Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| AGCO CORP /DEAGCO · Entity 3615 | Director | September 15, 2026 | September 16, 2026 |
| CATERPILLAR INCCAT · Entity 2808 | Group President | May 06, 2026 | May 07, 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.
AGCO CORP /DE
Report date September 15, 2026 · Filed September 16, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 18,721.545 |
Reported balance
After 2026-09-15 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2026-09-15 · Grant · Acquired 4.1509 · Balance 18,721.545 F1: Includes 452.5450 shares of Common Stock acquired by the reporting person as a result of participating in a Dividend Reinvestment Plan. |
Filing footnotes · ownership attribution and instrument terms
F1: Includes 452.5450 shares of Common Stock acquired by the reporting person as a result of participating in a Dividend Reinvestment Plan.
CATERPILLAR INC
Report date May 06, 2026 · Filed May 07, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 86,029 |
Ending reported balance
After 2026-05-06 transaction · row 4
4 source rows · reconciled sequenceRow 1 · 2026-05-06 · Exercise / conversion · Acquired 28,105 · Balance 114,134 Row 2 · 2026-05-06 · Tax withholding · Disposed 3,883 · Balance 110,251 Row 3 · 2026-05-06 · Sale · Disposed 14,470 · Balance 95,781 F1: This transaction was executed in multiple trades at prices ranging from $922.08 to $923.07. 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 · 2026-05-06 · Sale · Disposed 9,752 · Balance 86,029 F2: This transaction was executed in multiple trades at prices ranging from $923.08 to $924.02. 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 $127.60 · Expires 2030-03-02 | Direct | 28,105 |
Reported balance
After 2026-05-06 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2026-05-06 · Exercise / conversion · Disposed 28,105 · Balance 28,105 F3: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 2, 2020 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. |
Filing footnotes · ownership attribution and instrument terms
F1: This transaction was executed in multiple trades at prices ranging from $922.08 to $923.07. 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 $923.08 to $924.02. 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 stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 2, 2020 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.
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 |
|---|---|---|---|---|---|---|
| April 28, 2022 Filed May 2, 2022 21:11 UTC | AGCO CORP /DE AGCO · Entity 3615 | GrantCommon Stock | 1,296 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-026437 · doc4.xml · nonDerivative · entry 1 De Lange Bob · CIK 0001694342 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,309 F1 · acquired: These shares reflect an award under the AGCO Corporation 2006 Long-Term Incentive Plan. Read SEC document |
| April 21, 2022 Filed Apr 25, 2022 17:05 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 11,718 | $74.77 Strike: $74.77 | $876,154.86 |
DisclosureSEC source: 0000018230-22-000102 · wf-form4_165090631508089.xml · derivative · entry 3 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,717 Underlying: Common Stock · 11,718 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. F1 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 7, 2016 and vest equally in 1/3 increments on each of the first, second and third anniversaries of the grant date. Read SEC document |
| April 21, 2022 Filed Apr 25, 2022 17:05 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 11,718 | $237.25 | $2,780,095.50 |
DisclosureSEC source: 0000018230-22-000102 · wf-form4_165090631508089.xml · nonDerivative · entry 2 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,817 Read SEC document |
| April 21, 2022 Filed Apr 25, 2022 17:05 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 11,718 | $74.77 | $876,154.86 |
DisclosureSEC source: 0000018230-22-000102 · wf-form4_165090631508089.xml · nonDerivative · entry 1 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,535 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| March 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: 0000018230-22-000070 · wf-form4_164678175997511.xml · derivative · entry 1 De Lange Bob · CIK 0001694342 · 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 18:41 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 5,499 | $200.77 | $1,104,034.23 |
DisclosureSEC source: 0000018230-22-000035 · wf-form4_164451845119587.xml · nonDerivative · entry 2 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,817 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 18:41 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 12,413 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-22-000035 · wf-form4_164451845119587.xml · nonDerivative · entry 1 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,316 Read SEC document |
| January 07, 2022 Filed Jan 10, 2022 22:38 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 23,435 | $74.77 Strike: $74.77 | $1,752,234.95 |
DisclosureSEC source: 0000018230-22-000008 · wf-form4_164185423346213.xml · derivative · entry 3 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,435 Underlying: Common Stock · 23,435 shares Expires 2026-03-07 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 7, 2016 and vest equally in 1/3 increments on each of the first, second and third anniversaries of the grant date. Read SEC document |
| January 07, 2022 Filed Jan 10, 2022 22:38 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 23,435 | $225.00 | $5,272,875.00 |
DisclosureSEC source: 0000018230-22-000008 · wf-form4_164185423346213.xml · nonDerivative · entry 2 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,903 Read SEC document |
| January 07, 2022 Filed Jan 10, 2022 22:38 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 23,435 | $74.77 | $1,752,234.95 |
