Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CATERPILLAR INCCAT · Entity 2808 | Group President | May 11, 2026 | May 12, 2026 |
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 11, 2026 · Filed May 12, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 46,041 |
Ending reported balance
After 2026-05-11 transaction · row 4
4 source rows · reconciled sequenceRow 1 · 2026-05-11 · Exercise / conversion · Acquired 21,403 · Balance 67,444 Row 2 · 2026-05-11 · Tax withholding · Disposed 5,120 · Balance 62,324 Row 3 · 2026-05-11 · Sale · Disposed 15,440 · Balance 46,884 F1: This transaction was executed in multiple trades at prices ranging from $916.39 to $917.31. 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 · 2026-05-11 · Sale · Disposed 843 · Balance 46,041 F2: This transaction was executed in multiple trades at prices ranging from $917.40 to $917.79. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. |
| Employee Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $219.76 · Expires 2031-03-01 | Direct | 0 |
Reported balance
After 2026-05-11 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2026-05-11 · Exercise / conversion · Disposed 21,403 · Balance 0 F4: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 1, 2021 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. |
| Common StockSEC Table I · non-derivative | IndirectHeld by 401(k) plan | 1,508 |
Reported balance
Holding disclosure · report date 2026-05-11 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 1,508 F3: The information in this report is based on a 401(k) plan statement dated as of April 30, 2026. |
Filing footnotes · ownership attribution and instrument terms
F1: This transaction was executed in multiple trades at prices ranging from $916.39 to $917.31. 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 $917.40 to $917.79. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
F3: The information in this report is based on a 401(k) plan statement dated as of April 30, 2026.
F4: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 1, 2021 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| March 04, 2024 Filed Mar 6, 2024 17:25 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 2,731 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-24-031373 · tm248078-9_4seq1.xml · nonDerivative · entry 1 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 33,120 Read SEC document |
| February 28, 2024 Filed Feb 29, 2024 19:35 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 7,881 | $138.35 Strike: $138.35 | $1,090,336.35 |
DisclosureSEC source: 0001104659-24-029307 · tm247306-4_4seq1.xml · derivative · entry 5 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,881 shares Expires 2029-03-04 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 4, 2019 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| February 28, 2024 Filed Feb 29, 2024 19:35 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 4,575 | $329.80 | $1,508,835.00 |
DisclosureSEC source: 0001104659-24-029307 · tm247306-4_4seq1.xml · nonDerivative · entry 3 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 23,474 Read SEC document |
| February 28, 2024 Filed Feb 29, 2024 19:35 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 3,306 | $329.73 | $1,090,087.38 |
DisclosureSEC source: 0001104659-24-029307 · tm247306-4_4seq1.xml · nonDerivative · entry 2 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 28,049 Read SEC document |
| February 28, 2024 Filed Feb 29, 2024 19:35 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 7,881 | $138.35 | $1,090,336.35 |
DisclosureSEC source: 0001104659-24-029307 · tm247306-4_4seq1.xml · nonDerivative · entry 1 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 31,355 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| February 22, 2024 Filed Feb 23, 2024 20:47 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 7,880 | $138.35 Strike: $138.35 | $1,090,198.00 |
DisclosureSEC source: 0001104659-24-026998 · tm247117-1_4seq1.xml · derivative · entry 5 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 7,881 Underlying: Common Stock · 7,880 shares Expires 2029-03-04 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 4, 2019 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| February 22, 2024 Filed Feb 23, 2024 20:47 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 4,494 | $321.96 | $1,446,888.24 |
DisclosureSEC source: 0001104659-24-026998 · tm247117-1_4seq1.xml · nonDerivative · entry 3 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 30,389 Read SEC document |
| February 22, 2024 Filed Feb 23, 2024 20:47 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 3,386 | $321.95 | $1,090,122.70 |
DisclosureSEC source: 0001104659-24-026998 · tm247117-1_4seq1.xml · nonDerivative · entry 2 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 34,883 Read SEC document |
| February 22, 2024 Filed Feb 23, 2024 20:47 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 7,880 | $138.35 | $1,090,198.00 |
DisclosureSEC source: 0001104659-24-026998 · tm247117-1_4seq1.xml · nonDerivative · entry 1 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 38,269 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 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| February 15, 2024 Filed Feb 16, 2024 20:53 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 14,073 | $151.12 Strike: $151.12 | $2,126,711.76 |
