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 |
|---|---|---|---|---|---|---|
| February 12, 2019 Filed Feb 14, 2019 22:30 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 7,008 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-19-000044 · wf-form4_155018339885103.xml · nonDerivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,890 Read SEC document |
| January 25, 2019 Filed Jan 28, 2019 20:49 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 30 | $136.86 | $4,105.80 |
DisclosureSEC source: 0000018230-19-000024 · wf-form4_154870856607922.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,562 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 $136.86 and 2 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F2 · derivative.exercise_date: 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 $136.86 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 Caterpillar Inc. Supplemental Deferred Compensation Plan (the "Plan") and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F2 · derivative.expiration_date: 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 $136.86 and 2 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. Read SEC document |
| December 26, 2018 Filed Dec 28, 2018 15:48 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 91 | $124.76 | $11,353.16 |
DisclosureSEC source: 0000018230-18-000323 · wf-form4_154601209194306.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,532 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 $124.76 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 |
| November 26, 2018 Filed Nov 28, 2018 22:45 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 91 | $124.80 | $11,356.80 |
DisclosureSEC source: 0000018230-18-000307 · wf-form4_154344514345339.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,441 Underlying: Common Stock · 91 shares Expires not disclosed F1 · derivative.exercise_price: Each Phantom Stock unit is the economic equivalent to 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 $124.80 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 |
| October 26, 2018 Filed Oct 30, 2018 23:23 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 99 | $115.05 | $11,389.95 |
DisclosureSEC source: 0000018230-18-000289 · wf-form4_154094178469671.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,350 Underlying: Common Stock · 99 shares Expires not disclosed F1 · derivative.exercise_price: Each Phantom Stock unit is the economic equivalent to one share of Caterpillar Inc. common stock. F2 · shares: This total includes 66 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $115.05 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 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 |
| October 02, 2018 Filed Oct 3, 2018 21:49 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 14,777 | $0.00 Strike: $74.77 | $0.00 |
DisclosureSEC source: 0000018230-18-000271 · wf-form4_153860334328631.xml · derivative · entry 12 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,777 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. F6 · 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 |
| October 02, 2018 Filed Oct 3, 2018 21:49 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 4,330 | $0.00 Strike: $110.09 | $0.00 |
DisclosureSEC source: 0000018230-18-000271 · wf-form4_153860334328631.xml · derivative · entry 11 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,330 shares Expires 2022-03-05 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| October 02, 2018 Filed Oct 3, 2018 21:49 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 14,777 | $155.00 | $2,290,435.00 |
DisclosureSEC source: 0000018230-18-000271 · wf-form4_153860334328631.xml · nonDerivative · entry 7 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,882 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 plan adopted by the reporting person on August 29, 2018. Read SEC document |
| October 02, 2018 Filed Oct 3, 2018 21:49 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 14,777 | $74.77 | $1,104,876.29 |
DisclosureSEC source: 0000018230-18-000271 · wf-form4_153860334328631.xml · nonDerivative · entry 6 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,659 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| October 02, 2018 Filed Oct 3, 2018 21:49 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 4,330 | $155.00 | $671,150.00 |
DisclosureSEC source: 0000018230-18-000271 · wf-form4_153860334328631.xml · nonDerivative · entry 5 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,882 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 plan adopted by the reporting person on August 29, 2018. Read SEC document |
| October 02, 2018 Filed Oct 3, 2018 21:49 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 4,330 | $110.09 | $476,689.70 |
DisclosureSEC source: 0000018230-18-000271 · wf-form4_153860334328631.xml · nonDerivative · entry 4 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,212 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 01, 2018 Filed Oct 3, 2018 21:49 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 15,944 | $0.00 Strike: $83.00 | $0.00 |
DisclosureSEC source: 0000018230-18-000271 · wf-form4_153860334328631.xml · derivative · entry 10 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 15,944 shares Expires 2025-03-02 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · 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 |
| October 01, 2018 Filed Oct 3, 2018 21:49 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 1,500 | $152.69 | $229,035.00 |
DisclosureSEC source: 0000018230-18-000271 · wf-form4_153860334328631.xml · nonDerivative · entry 3 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,882 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 plan adopted by the reporting person on August 29, 2018. F3 · price: The sale price reported in Column 4 is a weighted average sale price. The corresponding shares were sold in multiple transactions at prices ranging from $152.65 to $152.74, inclusive. The reporting person undertakes to provide Caterpillar Inc., and any security holder of Caterpillar Inc., or the staff of the Securities and Exchange Commission, upon request, information regarding the number of shares sold at each price within the range. Read SEC document |
| October 01, 2018 Filed Oct 3, 2018 21:49 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 14,444 | $153.25 | $2,213,543.00 |