DisclosureSEC source: 0000018230-22-000008 · wf-form4_164185423346213.xml · nonDerivative · entry 1 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,338 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 |
| April 22, 2021 Filed Apr 26, 2021 21:19 UTC | AGCO CORP /DE AGCO · Entity 3615 | GrantCommon Stock | 1,013 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-028330 · doc4.xml · nonDerivative · entry 1 De Lange Bob · CIK 0001694342 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,013 F1 · acquired: These shares reflect an award under the AGCO Corporation 2006 Long-Term Incentive Plan. Read SEC document |
| March 05, 2021 Filed Mar 9, 2021 21:02 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 31,888 | $83.00 Strike: $83.00 | $2,646,704.00 |
DisclosureSEC source: 0000018230-21-000112 · wf-form4_161532376326899.xml · derivative · entry 6 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 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. F5 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 2, 2015 and vest equally in 1/3 increments on each of the first, second and third anniversaries of the grant date. Read SEC document |
| March 05, 2021 Filed Mar 9, 2021 21:02 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 1,700 | $216.49 | $368,033.00 |
DisclosureSEC source: 0000018230-21-000112 · wf-form4_161532376326899.xml · nonDerivative · entry 5 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,903 F4 · price: This transaction was executed in multiple trades at prices ranging from $216.09 to $216.82. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| March 05, 2021 Filed Mar 9, 2021 21:02 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 5,794 | $215.45 | $1,248,317.30 |
DisclosureSEC source: 0000018230-21-000112 · wf-form4_161532376326899.xml · nonDerivative · entry 4 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,603 F3 · price: This transaction was executed in multiple trades at prices ranging from $215.09 to $216.08. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| March 05, 2021 Filed Mar 9, 2021 21:02 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 15,494 | $214.57 | $3,324,547.58 |
DisclosureSEC source: 0000018230-21-000112 · wf-form4_161532376326899.xml · nonDerivative · entry 3 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,397 F2 · price: This transaction was executed in multiple trades at prices ranging from $214.09 to $215.08. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| March 05, 2021 Filed Mar 9, 2021 21:02 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 8,900 | $213.58 | $1,900,862.00 |
DisclosureSEC source: 0000018230-21-000112 · wf-form4_161532376326899.xml · nonDerivative · entry 2 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,891 F1 · price: This transaction was executed in multiple trades at prices ranging from $213.09 to $214.08. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| March 05, 2021 Filed Mar 9, 2021 21:02 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 31,888 | $83.00 | $2,646,704.00 |
DisclosureSEC source: 0000018230-21-000112 · wf-form4_161532376326899.xml · nonDerivative · entry 1 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,791 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| March 01, 2021 Filed Mar 3, 2021 01:58 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Options · Derivative | 44,403 | $0.00 Strike: $219.76 | $0.00 |
DisclosureSEC source: 0000018230-21-000086 · wf-form4_161473668666120.xml · derivative · entry 1 De Lange Bob · CIK 0001694342 · 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 20:42 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 6,047 | $196.78 | $1,189,928.66 |
DisclosureSEC source: 0000018230-21-000053 · wf-form4_161307613042760.xml · nonDerivative · entry 2 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,903 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 20:42 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 15,327 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-21-000053 · wf-form4_161307613042760.xml · nonDerivative · entry 1 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,950 Read SEC document |
| December 23, 2020 Filed Dec 28, 2020 16:50 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 43 | $178.42 | $7,672.06 |
DisclosureSEC source: 0000018230-20-000328 · wf-form4_160917420116353.xml · derivative · entry 1 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,576 Underlying: Common Stock · 43 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 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 $178.42 and 21shares 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. Director's Deferred Compensation 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 Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. Read SEC document |
| November 25, 2020 Filed Nov 30, 2020 22:09 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 44 | $174.63 | $7,683.72 |
DisclosureSEC source: 0000018230-20-000318 · wf-form4_160677415373827.xml · derivative · entry 1 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,664 Underlying: Common Stock · 44 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 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 $174.63 and 22 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. Read SEC document |
| November 09, 2020 Filed Nov 10, 2020 21:11 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 3,295 | $0.00 Strike: $96.31 | $0.00 |
DisclosureSEC source: 0000018230-20-000306 · wf-form4_160504268591446.xml · derivative · entry 3 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,295 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 |
| November 09, 2020 Filed Nov 10, 2020 21:11 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 2,476 | $173.90 | $430,576.40 |
