Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| BRISTOL MYERS SQUIBB CO(BMY) · Entity 1662 | EVP & CFO | March 01, 2008 | March 04, 2008 |
| CATERPILLAR INCCAT · Entity 2808 | CFO Emeritus | 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.
BRISTOL MYERS SQUIBB CO
Report date March 01, 2008 · Filed March 04, 2008
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, $0.10 par valueSEC Table I · non-derivative | Direct | 142,428 |
Last balance in matching sequence
After 2008-03-02 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2008-03-01 · Tax withholding · Disposed 2,887 · Balance 145,315 F1: Shares withheld for payment of taxes upon vesting of restricted stock. F2: Includes unvested restricted stock awards. Row 2 · 2008-03-02 · Tax withholding · Disposed 2,887 · Balance 142,428 F1: Shares withheld for payment of taxes upon vesting of restricted stock. F2: Includes unvested restricted stock awards. |
| Common Stock, $0.10 par valueSEC Table I · non-derivative | IndirectBy BMY Savings & Investment Program | 2,023.96 |
Reported balance
Holding disclosure · report date 2008-03-01 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 2,023.96 F3: Based on a plan statement as of the end of the most recent fiscal quarter. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares withheld for payment of taxes upon vesting of restricted stock.
F2: Includes unvested restricted stock awards.
F3: Based on a plan statement as of the end of the most recent fiscal quarter.
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 | 52,935 |
Ending reported balance
After 2026-05-06 transaction · row 5
5 source rows · reconciled sequenceRow 1 · 2026-05-06 · Exercise / conversion · Acquired 11,655 · Balance 64,590 Row 2 · 2026-05-06 · Exercise / conversion · Acquired 7,673 · Balance 72,263 Row 3 · 2026-05-06 · Exercise / conversion · Acquired 3,726 · Balance 75,989 Row 4 · 2026-05-06 · Tax withholding · Disposed 7,380 · Balance 68,609 Row 5 · 2026-05-06 · Sale · Disposed 15,674 · Balance 52,935 F1: This transaction was executed in multiple trades at prices ranging from $918.50 to $919.33. 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 $253.98 · Expires 2033-03-06 | Direct | 0 |
Reported balance
After 2026-05-06 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2026-05-06 · Exercise / conversion · Disposed 11,655 · Balance 0 F2: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 6, 2023 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. |
| Employee Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $338.65 · Expires 2024-03-04 | Direct | 3,836 |
Reported balance
After 2026-05-06 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2026-05-06 · Exercise / conversion · Disposed 7,673 · Balance 3,836 F3: The stock options were granted pursuant to the Caterpillar Inc. 2023 Long-Term Incentive Plan on March 4, 2024 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. |
| Employee Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $332.04 · Expires 2035-03-03 | Direct | 7,450 |
Reported balance
After 2026-05-06 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2026-05-06 · Exercise / conversion · Disposed 3,726 · Balance 7,450 F4: The stock options were granted pursuant to the Caterpillar Inc. 2023 Long-Term Incentive Plan on March 3, 2025 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 $918.50 to $919.33. 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: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 6, 2023 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.
F3: The stock options were granted pursuant to the Caterpillar Inc. 2023 Long-Term Incentive Plan on March 4, 2024 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.