DisclosureSEC source: 0000018230-18-000271 · wf-form4_153860334328631.xml · nonDerivative · entry 2 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,382 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 plan adopted by the reporting person on August 29, 2018. F2 · price: The sale price reported in Column 4 is a weighted average sale price. The corresponding shares were sold in multiple transactions at prices ranging from $152.77 to $153.75, inclusive. The reporting person undertakes to provide Caterpillar Inc., and any security holder of Caterpillar Inc., or the staff of the Securities and Exchange Commission, upon request, information regarding the number of shares sold at each price within the range. Read SEC document |
| October 01, 2018 Filed Oct 3, 2018 21:49 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 15,944 | $83.00 | $1,323,352.00 |
DisclosureSEC source: 0000018230-18-000271 · wf-form4_153860334328631.xml · nonDerivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,826 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| September 26, 2018 Filed Sep 28, 2018 21:19 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 74 | $153.17 | $11,334.58 |
DisclosureSEC source: 0000018230-18-000255 · wf-form4_153816955982110.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,251 Underlying: Common Stock · 74 shares Expires not disclosed F1 · derivative.exercise_price: Each Phantom Stock unit is the economic equivalent to one share of Caterpillar Inc. common stock. F2 · shares: This total includes 49 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $153.17 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 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 |
| August 24, 2018 Filed Aug 27, 2018 18:40 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 82 | $138.21 | $11,333.22 |
DisclosureSEC source: 0000018230-18-000235 · wf-form4_153539522305433.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,177 Underlying: Common Stock · 82 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 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 $138.21 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 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, 2018 Filed Jul 30, 2018 18:25 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 80 | $142.58 | $11,406.40 |
DisclosureSEC source: 0000018230-18-000222 · wf-form4_153297513666665.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,095 Underlying: Common Stock · 80 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 52 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $142.58 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 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, 2018 Filed Jun 27, 2018 19:29 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock · Derivative | 84 | $135.54 | $11,385.36 |
DisclosureSEC source: 0000018230-18-000188 · wf-form4_153012772509284.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,015 Underlying: Common Stock · 84 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 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 $135.54 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 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 25, 2018 Filed May 29, 2018 20:58 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 40 | $155.85 | $6,234.00 |
DisclosureSEC source: 0000018230-18-000156 · wf-form4_152762744185414.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,931 Underlying: Common Stock · 40 shares Expires not disclosed F1 · derivative.exercise_price: Each Phantom Stock unit is equivalent to one share of Caterpillar Inc. common stock. F2 · shares: This total includes 32 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $155.85 and 8 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 14, 2018 Filed May 15, 2018 16:51 UTC | MOSAIC CO MOS · Entity 3647 | Exercise / conversionRestricted Stock Units · Derivative | 3,402 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001243786-18-000104 · wf-form4_152640304661228.xml · derivative · entry 3 Johnson Denise C · CIK 0001608229 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,402 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 2016 Annual Meeting of Stockholders. Vested shares will be delivered to the reporting person on May 14, 2018. F3 · derivative.expiration_date: Not Applicable Read SEC document |
| May 14, 2018 Filed May 15, 2018 16:51 UTC | MOSAIC CO MOS · Entity 3647 | Exercise / conversionCommon Stock | 3,402 | $0.00 | $0.00 |
DisclosureSEC source: 0001243786-18-000104 · wf-form4_152640304661228.xml · nonDerivative · entry 1 Johnson Denise C · CIK 0001608229 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,546 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 10, 2018 Filed May 11, 2018 21:45 UTC | MOSAIC CO MOS · Entity 3647 | GrantRestricted Stock Units · Derivative | 5,497 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001243786-18-000086 · wf-form4_152607510061959.xml · derivative · entry 6 Johnson Denise C · CIK 0001608229 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,497 Underlying: Common Stock · 5,497 shares Expires not disclosed F2 · derivative.exercise_price: One-for-One F7 · derivative.exercise_date: The restricted stock units will vest on the date of the issuer's 2019 Annual Meeting of Stockholders. Vested shares will be delivered to the reporting person on May 10, 2021. F4 · derivative.expiration_date: Not Applicable Read SEC document |
| May 01, 2018 Filed May 3, 2018 22:14 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 126 | $142.37 | $17,938.62 |
DisclosureSEC source: 0000018230-18-000141 · wf-form4_152538566303136.xml · nonDerivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,882 F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligations arising from the vesting of restricted stock units granted on 5/1/2014, of which one-third vested on 5/1/2018. Read SEC document |
| April 26, 2018 Filed Apr 30, 2018 22:38 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 28 | $146.31 | $4,096.68 |