DisclosureSEC source: 0000018230-20-000306 · wf-form4_160504268591446.xml · nonDerivative · entry 2 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,623 Read SEC document |
| November 09, 2020 Filed Nov 10, 2020 21:11 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 3,295 | $96.31 | $317,341.45 |
DisclosureSEC source: 0000018230-20-000306 · wf-form4_160504268591446.xml · nonDerivative · entry 1 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,099 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 05, 2020 Filed Nov 6, 2020 19:26 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 2,500 | $0.00 Strike: $96.31 | $0.00 |
DisclosureSEC source: 0000018230-20-000303 · wf-form4_160469079151820.xml · derivative · entry 3 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,295 Underlying: Common Stock · 2,500 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 |
| November 05, 2020 Filed Nov 6, 2020 19:26 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 2,500 | $164.76 | $411,900.00 |
DisclosureSEC source: 0000018230-20-000303 · wf-form4_160469079151820.xml · nonDerivative · entry 2 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,804 Read SEC document |
| November 05, 2020 Filed Nov 6, 2020 19:26 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 2,500 | $96.31 | $240,775.00 |
DisclosureSEC source: 0000018230-20-000303 · wf-form4_160469079151820.xml · nonDerivative · entry 1 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,304 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| October 26, 2020 Filed Oct 28, 2020 14:13 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 47 | $163.20 | $7,670.40 |
DisclosureSEC source: 0000018230-20-000280 · wf-form4_160389440524411.xml · derivative · entry 1 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,734 Underlying: Common Stock · 47 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 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 $163.20 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 are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. Read SEC document |
| September 25, 2020 Filed Sep 28, 2020 23:35 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 53 | $145.91 | $7,733.23 |
DisclosureSEC source: 0000018230-20-000250 · wf-form4_160133609084519.xml · derivative · entry 1 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,485 Underlying: Common Stock · 53 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 27 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $145.91 and 26 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. Read SEC document |
| September 08, 2020 Filed Sep 9, 2020 23:36 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 3,994 | $0.00 Strike: $89.75 | $0.00 |
DisclosureSEC source: 0000018230-20-000242 · wf-form4_159969456450649.xml · derivative · entry 4 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,994 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 |
| September 08, 2020 Filed Sep 9, 2020 23:36 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 1,575 | $147.00 | $231,525.00 |
DisclosureSEC source: 0000018230-20-000242 · wf-form4_159969456450649.xml · nonDerivative · entry 3 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,804 Read SEC document |
| September 08, 2020 Filed Sep 9, 2020 23:36 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 2,419 | $148.18 | $358,447.42 |
DisclosureSEC source: 0000018230-20-000242 · wf-form4_159969456450649.xml · nonDerivative · entry 2 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,379 Read SEC document |
| September 08, 2020 Filed Sep 9, 2020 23:36 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 3,994 | $89.75 | $358,461.50 |
DisclosureSEC source: 0000018230-20-000242 · wf-form4_159969456450649.xml · nonDerivative · entry 1 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,798 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| August 26, 2020 Filed Aug 27, 2020 21:42 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 54 | $141.83 | $7,658.82 |
DisclosureSEC source: 0000018230-20-000227 · wf-form4_159856452388832.xml · derivative · entry 1 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,438 Underlying: Common Stock · 54 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 27 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $141.83 and 27 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. Read SEC document |
| July 24, 2020 Filed Jul 28, 2020 18:47 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 56 | $137.58 | $7,704.48 |
DisclosureSEC source: 0000018230-20-000207 · wf-form4_159596204246992.xml · derivative · entry 1 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,373 Underlying: Common Stock · 56 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 28 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $137.58 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 are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. Read SEC document |
| June 26, 2020 Filed Jun 29, 2020 22:27 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 63 | $122.39 | $7,710.57 |
DisclosureSEC source: 0000018230-20-000192 · wf-form4_159346965790141.xml · derivative · entry 1 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,421 Underlying: Common Stock · 63 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 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 $122.39 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 are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. Read SEC document |
| May 26, 2020 Filed May 29, 2020 11:59 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 36 | $117.41 | $4,226.76 |
DisclosureSEC source: 0000018230-20-000162 · wf-form4_159075356716984.xml · derivative · entry 1 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,046 Underlying: Common Stock · 36 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 18 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of 117.41 and 18 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. Read SEC document |