F4: The stock options were granted pursuant to the Caterpillar Inc. 2023 Long-Term Incentive Plan on March 3, 2025 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 |
|---|---|---|---|---|---|---|
| May 06, 2026 Filed May 7, 2026 21:34 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 3,726 | $332.04 Strike: $332.04 | $1,237,181.04 |
DisclosureSEC source: 0001104659-26-057309 · tm2613952-2_4seq1.xml · derivative · entry 8 BONFIELD ANDREW R J · CIK 0001199292 · CFO Emeritus 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 7,450 Underlying: Common Stock · 3,726 shares Expires 2035-03-03 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. F4 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2023 Long-Term Incentive Plan on March 3, 2025 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| May 06, 2026 Filed May 7, 2026 21:34 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 7,673 | $338.65 Strike: $338.65 | $2,598,461.45 |
DisclosureSEC source: 0001104659-26-057309 · tm2613952-2_4seq1.xml · derivative · entry 7 BONFIELD ANDREW R J · CIK 0001199292 · CFO Emeritus 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,836 Underlying: Common Stock · 7,673 shares Expires 2024-03-04 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. 2023 Long-Term Incentive Plan on March 4, 2024 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| May 06, 2026 Filed May 7, 2026 21:34 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 11,655 | $253.98 Strike: $253.98 | $2,960,136.90 |
DisclosureSEC source: 0001104659-26-057309 · tm2613952-2_4seq1.xml · derivative · entry 6 BONFIELD ANDREW R J · CIK 0001199292 · CFO Emeritus 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 11,655 shares Expires 2033-03-06 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 6, 2023 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| May 06, 2026 Filed May 7, 2026 21:34 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 15,674 | $918.71 | $14,399,860.54 |
DisclosureSEC source: 0001104659-26-057309 · tm2613952-2_4seq1.xml · nonDerivative · entry 5 BONFIELD ANDREW R J · CIK 0001199292 · CFO Emeritus 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 52,935 F1 · price: This transaction was executed in multiple trades at prices ranging from $918.50 to $919.33. 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 |
| May 06, 2026 Filed May 7, 2026 21:34 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 7,380 | $920.72 | $6,794,913.60 |
DisclosureSEC source: 0001104659-26-057309 · tm2613952-2_4seq1.xml · nonDerivative · entry 4 BONFIELD ANDREW R J · CIK 0001199292 · CFO Emeritus 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 68,609 Read SEC document |
| May 06, 2026 Filed May 7, 2026 21:34 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 3,726 | $332.04 | $1,237,181.04 |
DisclosureSEC source: 0001104659-26-057309 · tm2613952-2_4seq1.xml · nonDerivative · entry 3 BONFIELD ANDREW R J · CIK 0001199292 · CFO Emeritus 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 75,989 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 06, 2026 Filed May 7, 2026 21:34 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 7,673 | $338.65 | $2,598,461.45 |
DisclosureSEC source: 0001104659-26-057309 · tm2613952-2_4seq1.xml · nonDerivative · entry 2 BONFIELD ANDREW R J · CIK 0001199292 · CFO Emeritus 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 72,263 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 06, 2026 Filed May 7, 2026 21:34 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 11,655 | $253.98 | $2,960,136.90 |
DisclosureSEC source: 0001104659-26-057309 · tm2613952-2_4seq1.xml · nonDerivative · entry 1 BONFIELD ANDREW R J · CIK 0001199292 · CFO Emeritus 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 64,590 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 04, 2026 Filed Mar 6, 2026 17:38 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 449 | $738.42 | $331,550.58 |
DisclosureSEC source: 0001104659-26-024552 · tm268220-1_4seq1.xml · nonDerivative · entry 1 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 52,935 F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of restricted stock units granted on March 4, 2024. Read SEC document |
| March 03, 2026 Filed Mar 4, 2026 23:10 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 445 | $719.13 | $320,012.85 |
DisclosureSEC source: 0001104659-26-023595 · tm268026-2_4seq1.xml · nonDerivative · entry 2 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 53,384 F2 · shares: Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of restricted stock units granted March 3, 2025. Read SEC document |
| March 02, 2026 Filed Mar 4, 2026 23:10 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock options · Derivative | 4,877 | $0.00 Strike: $752.18 | $0.00 |
DisclosureSEC source: 0001104659-26-023595 · tm268026-2_4seq1.xml · derivative · entry 3 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,877 Underlying: Common Stock · 4,877 shares Expires 2036-03-02 F3 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2023 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 |
| March 02, 2026 Filed Mar 4, 2026 23:10 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 1,749 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-26-023595 · tm268026-2_4seq1.xml · nonDerivative · entry 1 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 53,829 F1 · balance_after: Includes adjustment for dividends accrued. Read SEC document |
