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 |
|---|---|---|---|---|---|---|
| March 04, 2024 Filed Mar 6, 2024 17:27 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Options · Derivative | 11,509 | $0.00 Strike: $338.65 | $0.00 |
DisclosureSEC source: 0001104659-24-031375 · tm248078-1_4seq1.xml · derivative · entry 2 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 11,509 Underlying: Common Stock · 11,509 shares Expires 2034-03-04 F1 · 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 04, 2024 Filed Mar 6, 2024 17:27 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 3,543 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-24-031375 · tm248078-1_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: 58,314 Read SEC document |
| February 13, 2024 Filed Feb 15, 2024 11:00 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 5,066 | $313.40 | $1,587,684.40 |
DisclosureSEC source: 0001104659-24-024285 · tm245322-3_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: 54,771 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 11:00 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 12,520 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-24-024285 · tm245322-3_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: 59,837 Read SEC document |
| February 05, 2024 Filed Feb 6, 2024 21:00 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 2,804 | $333.13 | $934,096.52 |
DisclosureSEC source: 0001104659-24-011089 · tm245322-1_4seq1.xml · nonDerivative · entry 3 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 47,317 F3 · price: This transaction was executed in multiple trades at prices ranging from $333.07 to $333.49. 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. Read SEC document |
| February 05, 2024 Filed Feb 6, 2024 21:00 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 7,196 | $332.69 | $2,394,037.24 |
DisclosureSEC source: 0001104659-24-011089 · tm245322-1_4seq1.xml · nonDerivative · entry 2 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 50,121 F2 · price: This transaction was executed in multiple trades at prices ranging from $332.07 to $333.05. 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 |
| February 02, 2024 Filed Feb 6, 2024 21:00 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 10,000 | $310.10 | $3,101,000.00 |
DisclosureSEC source: 0001104659-24-011089 · tm245322-1_4seq1.xml · nonDerivative · entry 1 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 57,317 F1 · price: This transaction was executed in multiple trades at prices ranging from $310.00 to $310.25. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| January 25, 2024 Filed Jan 26, 2024 17:41 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 10,000 | $300.04 | $3,000,400.00 |
DisclosureSEC source: 0001104659-24-007122 · tm244245-1_4seq1.xml · nonDerivative · entry 1 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 67,317 F1 · price: This transaction was executed in multiple trades at prices ranging from $300.00 to $300.14. 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 |
| August 02, 2023 Filed Aug 3, 2023 17:32 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 14,187 | $196.70 Strike: $196.70 | $2,790,582.90 |
DisclosureSEC source: 0001104659-23-087174 · tm2322787-1_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: 28,372 Underlying: Common Stock · 14,187 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 |
| August 02, 2023 Filed Aug 3, 2023 17:32 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 30,786 | $219.76 Strike: $219.76 | $6,765,531.36 |
DisclosureSEC source: 0001104659-23-087174 · tm2322787-1_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: 15,393 Underlying: Common Stock · 30,786 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 |
| August 02, 2023 Filed Aug 3, 2023 17:32 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 11,419 | $289.99 | $3,311,395.81 |
DisclosureSEC source: 0001104659-23-087174 · tm2322787-1_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: 77,317 Read SEC document |
| August 02, 2023 Filed Aug 3, 2023 17:32 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 14,187 | $196.70 | $2,790,582.90 |
DisclosureSEC source: 0001104659-23-087174 · tm2322787-1_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: 88,736 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 02, 2023 Filed Aug 3, 2023 17:32 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 26,264 | $289.99 | $7,616,297.36 |
DisclosureSEC source: 0001104659-23-087174 · tm2322787-1_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: 74,549 Read SEC document |
