Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CATERPILLAR INCCAT · Entity 2808 | Group President | May 14, 2026 | May 15, 2026 |
| MOSAIC COMOS · Entity 3647 | Director | May 25, 2023 | May 26, 2023 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
CATERPILLAR INC
Report date May 14, 2026 · Filed May 15, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 49,825 |
Ending reported balance
After 2026-05-14 transaction · row 10
10 source rows · reconciled sequenceRow 1 · 2026-05-14 · Exercise / conversion · Acquired 16,078 · Balance 65,903 Row 2 · 2026-05-14 · Tax withholding · Disposed 3,473 · Balance 62,430 Row 3 · 2026-05-14 · Sale · Disposed 1,787 · Balance 60,643 F1: This transaction was executed in multiple trades at prices ranging from $904.25 to $905.22. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Row 4 · 2026-05-14 · Sale · Disposed 2,259 · Balance 58,384 F2: This transaction was executed in multiple trades at prices ranging from $905.25 to $906.20. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Row 5 · 2026-05-14 · Sale · Disposed 1,491 · Balance 56,893 F3: This transaction was executed in multiple trades at prices ranging from $906.25 to $907.22. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected Row 6 · 2026-05-14 · Sale · Disposed 1,191 · Balance 55,702 F4: This transaction was executed in multiple trades at prices ranging from $907.26 to $908.24. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected Row 7 · 2026-05-14 · Sale · Disposed 2,302 · Balance 53,400 F5: This transaction was executed in multiple trades at prices ranging from $908.27 to $909.25. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected Row 8 · 2026-05-14 · Sale · Disposed 1,568 · Balance 51,832 F6: This transaction was executed in multiple trades at prices ranging from $909.46 to $910.45. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected Row 9 · 2026-05-14 · Sale · Disposed 402 · Balance 51,430 F7: This transaction was executed in multiple trades at prices ranging from $910.62 to $910.89. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected Row 10 · 2026-05-14 · Sale · Disposed 1,605 · Balance 49,825 F8: This transaction was executed in multiple trades at prices ranging from $911.76 to $911.96. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected |
| Employee Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $196.70 · Expires 2032-03-07 | Direct | 0 |
Reported balance
After 2026-05-14 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2026-05-14 · Exercise / conversion · Disposed 16,078 · Balance 0 F9: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 7, 2022 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. |
Filing footnotes · ownership attribution and instrument terms
F1: This transaction was executed in multiple trades at prices ranging from $904.25 to $905.22. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
F2: This transaction was executed in multiple trades at prices ranging from $905.25 to $906.20. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
F3: This transaction was executed in multiple trades at prices ranging from $906.25 to $907.22. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected
F4: This transaction was executed in multiple trades at prices ranging from $907.26 to $908.24. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected
F5: This transaction was executed in multiple trades at prices ranging from $908.27 to $909.25. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected
F6: This transaction was executed in multiple trades at prices ranging from $909.46 to $910.45. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected
F7: This transaction was executed in multiple trades at prices ranging from $910.62 to $910.89. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected
F8: This transaction was executed in multiple trades at prices ranging from $911.76 to $911.96. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected
F9: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 7, 2022 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.