| February 10, 2026 Filed Feb 13, 2026 00:54 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 4,299 | $744.83 | $3,202,024.17 |
DisclosureSEC source: 0001104659-26-014524 · tm266149-7_4seq1.xml · nonDerivative · entry 2 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 52,069 F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of performance-based restricted stock units granted March 6, 2023. Read SEC document |
| February 10, 2026 Filed Feb 13, 2026 00:54 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 10,907 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-26-014524 · tm266149-7_4seq1.xml · nonDerivative · entry 1 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 56,367 Read SEC document |
| December 31, 2025 Filed Jan 5, 2026 19:45 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 40 | $578.41 | $23,136.40 |
DisclosureSEC source: 0001104659-26-000564 · tm261893-1_4seq1.xml · nonDerivative · entry 7 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 45,460 F7 · price: This transaction was executed in a trade at a price of $578.41. The reporting person hereby undertakes to provide upon request of 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 |
| December 31, 2025 Filed Jan 5, 2026 19:45 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 600 | $577.79 | $346,674.00 |
DisclosureSEC source: 0001104659-26-000564 · tm261893-1_4seq1.xml · nonDerivative · entry 6 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 45,500 F6 · price: This transaction was entered as multiple trades, at prices ranging from $577.25 to $578.14. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of 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 |
| December 31, 2025 Filed Jan 5, 2026 19:45 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 1,473 | $576.56 | $849,272.88 |
DisclosureSEC source: 0001104659-26-000564 · tm261893-1_4seq1.xml · nonDerivative · entry 5 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 46,100 F5 · price: This transaction was entered as multiple trades, at prices ranging from $576.23 to $577.07. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of 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 |
| December 31, 2025 Filed Jan 5, 2026 19:45 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 3,016 | $575.77 | $1,736,522.32 |
DisclosureSEC source: 0001104659-26-000564 · tm261893-1_4seq1.xml · nonDerivative · entry 4 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 47,573 F4 · price: This transaction was entered as multiple trades, at prices ranging from $575.22 to $576.21. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of 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 |
| December 31, 2025 Filed Jan 5, 2026 19:45 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 1,431 | $574.77 | $822,495.87 |
DisclosureSEC source: 0001104659-26-000564 · tm261893-1_4seq1.xml · nonDerivative · entry 3 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 50,589 F3 · price: This transaction was entered as multiple trades, at prices ranging from $574.19 to $575.19. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of 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 |
| December 31, 2025 Filed Jan 5, 2026 19:45 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 2,628 | $573.61 | $1,507,447.08 |
DisclosureSEC source: 0001104659-26-000564 · tm261893-1_4seq1.xml · nonDerivative · entry 2 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 52,020 F2 · price: This transaction was entered as multiple trades, at prices ranging from $573.18 to $574.18. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of 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 |
| December 31, 2025 Filed Jan 5, 2026 19:45 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 812 | $572.71 | $465,040.52 |
DisclosureSEC source: 0001104659-26-000564 · tm261893-1_4seq1.xml · nonDerivative · entry 1 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 54,648 F1 · price: This transaction was entered as multiple trades, at prices ranging from $572.17 to $573.16. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of 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 |
| December 01, 2025 Filed Dec 2, 2025 20:53 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 920 | $574.52 | $528,558.40 |
DisclosureSEC source: 0001104659-25-117686 · tm2532593-1_4seq1.xml · nonDerivative · entry 7 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 55,460 F8 · price: This transaction was entered as multiple trades, at prices ranging from $574.15 to $575.13. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of 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 |
| December 01, 2025 Filed Dec 2, 2025 20:53 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 1,921 | $573.63 | $1,101,943.23 |
DisclosureSEC source: 0001104659-25-117686 · tm2532593-1_4seq1.xml · nonDerivative · entry 6 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 56,380 F7 · price: This transaction was entered as multiple trades, at prices ranging from $573.12 to $574.12. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of 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 |
| December 01, 2025 Filed Dec 2, 2025 20:53 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 2,120 | $572.57 | $1,213,848.40 |