| August 02, 2023 Filed Aug 3, 2023 17:32 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 30,786 | $219.76 | $6,765,531.36 |
DisclosureSEC source: 0001104659-23-087174 · tm2322787-1_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: 100,813 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 06, 2023 Filed Mar 8, 2023 18:31 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Options · Derivative | 34,966 | $0.00 Strike: $253.98 | $0.00 |
DisclosureSEC source: 0001104659-23-029999 · tm238923-1_4seq1.xml · derivative · entry 1 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,966 Underlying: Common Stock · 34,966 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 |
| March 02, 2023 Filed Mar 6, 2023 12:56 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 23,095 | $127.60 Strike: $127.60 | $2,946,922.00 |
DisclosureSEC source: 0001104659-23-028791 · tm238543-3_4seq1.xml · derivative · entry 3 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 23,095 shares Expires 2030-03-02 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. F1 · derivative.exercise_date: 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. Read SEC document |
| March 02, 2023 Filed Mar 6, 2023 12:56 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 16,256 | $249.31 | $4,052,783.36 |
DisclosureSEC source: 0001104659-23-028791 · tm238543-3_4seq1.xml · nonDerivative · entry 2 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,027 Read SEC document |
| March 02, 2023 Filed Mar 6, 2023 12:56 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 23,095 | $127.60 | $2,946,922.00 |
DisclosureSEC source: 0001104659-23-028791 · tm238543-3_4seq1.xml · nonDerivative · entry 1 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,283 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 07, 2023 Filed Feb 9, 2023 02:09 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 5,328 | $248.68 | $1,324,967.04 |
DisclosureSEC source: 0001104659-23-014718 · tm236025-8_4seq1.xml · nonDerivative · entry 2 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,188 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 | 15,029 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-23-014718 · tm236025-8_4seq1.xml · nonDerivative · entry 1 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,516 Read SEC document |
| March 09, 2022 Filed Mar 11, 2022 15:25 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 23,095 | $0.00 Strike: $127.60 | $0.00 |
DisclosureSEC source: 0000018230-22-000076 · wf-form4_164701234358562.xml · derivative · entry 6 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,095 Underlying: Common Stock · 23,095 shares Expires 2030-03-02 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. F2 · derivative.exercise_date: 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. Read SEC document |
| March 09, 2022 Filed Mar 11, 2022 15:25 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 18,012 | $0.00 Strike: $138.35 | $0.00 |
DisclosureSEC source: 0000018230-22-000076 · wf-form4_164701234358562.xml · derivative · entry 5 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 18,012 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. F1 · 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 |
| March 09, 2022 Filed Mar 11, 2022 15:25 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 18,027 | $210.53 | $3,795,224.31 |
DisclosureSEC source: 0000018230-22-000076 · wf-form4_164701234358562.xml · nonDerivative · entry 4 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,487 Read SEC document |
| March 09, 2022 Filed Mar 11, 2022 15:25 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 23,095 | $127.60 | $2,946,922.00 |
DisclosureSEC source: 0000018230-22-000076 · wf-form4_164701234358562.xml · nonDerivative · entry 3 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,514 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 09, 2022 Filed Mar 11, 2022 15:25 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 14,572 | $210.53 | $3,067,843.16 |
DisclosureSEC source: 0000018230-22-000076 · wf-form4_164701234358562.xml · nonDerivative · entry 2 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,419 Read SEC document |
| March 09, 2022 Filed Mar 11, 2022 15:25 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 18,012 | $138.35 | $2,491,960.20 |
DisclosureSEC source: 0000018230-22-000076 · wf-form4_164701234358562.xml · nonDerivative · entry 1 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,991 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 23:21 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Options · Derivative | 42,559 | $0.00 Strike: $196.70 | $0.00 |