MOSAIC CO
Report date May 25, 2023 · Filed May 26, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 20,296 |
Reported balance
After 2023-05-25 transaction · row 1
1 source rowRow 1 · 2023-05-25 · Exercise / conversion · Acquired 2,575 · Balance 20,296 |
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 0 |
Reported balance
After 2023-05-25 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2023-05-25 · Exercise / conversion · Disposed 2,575 · Balance 0 F1: One-for-One F4: The restricted stock units will vest and be paid to the reporting person on the later of (i) the date of the issuer's 2023 Annual Meeting of Stockholders; or (ii) the date that is at 50 weeks after the issuer's immediately preceding year's annual meeting. F3: Not Applicable |
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 4,609 |
Reported balance
After 2023-05-25 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2023-05-25 · Grant · Acquired 4,609 · Balance 4,609 F1: One-for-One F5: The restricted stock units will vest and be paid to the reporting person on the date of the issuer's 2024 Annual Meeting of Stockholders. F3: Not Applicable |
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 4,435 |
Reported balance
Holding disclosure · report date 2023-05-25 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance 4,435 F1: One-for-One F2: The restricted stock units vested on the date of the issuer's 2022 Annual Meeting of Stockholders. Vested shares will be delivered to the reporting person on May 20, 2024. F3: Not Applicable |
| Common StockSEC Table I · non-derivative | IndirectSEP IRA | 1,578 |
Reported balance
Holding disclosure · report date 2023-05-25 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 1,578 |
Filing footnotes · ownership attribution and instrument terms
F1: One-for-One
F2: The restricted stock units vested on the date of the issuer's 2022 Annual Meeting of Stockholders. Vested shares will be delivered to the reporting person on May 20, 2024.
F3: Not Applicable
F4: The restricted stock units will vest and be paid to the reporting person on the later of (i) the date of the issuer's 2023 Annual Meeting of Stockholders; or (ii) the date that is at 50 weeks after the issuer's immediately preceding year's annual meeting.
F5: The restricted stock units will vest and be paid to the reporting person on the date of the issuer's 2024 Annual Meeting of Stockholders.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| May 31, 2017 Filed Jun 1, 2017 19:15 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 37 | $105.43 | $3,900.91 |
DisclosureSEC source: 0000018230-17-000168 · edgar.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,776 Underlying: Common Stock · 37 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 35 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $105.43 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 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 |
| May 18, 2017 Filed May 22, 2017 14:23 UTC | MOSAIC CO MOS · Entity 3647 | GrantRestricted Stock Units · Derivative | 6,346 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001243786-17-000127 · wf-form4_149546302378802.xml · derivative · entry 5 Johnson Denise C · CIK 0001608229 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,346 Underlying: Common Stock · 6,346 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 2018 Annual Meeting of Stockholders. Vested shares will be delivered to the reporting person on May 18, 2020. F3 · derivative.expiration_date: Not Applicable Read SEC document |
| May 15, 2017 Filed May 17, 2017 16:44 UTC | MOSAIC CO MOS · Entity 3647 | Exercise / conversionRestricted Stock Units · Derivative | 3,144 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001243786-17-000094 · wf-form4_149503947931523.xml · derivative · entry 3 Johnson Denise C · CIK 0001608229 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,144 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 May 14, 2015. Vested shares were delivered to the reporting person on May 15, 2017. F3 · derivative.expiration_date: Not Applicable Read SEC document |
| May 15, 2017 Filed May 17, 2017 16:44 UTC | MOSAIC CO MOS · Entity 3647 | Exercise / conversionCommon Stock | 3,144 | $0.00 | $0.00 |
DisclosureSEC source: 0001243786-17-000094 · wf-form4_149503947931523.xml · nonDerivative · entry 1 Johnson Denise C · CIK 0001608229 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,919 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 05, 2017 Filed May 5, 2017 21:05 UTC | MOSAIC CO MOS · Entity 3647 | PurchaseCommon Stock | 803 | $23.58 | $18,933.05 |
DisclosureSEC source: 0001243786-17-000075 · wf-form4_149401828557755.xml · nonDerivative · entry 1 Johnson Denise C · CIK 0001608229 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · SEP IRA Disclosed balance after: 803 Read SEC document |
| May 01, 2017 Filed May 3, 2017 22:40 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 89 | $102.20 | $9,095.80 |
DisclosureSEC source: 0000018230-17-000153 · edgar.xml · nonDerivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,008 F1 · shares: Represents shares withheld from the reporting person solely to satisfy tax obligations arising from the vesting of restricted stock units granted on 5/01/14, of which one-third vested on 05/01/2017. F2 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| April 28, 2017 Filed May 1, 2017 21:13 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 38 | $102.26 | $3,885.88 |
DisclosureSEC source: 0000018230-17-000140 · edgar.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,739 Underlying: Common Stock · 38 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 36 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $102.26 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 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 |