| March 11, 2020 Filed Mar 12, 2020 20:19 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 977 | $100.69 | $98,374.13 |
DisclosureSEC source: 0000018230-20-000123 · wf-form4_158404438087810.xml · derivative · entry 1 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,428 Underlying: Common Stock · 977 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 489 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $100.69 and 488 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. Read SEC document |
| March 06, 2020 Filed Mar 10, 2020 14:43 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 684 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-20-000112 · wf-form4_158385138010010.xml · derivative · entry 1 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,213 Underlying: Common Stock · 684 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: The phantom stock units were contributed to the reporting person's account pursuant to the terms of the Caterpillar Inc. Supplemental Deferred Compensation Plan ( the "Plan") for no consideration. F3 · derivative.exercise_date: The phantom stock units are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. Read SEC document |
| March 02, 2020 Filed Mar 3, 2020 23:32 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Options · Derivative | 71,210 | $0.00 Strike: $127.60 | $0.00 |
DisclosureSEC source: 0000018230-20-000091 · wf-form4_158327832813174.xml · derivative · entry 1 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,210 Underlying: Common Stock · 71,210 shares Expires 2030-03-02 F1 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan and vest equally in 1/3 increments beginning on the first anniversary of the grant date. Read SEC document |
| February 11, 2020 Filed Feb 13, 2020 18:58 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 5,175 | $136.15 | $704,576.25 |
DisclosureSEC source: 0000018230-20-000033 · wf-form4_158162030303884.xml · nonDerivative · entry 2 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,804 F2 · shares: Represents shares withheld from the reporting person to satisfy tax obligations arising from the vesting of performance-based restricted stock units granted on March 6, 2017. Read SEC document |
| February 11, 2020 Filed Feb 13, 2020 18:58 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 14,112 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-20-000033 · wf-form4_158162030303884.xml · nonDerivative · entry 1 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,979 F1 · balance_after: Adjusted to correct inadvertent clerical error. Read SEC document |
| December 27, 2019 Filed Dec 30, 2019 21:32 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 207 | $148.28 | $30,693.96 |
DisclosureSEC source: 0000018230-19-000301 · wf-form4_157774151896879.xml · derivative · entry 1 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,477 Underlying: Common Stock · 207 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 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 $148.28 and 26 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. The total also includes 155 shares that were credited to the reporting person's account to correct a Plan administration error. F3 · derivative.exercise_date: The phantom stock units are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. Read SEC document |
| November 26, 2019 Filed Nov 27, 2019 17:18 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 53 | $146.09 | $7,742.77 |
DisclosureSEC source: 0000018230-19-000294 · wf-form4_157487510446212.xml · derivative · entry 1 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,279 Underlying: Common Stock · 53 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 27 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $146.09 and 26 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. Read SEC document |
| November 04, 2019 Filed Nov 6, 2019 19:14 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 2,952 | $0.00 Strike: $110.09 | $0.00 |
DisclosureSEC source: 0000018230-19-000287 · wf-form4_157306766597718.xml · derivative · entry 7 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,952 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 |
| November 04, 2019 Filed Nov 6, 2019 19:14 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionStock Appreciation Rights · Derivative | 3,359 | $0.00 Strike: $102.13 | $0.00 |
DisclosureSEC source: 0000018230-19-000287 · wf-form4_157306766597718.xml · derivative · entry 6 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,359 shares Expires 2021-03-07 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. F1 · security: Reported as "Employee Stock Option" on Form 3 filed January 11, 2017. Read SEC document |
| November 04, 2019 Filed Nov 6, 2019 19:14 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 2,546 | $146.18 | $372,174.28 |
DisclosureSEC source: 0000018230-19-000287 · wf-form4_157306766597718.xml · nonDerivative · entry 5 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,837 Read SEC document |
| November 04, 2019 Filed Nov 6, 2019 19:14 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 2,952 | $110.09 | $324,985.68 |
DisclosureSEC source: 0000018230-19-000287 · wf-form4_157306766597718.xml · nonDerivative · entry 4 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,383 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 04, 2019 Filed Nov 6, 2019 19:14 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 448 | $146.01 | $65,412.48 |
DisclosureSEC source: 0000018230-19-000287 · wf-form4_157306766597718.xml · nonDerivative · entry 3 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,431 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.