DisclosureSEC source: 0000018230-22-000067 · wf-form4_164678169449573.xml · derivative · entry 1 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,559 Underlying: Common Stock · 42,559 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 | 5,457 | $200.77 | $1,095,601.89 |
DisclosureSEC source: 0000018230-22-000032 · wf-form4_164451838913135.xml · nonDerivative · entry 2 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,979 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 | 13,964 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-22-000032 · wf-form4_164451838913135.xml · nonDerivative · entry 1 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,436 Read SEC document |
| March 05, 2021 Filed Mar 9, 2021 21:02 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 23,096 | $127.60 Strike: $127.60 | $2,947,049.60 |
DisclosureSEC source: 0000018230-21-000111 · wf-form4_161532374136659.xml · derivative · entry 9 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,190 Underlying: Common Stock · 23,096 shares Expires 2030-03-02 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: 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. Read SEC document |
| March 05, 2021 Filed Mar 9, 2021 21:02 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 36,026 | $138.35 Strike: $138.35 | $4,984,197.10 |
DisclosureSEC source: 0000018230-21-000111 · wf-form4_161532374136659.xml · derivative · entry 8 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,012 Underlying: Common Stock · 36,026 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 |
| March 05, 2021 Filed Mar 9, 2021 21:02 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 23,077 | $141.32 Strike: $141.32 | $3,261,241.64 |
DisclosureSEC source: 0000018230-21-000111 · wf-form4_161532374136659.xml · derivative · entry 7 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 23,077 shares Expires 2028-09-07 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 September 7, 2018 and vest equally in 1/3 increments March 5, 2019, March 5, 2020 and March 5, 2021. Read SEC document |
| March 05, 2021 Filed Mar 9, 2021 21:02 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 17,826 | $216.14 | $3,852,911.64 |
DisclosureSEC source: 0000018230-21-000111 · wf-form4_161532374136659.xml · nonDerivative · entry 6 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,472 Read SEC document |
| March 05, 2021 Filed Mar 9, 2021 21:02 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 23,096 | $127.60 | $2,947,049.60 |
DisclosureSEC source: 0000018230-21-000111 · wf-form4_161532374136659.xml · nonDerivative · entry 5 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,298 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 05, 2021 Filed Mar 9, 2021 21:02 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 28,803 | $216.14 | $6,225,480.42 |
DisclosureSEC source: 0000018230-21-000111 · wf-form4_161532374136659.xml · nonDerivative · entry 4 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,202 Read SEC document |
| March 05, 2021 Filed Mar 9, 2021 21:02 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 36,026 | $138.35 | $4,984,197.10 |
DisclosureSEC source: 0000018230-21-000111 · wf-form4_161532374136659.xml · nonDerivative · entry 3 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,005 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 05, 2021 Filed Mar 9, 2021 21:02 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 18,627 | $216.14 | $4,026,039.78 |
DisclosureSEC source: 0000018230-21-000111 · wf-form4_161532374136659.xml · nonDerivative · entry 2 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,979 Read SEC document |
| March 05, 2021 Filed Mar 9, 2021 21:02 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 23,077 | $141.32 | $3,261,241.64 |
DisclosureSEC source: 0000018230-21-000111 · wf-form4_161532374136659.xml · nonDerivative · entry 1 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,606 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 01:57 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Options · Derivative | 46,179 | $0.00 Strike: $219.76 | $0.00 |
DisclosureSEC source: 0000018230-21-000083 · wf-form4_161473659735504.xml · derivative · entry 1 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,179 Underlying: Common Stock · 46,179 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 | 1,762 | $196.78 | $346,726.36 |
DisclosureSEC source: 0000018230-21-000050 · wf-form4_161307605374977.xml · nonDerivative · entry 2 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,529 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 September 7, 2018. Read SEC document |