DisclosureSEC source: 0001104659-24-024881 · tm246539-1_4seq1.xml · derivative · entry 5 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 14,073 shares Expires 2028-03-05 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. F2 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 5, 2018 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| February 15, 2024 Filed Feb 16, 2024 20:53 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 7,469 | $322.00 | $2,405,018.00 |
DisclosureSEC source: 0001104659-24-024881 · tm246539-1_4seq1.xml · nonDerivative · entry 3 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 30,361 Read SEC document |
| February 15, 2024 Filed Feb 16, 2024 20:53 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 6,604 | $322.00 | $2,126,488.00 |
DisclosureSEC source: 0001104659-24-024881 · tm246539-1_4seq1.xml · nonDerivative · entry 2 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 37,830 Read SEC document |
| February 15, 2024 Filed Feb 16, 2024 20:53 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 14,073 | $151.12 | $2,126,711.76 |
DisclosureSEC source: 0001104659-24-024881 · tm246539-1_4seq1.xml · nonDerivative · entry 1 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 44,434 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| February 13, 2024 Filed Feb 15, 2024 11:04 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 4,830 | $313.40 | $1,513,722.00 |
DisclosureSEC source: 0001104659-24-024303 · tm245322-8_4seq1.xml · nonDerivative · entry 2 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 30,361 F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of performance-based stock units granted March 1, 2021. Read SEC document |
| February 13, 2024 Filed Feb 15, 2024 11:04 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 12,039 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-24-024303 · tm245322-8_4seq1.xml · nonDerivative · entry 1 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 35,191 Read SEC document |
| January 12, 2024 Filed Jan 16, 2024 22:25 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 6,887 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-24-004176 · tm243443-3_4seq1.xml · nonDerivative · entry 1 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 23,152 F1 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| August 30, 2023 Filed Aug 31, 2023 16:56 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 4,141 | $95.66 Strike: $95.66 | $396,128.06 |
DisclosureSEC source: 0001104659-23-097179 · tm2324987-3_4seq1.xml · derivative · entry 12 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,141 shares Expires 2027-03-06 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 6, 2017 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| August 30, 2023 Filed Aug 31, 2023 16:56 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 2,740 | $282.57 | $774,241.80 |
DisclosureSEC source: 0001104659-23-097179 · tm2324987-3_4seq1.xml · nonDerivative · entry 9 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 16,182 Read SEC document |
| August 30, 2023 Filed Aug 31, 2023 16:56 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 1,401 | $282.57 | $395,880.57 |
DisclosureSEC source: 0001104659-23-097179 · tm2324987-3_4seq1.xml · nonDerivative · entry 8 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 18,922 Read SEC document |
| August 30, 2023 Filed Aug 31, 2023 16:56 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 4,141 | $95.66 | $396,128.06 |
DisclosureSEC source: 0001104659-23-097179 · tm2324987-3_4seq1.xml · nonDerivative · entry 7 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 20,323 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| August 29, 2023 Filed Aug 31, 2023 16:56 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 1,447 | $95.66 Strike: $95.66 | $138,420.02 |
DisclosureSEC source: 0001104659-23-097179 · tm2324987-3_4seq1.xml · derivative · entry 11 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,141 Underlying: Common Stock · 1,447 shares Expires 2027-03-06 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 6, 2017 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| August 29, 2023 Filed Aug 31, 2023 16:56 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 2,693 | $74.77 Strike: $74.77 | $201,355.61 |
DisclosureSEC source: 0001104659-23-097179 · tm2324987-3_4seq1.xml · derivative · entry 10 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,693 shares Expires 2026-03-07 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 7, 2016 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| August 29, 2023 Filed Aug 31, 2023 16:56 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 951 | $279.00 | $265,329.00 |
DisclosureSEC source: 0001104659-23-097179 · tm2324987-3_4seq1.xml · nonDerivative · entry 6 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 16,182 Read SEC document |
| August 29, 2023 Filed Aug 31, 2023 16:56 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 496 | $279.00 | $138,384.00 |