DisclosureSEC source: 0001104659-25-117686 · tm2532593-1_4seq1.xml · nonDerivative · entry 5 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 58,301 F6 · price: This transaction was entered as multiple trades, at prices ranging from $572.09 to $573.06. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of 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 |
| December 01, 2025 Filed Dec 2, 2025 20:53 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 920 | $571.38 | $525,669.60 |
DisclosureSEC source: 0001104659-25-117686 · tm2532593-1_4seq1.xml · nonDerivative · entry 4 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 60,421 F5 · price: This transaction was entered as multiple trades, at prices ranging from $571.02 to $572.00. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of 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 |
| December 01, 2025 Filed Dec 2, 2025 20:53 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 381 | $570.27 | $217,272.87 |
DisclosureSEC source: 0001104659-25-117686 · tm2532593-1_4seq1.xml · nonDerivative · entry 3 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 61,341 F4 · price: This transaction was entered as multiple trades, at prices ranging from $569.99 to $570.68. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of 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 |
| December 01, 2025 Filed Dec 2, 2025 20:53 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 2,360 | $569.35 | $1,343,666.00 |
DisclosureSEC source: 0001104659-25-117686 · tm2532593-1_4seq1.xml · nonDerivative · entry 2 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 61,722 F3 · price: This transaction was entered as multiple trades, at prices ranging from $568.95 to $569.94. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of 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 |
| December 01, 2025 Filed Dec 2, 2025 20:53 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 1,378 | $568.57 | $783,489.46 |
DisclosureSEC source: 0001104659-25-117686 · tm2532593-1_4seq1.xml · nonDerivative · entry 1 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 64,082 F1 · price: This transaction was entered as multiple trades, at prices ranging from $567.93 to $568.90. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of 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 · balance_after: Includes adjustment for dividends accrued. Read SEC document |
| July 17, 2025 Filed Jul 21, 2025 20:06 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 23,311 | $253.98 Strike: $253.98 | $5,920,527.78 |
DisclosureSEC source: 0001104659-25-069308 · tm2521343-1_4seq1.xml · derivative · entry 6 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 11,655 Underlying: Common Stock · 23,311 shares Expires 2033-03-06 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 6, 2023 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| July 17, 2025 Filed Jul 21, 2025 20:06 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 14,186 | $196.70 Strike: $196.70 | $2,790,386.20 |
DisclosureSEC source: 0001104659-25-069308 · tm2521343-1_4seq1.xml · derivative · entry 5 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 14,186 shares Expires 2032-03-07 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, 2022 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| July 17, 2025 Filed Jul 21, 2025 20:06 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 17,796 | $416.39 | $7,410,076.44 |
DisclosureSEC source: 0001104659-25-069308 · tm2521343-1_4seq1.xml · nonDerivative · entry 4 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 65,422 Read SEC document |
| July 17, 2025 Filed Jul 21, 2025 20:06 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 23,311 | $253.98 | $5,920,527.78 |
DisclosureSEC source: 0001104659-25-069308 · tm2521343-1_4seq1.xml · nonDerivative · entry 3 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 83,194 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| July 17, 2025 Filed Jul 21, 2025 20:06 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 9,683 | $416.39 | $4,031,904.37 |
DisclosureSEC source: 0001104659-25-069308 · tm2521343-1_4seq1.xml · nonDerivative · entry 2 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 59,883 Read SEC document |
| July 17, 2025 Filed Jul 21, 2025 20:06 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 14,186 | $196.70 | $2,790,386.20 |
DisclosureSEC source: 0001104659-25-069308 · tm2521343-1_4seq1.xml · nonDerivative · entry 1 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 69,566 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 04, 2025 Filed Mar 5, 2025 23:32 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 450 | $325.30 | $146,385.00 |
DisclosureSEC source: 0001104659-25-021006 · tm258358-1_4seq1.xml · nonDerivative · entry 2 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 55,380 F2 · shares: Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of restricted stock units granted March 4, 2024. Read SEC document |
| March 03, 2025 Filed Mar 5, 2025 23:32 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Options · Derivative | 11,176 | $0.00 Strike: $332.04 | $0.00 |
DisclosureSEC source: 0001104659-25-021006 · tm258358-1_4seq1.xml · derivative · entry 3 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 11,176 Underlying: Common Stock · 11,176 shares Expires 2035-03-03 F3 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2023 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 |