| March 31, 2017 Filed Apr 3, 2017 22:17 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 38 | $92.76 | $3,524.88 |
DisclosureSEC source: 0000018230-17-000107 · edgar.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,701 Underlying: Common Stock · 38 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 36 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $92.76 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 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 |
| March 10, 2017 Filed Mar 14, 2017 21:17 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 198 | $92.31 | $18,277.38 |
DisclosureSEC source: 0000018230-17-000092 · edgar.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,352 Underlying: Common Stock · 198 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 165 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $92.31 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 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 |
| March 10, 2017 Filed Mar 17, 2017 18:59 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 311 | $92.31 | $28,708.41 |
DisclosureSEC source: 0000018230-17-000100 · edgar.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,663 Underlying: Common Stock · 311 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 Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirment or separation from service. F2 · derivative.expiration_date: The phantom stock units were acquired under the Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirment or separation from service. Read SEC document |
| March 06, 2017 Filed Mar 9, 2017 02:17 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Option · Derivative | 103,489 | $0.00 Strike: $95.66 | $0.00 |
DisclosureSEC source: 0001104659-17-015284 · a4.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 103,489 Underlying: Common Stock · 103,489 shares Expires 2027-03-06 F1 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan and vest equally in 1/3 increments beginning on the first anniversary of the grant date. Read SEC document |
| February 28, 2017 Filed Mar 1, 2017 22:36 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 36 | $96.66 | $3,479.76 |
DisclosureSEC source: 0000018230-17-000058 · edgar.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,154 Underlying: Common Stock · 36 shares Expires not disclosed F1 · derivative.exercise_price: Each phatom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · 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 $96.66 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 |
| January 31, 2017 Filed Feb 1, 2017 23:53 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 37 | $95.66 | $3,539.42 |
DisclosureSEC source: 0000018230-17-000036 · edgar.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,118 Underlying: Common Stock · 37 shares Expires not disclosed F1 · derivative.exercise_price: Each phatom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 35 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $95.66 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 |
| December 30, 2016 Filed Jan 4, 2017 21:55 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 106 | $92.74 | $9,830.44 |
DisclosureSEC source: 0000018230-17-000021 · edgar.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,081 Underlying: Common Stock · 106 shares Expires not disclosed F1 · derivative.exercise_price: Each phatom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · 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 $92.74 and 36 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 30, 2016 Filed Dec 1, 2016 22:28 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 103 | $95.56 | $9,842.68 |
DisclosureSEC source: 0000018230-16-000746 · edgar.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,975 Underlying: Common Stock · 103 shares Expires not disclosed F1 · derivative.exercise_price: Each phatom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 68 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $95.56 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 |
| October 31, 2016 Filed Nov 1, 2016 21:15 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 116 | $83.46 | $9,681.36 |
DisclosureSEC source: 0000018230-16-000709 · edgar.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,872 Underlying: Common Stock · 116 shares Expires not disclosed F1 · derivative.exercise_price: Each phatom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 77 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $83.46 and 39 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 30, 2016 Filed Oct 4, 2016 21:55 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 109 | $88.77 | $9,675.93 |
DisclosureSEC source: 0000018230-16-000677 · edgar.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,756 Underlying: Common Stock · 109 shares Expires not disclosed F1 · derivative.exercise_price: Each phatom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 72 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $88.77 and 37 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 01, 2016 Filed Sep 6, 2016 22:40 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 285 | $81.29 | $23,167.65 |
DisclosureSEC source: 0000018230-16-000653 · edgar.xml · nonDerivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,682 F1 · shares: Represents shares withheld from the reporting person solely to satisfy tax obligations arising from the vesting of restricted stock units granted on 09/01/2011. Read SEC document |
| August 31, 2016 Filed Sep 2, 2016 15:41 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 118 | $81.95 | $9,670.10 |
