Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CATERPILLAR INCCAT · Entity 2808 | Group President | May 05, 2026 | May 06, 2026 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
CATERPILLAR INC
Report date May 05, 2026 · Filed May 06, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 2,546 |
Ending reported balance
After 2026-05-05 transaction · row 3
3 source rows · reconciled sequenceRow 1 · 2026-05-05 · Exercise / conversion · Acquired 5,639 · Balance 8,185 Row 2 · 2026-05-05 · Sale · Disposed 5,152 · Balance 3,033 F1: This transaction was executed in multiple trades at prices ranging from $902.44 to $903.42. 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 3 · 2026-05-05 · Sale · Disposed 487 · Balance 2,546 F2: This transaction was executed in multiple trades at prices ranging from $903.44 to $903.59. 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 2026-05-05 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2026-05-05 · Exercise / conversion · Disposed 5,639 · Balance 0 F4: 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 in the first, second and third anniversaries of the grant date. |
| Common StockSEC Table I · non-derivative | IndirectHeld by 401(k) Plan | 6,783 |
Reported balance
Holding disclosure · report date 2026-05-05 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 6,783 F3: The information in this report is based on a 401(k) plan statement dated as of April 30, 2026. |
Filing footnotes · ownership attribution and instrument terms
F1: This transaction was executed in multiple trades at prices ranging from $902.44 to $903.42. 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 $903.44 to $903.59. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
F3: The information in this report is based on a 401(k) plan statement dated as of April 30, 2026.
F4: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 6, 2023 and vest equally in 1/3 increments in 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 05, 2026 Filed May 6, 2026 22:27 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 5,639 | $253.98 Strike: $253.98 | $1,432,193.22 |
DisclosureSEC source: 0001104659-26-056435 · tm2613823-1_4seq1.xml · derivative · entry 5 Shurman Rodney Michael · CIK 0002110101 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,639 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. F4 · 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 in the first, second and third anniversaries of the grant date. Read SEC document |
| May 05, 2026 Filed May 6, 2026 22:27 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 487 | $903.55 | $440,028.85 |
DisclosureSEC source: 0001104659-26-056435 · tm2613823-1_4seq1.xml · nonDerivative · entry 3 Shurman Rodney Michael · CIK 0002110101 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,546 F2 · price: This transaction was executed in multiple trades at prices ranging from $903.44 to $903.59. 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 05, 2026 Filed May 6, 2026 22:27 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 5,152 | $903.14 | $4,652,977.28 |
DisclosureSEC source: 0001104659-26-056435 · tm2613823-1_4seq1.xml · nonDerivative · entry 2 Shurman Rodney Michael · CIK 0002110101 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,033 F1 · price: This transaction was executed in multiple trades at prices ranging from $902.44 to $903.42. 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 05, 2026 Filed May 6, 2026 22:27 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 5,639 | $253.98 | $1,432,193.22 |
DisclosureSEC source: 0001104659-26-056435 · tm2613823-1_4seq1.xml · nonDerivative · entry 1 Shurman Rodney Michael · CIK 0002110101 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,185 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 17:43 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 117 | $738.42 | $86,395.14 |
DisclosureSEC source: 0001104659-26-024563 · tm268220-9_4seq1.xml · nonDerivative · entry 1 Shurman Rodney Michael · CIK 0002110101 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,546 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 23:19 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 100 | $719.13 | $71,913.00 |
DisclosureSEC source: 0001104659-26-023605 · tm268026-9_4seq1.xml · nonDerivative · entry 2 Shurman Rodney Michael · CIK 0002110101 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,663 F1 · 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 23:19 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock options · Derivative | 3,681 | $0.00 Strike: $752.18 | $0.00 |
DisclosureSEC source: 0001104659-26-023605 · tm268026-9_4seq1.xml · derivative · entry 4 Shurman Rodney Michael · CIK 0002110101 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,681 Underlying: Common Stock · 3,681 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 23:19 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 1,320 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-26-023605 · tm268026-9_4seq1.xml · nonDerivative · entry 1 Shurman Rodney Michael · CIK 0002110101 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,763 Read SEC document |
| February 23, 2026 Filed Feb 25, 2026 00:36 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 2,278 | $253.98 Strike: $253.98 | $578,566.44 |
DisclosureSEC source: 0001104659-26-019298 · tm267203-1_4seq1.xml · derivative · entry 4 Shurman Rodney Michael · CIK 0002110101 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,639 Underlying: Common Stock · 2,278 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. F4 · 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 in the first, second and third anniversaries of the grant date. Read SEC document |
| February 23, 2026 Filed Feb 25, 2026 00:36 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 2,278 | $759.61 | $1,730,391.58 |
DisclosureSEC source: 0001104659-26-019298 · tm267203-1_4seq1.xml · nonDerivative · entry 2 Shurman Rodney Michael · CIK 0002110101 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,443 F2 · price: This transaction was executed in multiple trades at prices ranging from $759.49 to $759.75. 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 23, 2026 Filed Feb 25, 2026 00:36 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 2,278 | $253.98 | $578,566.44 |
DisclosureSEC source: 0001104659-26-019298 · tm267203-1_4seq1.xml · nonDerivative · entry 1 Shurman Rodney Michael · CIK 0002110101 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,721 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 dividends accrued. Read SEC document |
| February 17, 2026 Filed Feb 18, 2026 19:44 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 1,764 | $763.39 | $1,346,619.96 |
DisclosureSEC source: 0001104659-26-016984 · tm266747-2_4seq1.xml · nonDerivative · entry 1 Shurman Rodney Michael · CIK 0002110101 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,440 Read SEC document |
| February 10, 2026 Filed Feb 13, 2026 00:49 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 887 | $744.83 | $660,664.21 |
DisclosureSEC source: 0001104659-26-014520 · tm266149-5_4seq1.xml · nonDerivative · entry 2 Shurman Rodney Michael · CIK 0002110101 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,204 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 00:49 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 2,469 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-26-014520 · tm266149-5_4seq1.xml · nonDerivative · entry 1 Shurman Rodney Michael · CIK 0002110101 · Group President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,091 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.