| February 09, 2021 Filed Feb 11, 2021 20:41 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 5,659 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-21-000050 · wf-form4_161307605374977.xml · nonDerivative · entry 1 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,291 Read SEC document |
| September 07, 2020 Filed Sep 9, 2020 22:59 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 5,836 | $148.24 | $865,128.64 |
DisclosureSEC source: 0000018230-20-000240 · wf-form4_159969236467916.xml · nonDerivative · entry 1 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,632 F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligations arising from the vesting of restricted stock units granted on September 7, 2018. F2 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| March 02, 2020 Filed Mar 3, 2020 23:31 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Options · Derivative | 69,286 | $0.00 Strike: $127.60 | $0.00 |
DisclosureSEC source: 0000018230-20-000088 · wf-form4_158327826321772.xml · derivative · entry 1 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,286 Underlying: Common Stock · 69,286 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 |
| September 07, 2019 Filed Sep 10, 2019 20:45 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 5,883 | $125.30 | $737,139.90 |
DisclosureSEC source: 0000018230-19-000241 · wf-form4_156814832652975.xml · nonDerivative · entry 1 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,060 F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligations arising from the vesting of restricted stock units granted on September 7, 2018. F2 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| March 04, 2019 Filed Mar 5, 2019 23:04 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Options · Derivative | 54,038 | $0.00 Strike: $138.35 | $0.00 |
DisclosureSEC source: 0000018230-19-000075 · wf-form4_155182705397264.xml · derivative · entry 1 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,038 Underlying: Common Stock · 54,038 shares Expires 2029-03-04 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 |
| September 07, 2018 Filed Sep 11, 2018 22:04 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Options · Derivative | 23,077 | $0.00 Strike: $141.32 | $0.00 |
DisclosureSEC source: 0000018230-18-000242 · wf-form4_153670347934871.xml · derivative · entry 2 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,077 Underlying: Common Stock · 23,077 shares Expires not disclosed F1 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on September 7, 2018 and vest equally in 1/3 increments on March 5, 2019, March 5, 2020 and March 5, 2021. F1 · derivative.expiration_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on September 7, 2018 and vest equally in 1/3 increments on March 5, 2019, March 5, 2020 and March 5, 2021. Read SEC document |
| September 07, 2018 Filed Sep 11, 2018 22:04 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 26,182 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-18-000242 · wf-form4_153670347934871.xml · nonDerivative · entry 1 BONFIELD ANDREW R J · CIK 0001199292 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,182 Read SEC document |
| March 02, 2008 Filed Mar 4, 2008 18:35 UTC | BRISTOL MYERS SQUIBB CO (BMY) · Entity 1662 | Tax withholdingCommon Stock, $0.10 par value | 2,887 | $22.61 | $65,275.07 |
DisclosureSEC source: 0000014272-08-000071 · bon822.xml · nonDerivative · entry 2 BONFIELD ANDREW R J · CIK 0001199292 · EVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 142,428 F1 · shares: Shares withheld for payment of taxes upon vesting of restricted stock. F2 · balance_after: Includes unvested restricted stock awards. Read SEC document |
| March 01, 2008 Filed Mar 4, 2008 18:35 UTC | BRISTOL MYERS SQUIBB CO (BMY) · Entity 1662 | Tax withholdingCommon Stock, $0.10 par value | 2,887 | $22.61 | $65,275.07 |
DisclosureSEC source: 0000014272-08-000071 · bon822.xml · nonDerivative · entry 1 BONFIELD ANDREW R J · CIK 0001199292 · EVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 145,315 F1 · shares: Shares withheld for payment of taxes upon vesting of restricted stock. F2 · balance_after: Includes unvested restricted stock awards. Read SEC document |
| October 01, 2007 Filed Oct 3, 2007 20:46 UTC | BRISTOL MYERS SQUIBB CO (BMY) · Entity 1662 | Tax withholdingCommon Stock, $0.10 par value | 15,527 | $0.00 | $0.00 |
DisclosureSEC source: 0000014272-07-000203 · bon763.xml · nonDerivative · entry 1 BONFIELD ANDREW R J · CIK 0001199292 · EVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 148,202 F1 · shares: Shares withheld for payment of taxes upon vesting of restricted stock. F2 · balance_after: Includes unvested restricted stock awards. 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.