantom Stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 29 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $139.03 and 2 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 were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| March 26, 2019 Filed Mar 28, 2019 14:38 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 31 | $131.84 | $4,087.04 |
DisclosureSEC source: 0000018230-19-000123 · wf-form4_155378391299794.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,606 Underlying: Common Stock · 31 shares Expires not disclosed F1 · derivative.exercise_price: Each Phantom Stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 29 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $131.84 and 2 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 were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| March 11, 2019 Filed Mar 12, 2019 20:58 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 4,535 | $133.11 | $603,653.85 |
DisclosureSEC source: 0000018230-19-000116 · wf-form4_155242428305743.xml · derivative · entry 2 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,575 Underlying: Common Stock · 4,535 shares Expires not disclosed F1 · derivative.exercise_price: Each Phantom Stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F4 · shares: This total includes 3,779 shares that were credited to the reporting person's account under the Plan at a price per share of $133.11 and 756 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 were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The Phantom Stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| March 08, 2019 Filed Mar 12, 2019 20:58 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 448 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-19-000116 · wf-form4_155242428305743.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,040 Underlying: Common Stock · 448 shares Expires not disclosed F1 · derivative.exercise_price: Each Phantom Stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: The Phantom Stock units were contributed to the reporting person pursuant to the terms of the Caterpillar Inc. Supplemental Deferred Compensation Plan ( the "Plan") for no consideration. F3 · derivative.exercise_date: The Phantom Stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The Phantom Stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| March 04, 2019 Filed Mar 5, 2019 23:06 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Options · Derivative | 54,038 | $0.00 Strike: $138.35 | $0.00 |
DisclosureSEC source: 0000018230-19-000079 · wf-form4_155182719455321.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,038 Underlying: Common Stock · 54,038 shares Expires 2029-03-04 F1 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan and vest equally in 1/3 increments beginning on the first anniversary of the grant date. Read SEC document |
| February 26, 2019 Filed Feb 27, 2019 22:09 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 30 | $137.98 | $4,139.40 |
DisclosureSEC source: 0000018230-19-000058 · wf-form4_155130537413449.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,592 Underlying: Common Stock · 30 shares Expires not disclosed F1 · derivative.exercise_price: Each Phantom Stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 28 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $137.98 and 2 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 were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| February 12, 2019 Filed Feb 14, 2019 22:30 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 2,077 | $131.78 | $273,707.06 |
DisclosureSEC source: 0000018230-19-000044 · wf-form4_155018339885103.xml · nonDerivative · entry 2 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,813 F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligations arising from the vesting of performance-based restricted stock units granted on March 7, 2016. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.