DisclosureSEC source: 0000018230-18-000133 · wf-form4_152512784322697.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,891 Underlying: Common Stock · 28 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 26 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $146.31 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, 2018 Filed Mar 27, 2018 19:33 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 26 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-18-000110 · wf-form4_152217920605287.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,863 Underlying: Common Stock · 26 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 24 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $149.19 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 12, 2018 Filed Mar 13, 2018 21:34 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 2,293 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-18-000107 · wf-form4_152097682303188.xml · derivative · entry 2 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,837 Underlying: Common Stock · 2,293 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F3 · shares: This total includes 1911 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $154.50 and 382 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F2 · 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. F2 · 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 09, 2018 Filed Mar 13, 2018 21:34 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 125 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-18-000107 · wf-form4_152097682303188.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,544 Underlying: Common Stock · 125 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 · 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. F2 · 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 05, 2018 Filed Mar 8, 2018 00:03 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Option · Derivative | 56,290 | $0.00 Strike: $151.12 | $0.00 |
DisclosureSEC source: 0000018230-18-000089 · wf-form4_152046741002391.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,290 Underlying: Common Stock · 56,290 shares Expires 2028-03-05 F1 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan and vest equally in 1/3 increments beginning on the first anniversary of the grant date. Read SEC document |
| February 26, 2018 Filed Feb 28, 2018 00:21 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 23 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-18-000056 · wf-form4_151977724883764.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,419 Underlying: Common Stock · 23 shares Expires not disclosed F1 · derivative.exercise_price: Each Phantom Stock unit is equivalent to one share of Caterpillar Inc. common stock. F2 · shares: This total includes 22 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $163.69 and 1 share that was 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 |
| January 26, 2018 Filed Jan 29, 2018 22:33 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 23 | $167.06 | $3,842.38 |
DisclosureSEC source: 0000018230-18-000030 · wf-form4_151726520966585.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,396 Underlying: Common Stock · 23 shares Expires not disclosed F1 · derivative.exercise_price: Each Phantom Stock unit is equivalent to one share of Caterpillar Inc. common stock. F2 · shares: This total includes 22 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $167.06 and 1 share that was 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 |
| December 26, 2017 Filed Dec 28, 2017 01:50 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 68 | $156.44 | $10,637.92 |
DisclosureSEC source: 0000018230-17-000321 · wf-form4_151442584040803.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,373 Underlying: Common Stock · 68 shares Expires not disclosed F1 · derivative.exercise_price: Each Phantom Stock unit is equivalent to one share of Caterpillar Inc. common stock. F2 · shares: This total includes 45 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $156.44 and 23 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 |
| November 24, 2017 Filed Nov 28, 2017 22:40 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 78 | $137.39 | $10,716.42 |
DisclosureSEC source: 0000018230-17-000312 · wf-form4_151190880207283.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,305 Underlying: Common Stock · 78 shares Expires not disclosed F1 · derivative.exercise_price: Each Phantom Stock unit is equivalent to one share of Caterpillar Inc. common stock. F2 · shares: This total includes 51 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $137.39 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 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 |
| October 26, 2017 Filed Oct 30, 2017 21:09 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 79 | $136.94 | $10,818.26 |
DisclosureSEC source: 0000018230-17-000301 · edgar.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,227 Underlying: Common Stock · 79 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 52 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $136.94 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 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 |
| September 29, 2017 Filed Oct 3, 2017 18:14 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 87 | $124.71 | $10,849.77 |
DisclosureSEC source: 0001104659-17-060504 · a4.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,148 Underlying: Common Stock · 87 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 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 $124.71 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 retirment 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 retirment or separation from service. Read SEC document |
| August 31, 2017 Filed Sep 5, 2017 20:52 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 91 | $117.49 | $10,691.59 |
DisclosureSEC source: 0000018230-17-000269 · edgar.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,061 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 $117.49 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 retirment 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 retirment or separation from service. Read SEC document |
| July 31, 2017 Filed Aug 2, 2017 19:18 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 94 | $113.95 | $10,711.30 |
DisclosureSEC source: 0000018230-17-000248 · edgar.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,970 Underlying: Common Stock · 94 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 62 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $113.95 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 retirment 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 retirment or separation from service. Read SEC document |