DisclosureSEC source: 0001104659-23-097179 · tm2324987-3_4seq1.xml · nonDerivative · entry 5 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 17,133 Read SEC document |
| August 29, 2023 Filed Aug 31, 2023 16:56 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 1,447 | $95.66 | $138,420.02 |
DisclosureSEC source: 0001104659-23-097179 · tm2324987-3_4seq1.xml · nonDerivative · entry 4 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 17,629 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| August 29, 2023 Filed Aug 31, 2023 16:56 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 1,972 | $279.00 | $550,188.00 |
DisclosureSEC source: 0001104659-23-097179 · tm2324987-3_4seq1.xml · nonDerivative · entry 3 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 16,182 Read SEC document |
| August 29, 2023 Filed Aug 31, 2023 16:56 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 721 | $279.00 | $201,159.00 |
DisclosureSEC source: 0001104659-23-097179 · tm2324987-3_4seq1.xml · nonDerivative · entry 2 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 18,154 Read SEC document |
| August 29, 2023 Filed Aug 31, 2023 16:56 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 2,693 | $74.77 | $201,355.61 |
DisclosureSEC source: 0001104659-23-097179 · tm2324987-3_4seq1.xml · nonDerivative · entry 1 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 18,875 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 · balance_after: Includes adjustments for dividends accrued and an adjustment for previously unreported holdings of 1,150 shares. Read SEC document |
| March 06, 2023 Filed Mar 8, 2023 18:43 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Options · Derivative | 29,028 | $0.00 Strike: $253.98 | $0.00 |
DisclosureSEC source: 0001104659-23-030012 · tm238923-9_4seq1.xml · derivative · entry 1 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,028 Underlying: Common Stock · 29,028 shares Expires 2033-03-06 F1 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long Term Incentive Plan and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| February 07, 2023 Filed Feb 9, 2023 02:09 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 1,551 | $248.68 | $385,702.68 |
DisclosureSEC source: 0001104659-23-014716 · tm236025-7_4seq1.xml · nonDerivative · entry 2 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,955 F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of performance-based stock units granted March 2, 2020. Read SEC document |
| February 07, 2023 Filed Feb 9, 2023 02:09 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 4,801 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-23-014716 · tm236025-7_4seq1.xml · nonDerivative · entry 1 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,506 Read SEC document |
| March 07, 2022 Filed Mar 8, 2022 23:22 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Options · Derivative | 35,788 | $0.00 Strike: $196.70 | $0.00 |
DisclosureSEC source: 0000018230-22-000068 · wf-form4_164678171220210.xml · derivative · entry 1 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,788 Underlying: Common Stock · 35,788 shares Expires 2032-03-07 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 on the first, second and third anniversaries of the grant date. Read SEC document |
| February 08, 2022 Filed Feb 10, 2022 18:40 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 1,221 | $200.77 | $245,140.17 |
DisclosureSEC source: 0000018230-22-000033 · wf-form4_164451840800121.xml · nonDerivative · entry 2 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,705 F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligations arising from the vesting of performance-based restricted stock units granted on March 4, 2019. Read SEC document |
| February 08, 2022 Filed Feb 10, 2022 18:40 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 4,073 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-22-000033 · wf-form4_164451840800121.xml · nonDerivative · entry 1 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,926 Read SEC document |
| March 01, 2021 Filed Mar 3, 2021 01:57 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Options · Derivative | 44,403 | $0.00 Strike: $219.76 | $0.00 |
DisclosureSEC source: 0000018230-21-000084 · wf-form4_161473663403105.xml · derivative · entry 1 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,403 Underlying: Common Stock · 44,403 shares Expires 2031-03-01 F1 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| February 09, 2021 Filed Feb 11, 2021 20:41 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 1,080 | $196.78 | $212,522.40 |
DisclosureSEC source: 0000018230-21-000051 · wf-form4_161307607743961.xml · nonDerivative · entry 2 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,853 F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligations arising from the vesting of performance-based restricted stock units granted on March 5, 2018. Read SEC document |
| February 09, 2021 Filed Feb 11, 2021 20:41 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 3,565 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-21-000051 · wf-form4_161307607743961.xml · nonDerivative · entry 1 Fassino Anthony D. · CIK 0001839757 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,933 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.