| March 03, 2025 Filed Mar 5, 2025 23:32 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 3,565 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-25-021006 · tm258358-1_4seq1.xml · nonDerivative · entry 1 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 55,830 F1 · balance_after: Includes adjustment for dividends accrued. Read SEC document |
| February 11, 2025 Filed Feb 13, 2025 19:32 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 4,706 | $362.70 | $1,706,866.20 |
DisclosureSEC source: 0001104659-25-012842 · tm255985-1_4seq1.xml · nonDerivative · entry 2 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 52,251 F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of performance-based restricted stock units granted March 7, 2022. Read SEC document |
| February 11, 2025 Filed Feb 13, 2025 19:32 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 11,775 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-25-012842 · tm255985-1_4seq1.xml · nonDerivative · entry 1 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 56,957 Read SEC document |
| January 16, 2025 Filed Jan 17, 2025 15:36 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 10,000 | $380.09 | $3,800,900.00 |
DisclosureSEC source: 0001104659-25-004336 · tm253680-1_4seq1.xml · nonDerivative · entry 1 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 45,182 F1 · price: This transaction was executed in multiple trades at prices ranging from $380.00 to $380.22. 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. Read SEC document |
| November 25, 2024 Filed Nov 26, 2024 21:53 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 2,135 | $406.79 | $868,496.65 |
DisclosureSEC source: 0001104659-24-123149 · tm2429621-1_4seq1.xml · nonDerivative · entry 4 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 55,182 F5 · price: This transaction was executed in multiple trades at prices ranging from $406.51 to $407.15. 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 |
| November 25, 2024 Filed Nov 26, 2024 21:53 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 2,481 | $406.12 | $1,007,583.72 |
DisclosureSEC source: 0001104659-24-123149 · tm2429621-1_4seq1.xml · nonDerivative · entry 3 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 57,317 F4 · price: This transaction was executed in multiple trades at prices ranging from $405.51 to $406.50. 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 |
| November 25, 2024 Filed Nov 26, 2024 21:53 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 1,880 | $405.06 | $761,512.80 |
DisclosureSEC source: 0001104659-24-123149 · tm2429621-1_4seq1.xml · nonDerivative · entry 2 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 59,798 F3 · price: This transaction was executed in multiple trades at prices ranging from $404.51 to $405.50. 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 |
| November 25, 2024 Filed Nov 26, 2024 21:53 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 3,504 | $404.10 | $1,415,966.40 |
DisclosureSEC source: 0001104659-24-123149 · tm2429621-1_4seq1.xml · nonDerivative · entry 1 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 61,678 F1 · price: This transaction was executed in multiple trades at prices ranging from $403.51 to $404.49. 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 · balance_after: Includes dividends accrued. Read SEC document |
| March 07, 2024 Filed Mar 8, 2024 18:45 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 14,186 | $196.70 Strike: $196.70 | $2,790,386.20 |
DisclosureSEC source: 0001104659-24-032271 · tm248344-1_4seq1.xml · derivative · entry 6 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 14,186 Underlying: Common Stock · 14,186 shares Expires 2032-03-07 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, 2022 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date Read SEC document |
| March 07, 2024 Filed Mar 8, 2024 18:45 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 15,393 | $219.76 Strike: $219.76 | $3,382,765.68 |
DisclosureSEC source: 0001104659-24-032271 · tm248344-1_4seq1.xml · derivative · entry 5 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 15,393 shares Expires 2031-03-01 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 1, 2021 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| March 07, 2024 Filed Mar 8, 2024 18:45 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 10,613 | $340.39 | $3,612,559.07 |
DisclosureSEC source: 0001104659-24-032271 · tm248344-1_4seq1.xml · nonDerivative · entry 4 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 65,142 Read SEC document |
| March 07, 2024 Filed Mar 8, 2024 18:45 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 14,186 | $196.70 | $2,790,386.20 |
DisclosureSEC source: 0001104659-24-032271 · tm248344-1_4seq1.xml · nonDerivative · entry 3 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 75,755 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, 2024 Filed Mar 8, 2024 18:45 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 12,138 | $340.39 | $4,131,653.82 |
DisclosureSEC source: 0001104659-24-032271 · tm248344-1_4seq1.xml · nonDerivative · entry 2 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 61,569 Read SEC document |
| March 07, 2024 Filed Mar 8, 2024 18:45 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 15,393 | $219.76 | $3,382,765.68 |
DisclosureSEC source: 0001104659-24-032271 · tm248344-1_4seq1.xml · nonDerivative · entry 1 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 73,707 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.