DisclosureSEC source: 0000018230-16-000646 · edgar.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,647 Underlying: Common Stock · 118 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 78 shares that were credited to the reporting person's account under the Caterpillar Inc. Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $81.95and 40 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 29, 2016 Filed Aug 2, 2016 21:51 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 118 | $82.76 | $9,765.68 |
DisclosureSEC source: 0000018230-16-000618 · edgar.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,529 Underlying: Common Stock · 118 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 78 shares that were credited to the reporting person's account under the Caterpillar Inc. Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $82.76 and 40 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 30, 2016 Filed Jul 1, 2016 20:28 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 53 | $75.81 | $4,017.93 |
DisclosureSEC source: 0000018230-16-000577 · edgar.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,411 Underlying: Common Stock · 53 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 47 shares that were credited to the reporting person's account under the Caterpillar Inc. Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $75.81 and 6 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 31, 2016 Filed Jun 2, 2016 20:56 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 49 | $72.51 | $3,552.99 |
DisclosureSEC source: 0000018230-16-000540 · edgar.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 128 Underlying: Common Stock · 49 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 46 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $72.51and 3 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 |
| April 29, 2016 Filed May 3, 2016 23:39 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 46 | $77.72 | $3,575.12 |
DisclosureSEC source: 0000018230-16-000520 · edgar.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 79 Underlying: Common Stock · 46 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 43 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $77.72 and 3 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 31, 2016 Filed Apr 4, 2016 22:10 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 33 | $76.54 | $2,525.82 |
DisclosureSEC source: 0000018230-16-000495 · edgar.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33 Underlying: Common Stock · 33 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 31 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") at a price per share of $76.54 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 07, 2016 Filed Mar 9, 2016 19:19 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Optionj · Derivative | 44,332 | $0.00 Strike: $74.77 | $0.00 |
DisclosureSEC source: 0000018230-16-000432 · edgar.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,332 Underlying: Common Stock · 44,332 shares Expires 2026-03-07 F1 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan and vest equally in 1/3 increments beginning on the first anniversary of the grant date. Read SEC document |
| March 04, 2016 Filed Jun 17, 2016 20:13 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 2,152 | $72.84 | $156,751.68 |
DisclosureSEC source: 0000018230-16-000555 · edgar.xml · derivative · entry 3 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,358 Underlying: Common Stock · 2,152 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 · date: Inadvertently filed late due to an administrative error. F6 · shares: This total includes1850 shares that were credited to the reporting person's account under the Plan at a price per share of $72.84 and 302 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F4 · 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. F4 · 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 29, 2016 Filed Jun 17, 2016 20:13 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 37 | $67.70 | $2,504.90 |
DisclosureSEC source: 0000018230-16-000555 · edgar.xml · derivative · entry 2 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 206 Underlying: Common Stock · 37 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 · date: Inadvertently filed late due to an administrative error. F5 · shares: This total includes 35 shares that were credited to the reporting person's account under the Plan at a price per share of $67.70 and 2 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F4 · 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. F4 · 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, 2016 Filed Feb 17, 2016 22:17 UTC | CATERPILLAR INC CAT · Entity 2808 | PurchaseCommon Stock | 900 | $62.20 | $55,980.00 |
DisclosureSEC source: 0000018230-16-000414 · edgar.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: 900 Read SEC document |
| February 12, 2016 Filed Feb 17, 2016 22:17 UTC | CATERPILLAR INC CAT · Entity 2808 | PurchaseCommon Stock | 2,600 | $62.20 | $161,720.00 |
DisclosureSEC source: 0000018230-16-000414 · edgar.xml · nonDerivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,967 Read SEC document |
| January 29, 2016 Filed Jun 17, 2016 20:13 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 41 | $62.24 | $2,551.84 |
DisclosureSEC source: 0000018230-16-000555 · edgar.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 169 Underlying: Common Stock · 41 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 · date: Inadvertently filed late due to an administrative error. F3 · shares: This total includes 39 shares that were credited to the reporting person's account under the Caterpillar Inc. Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $62.24 and 2 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F4 · 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. F4 · 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.