| July 27, 2017 Filed Aug 1, 2017 00:02 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 14,778 | $0.00 Strike: $74.77 | $0.00 |
DisclosureSEC source: 0000018230-17-000233 · edgar.xml · derivative · entry 14 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,554 Underlying: Common Stock · 14,788 shares Expires 2026-03-07 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: Stock options vest equally in 1/3 increments beginning on the first anniversay of the grant date. Read SEC document |
| July 27, 2017 Filed Aug 1, 2017 00:02 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 31,888 | $0.00 Strike: $83.00 | $0.00 |
DisclosureSEC source: 0000018230-17-000233 · edgar.xml · derivative · entry 13 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,944 Underlying: Common Stock · 31,888 shares Expires 2025-03-02 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: Stock options vest equally in 1/3 increments beginning on the first anniversay of the grant date. Read SEC document |
| July 27, 2017 Filed Aug 1, 2017 00:02 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 25,152 | $0.00 Strike: $96.31 | $0.00 |
DisclosureSEC source: 0000018230-17-000233 · edgar.xml · derivative · entry 12 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 25,152 shares Expires 2024-03-03 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| July 27, 2017 Filed Aug 1, 2017 00:02 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 17,141 | $0.00 Strike: $89.75 | $0.00 |
DisclosureSEC source: 0000018230-17-000233 · edgar.xml · derivative · entry 11 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 17,141 shares Expires 2023-03-04 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| July 27, 2017 Filed Aug 1, 2017 00:02 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 14,788 | $114.02 | $1,686,127.76 |
DisclosureSEC source: 0000018230-17-000233 · edgar.xml · nonDerivative · entry 8 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,008 F1 · price: The sale price reported in Column 4 is a weighted average sale price. The corresponding shares were sold in multiple transactions at prices ranging from $113.815 to $114.10, inclusive. The reporting person undertakes to provide Caterpillar Inc., any security holder of Caterpillar Inc., or the staff of the Securities and Exchange Commission, upon request, full information. Read SEC document |
| July 27, 2017 Filed Aug 1, 2017 00:02 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 14,778 | $74.77 | $1,104,951.06 |
DisclosureSEC source: 0000018230-17-000233 · edgar.xml · nonDerivative · entry 7 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,786 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 27, 2017 Filed Aug 1, 2017 00:02 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 31,888 | $144.02 | $4,592,509.76 |
DisclosureSEC source: 0000018230-17-000233 · edgar.xml · nonDerivative · entry 6 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,008 F1 · price: The sale price reported in Column 4 is a weighted average sale price. The corresponding shares were sold in multiple transactions at prices ranging from $113.815 to $114.10, inclusive. The reporting person undertakes to provide Caterpillar Inc., any security holder of Caterpillar Inc., or the staff of the Securities and Exchange Commission, upon request, full information. Read SEC document |
| July 27, 2017 Filed Aug 1, 2017 00:02 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 31,888 | $83.00 | $2,646,704.00 |
DisclosureSEC source: 0000018230-17-000233 · edgar.xml · nonDerivative · entry 5 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,896 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 27, 2017 Filed Aug 1, 2017 00:02 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 25,152 | $114.02 | $2,867,831.04 |
DisclosureSEC source: 0000018230-17-000233 · edgar.xml · nonDerivative · entry 4 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,008 F1 · price: The sale price reported in Column 4 is a weighted average sale price. The corresponding shares were sold in multiple transactions at prices ranging from $113.815 to $114.10, inclusive. The reporting person undertakes to provide Caterpillar Inc., any security holder of Caterpillar Inc., or the staff of the Securities and Exchange Commission, upon request, full information. Read SEC document |
| July 27, 2017 Filed Aug 1, 2017 00:02 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 25,152 | $96.31 | $2,422,389.12 |
DisclosureSEC source: 0000018230-17-000233 · edgar.xml · nonDerivative · entry 3 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,160 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| July 27, 2017 Filed Aug 1, 2017 00:02 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 17,141 | $114.02 | $1,954,416.82 |
DisclosureSEC source: 0000018230-17-000233 · edgar.xml · nonDerivative · entry 2 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,008 F1 · price: The sale price reported in Column 4 is a weighted average sale price. The corresponding shares were sold in multiple transactions at prices ranging from $113.815 to $114.10, inclusive. The reporting person undertakes to provide Caterpillar Inc., any security holder of Caterpillar Inc., or the staff of the Securities and Exchange Commission, upon request, full information. Read SEC document |
| July 27, 2017 Filed Aug 1, 2017 00:02 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 17,141 | $89.75 | $1,538,404.75 |
DisclosureSEC source: 0000018230-17-000233 · edgar.xml · nonDerivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,149 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 |
| June 30, 2017 Filed Jul 5, 2017 16:40 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 100 | $107.46 | $10,746.00 |
DisclosureSEC source: 0000018230-17-000221 · edgar.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,876 Underlying: Common Stock · 100 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 66 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $107.46 and 34 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 retirment 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 retirment or separation from service. 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.