Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CATERPILLAR INCCAT · Entity 2808 | Director | December 05, 2024 | December 06, 2024 |
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 December 05, 2024 · Filed December 06, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 4,728 |
Reported balance
After 2024-12-05 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2024-12-05 · Gift · Disposed 250 · Balance 4,728 F1: Represents a donation of ordinary shares to a 501(c)(3) organization account. F2: Includes dividends accrued. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents a donation of ordinary shares to a 501(c)(3) organization account.
F2: Includes dividends accrued.
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 |
|---|---|---|---|---|---|---|
| December 05, 2024 Filed Dec 6, 2024 17:15 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon Stock | 250 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-24-126194 · tm2430330-1_4seq1.xml · nonDerivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,728 F1 · shares: Represents a donation of ordinary shares to a 501(c)(3) organization account. F2 · balance_after: Includes dividends accrued. Read SEC document |
| November 06, 2024 Filed Nov 7, 2024 17:32 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 1,300 | $418.00 | $543,400.00 |
DisclosureSEC source: 0001104659-24-115201 · tm2427666-2_4seq1.xml · nonDerivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,976 F1 · balance_after: Includes dividends accrued. Read SEC document |
| June 12, 2024 Filed Jun 13, 2024 17:09 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 517 | $328.73 | $169,953.41 |
DisclosureSEC source: 0001104659-24-071177 · tm2417161-1_4seq1.xml · nonDerivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,274 F1 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| May 06, 2024 Filed May 8, 2024 10:00 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherPhantom Stock Units · Derivative | 2,931 | $341.12 | $999,822.72 |
DisclosureSEC source: 0001104659-24-058321 · tm2413815-1_4seq1.xml · derivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 13,886 Underlying: Common Stock · 2,931 shares Expires not disclosed F1 · derivative.exercise_price: Each Phantom Stock unit is equivalent to one share of Caterpillar Inc. common stock. F2 · kind: Intra-plan transfer pursuant to the Director's Deferred Compensation Plan. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| May 01, 2024 Filed May 2, 2024 15:03 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherPhantom Stock Units · Derivative | 3,736 | $334.62 | $1,250,140.32 |
DisclosureSEC source: 0001104659-24-056112 · tm2413327-1_4seq1.xml · derivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 16,818 Underlying: Common Stock · 3,736 shares Expires not disclosed F1 · derivative.exercise_price: Each Phantom Stock unit is equivalent to one share of Caterpillar Inc. common stock. F2 · kind: Intra-plan transfer pursuant to the Director's Deferred Compensation Plan. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| May 01, 2024 Filed May 7, 2024 21:25 UTC Amendment | CATERPILLAR INC CAT · Entity 2808 | OtherPhantom Stock Units · Derivative | 3,736 | $334.62 | $1,250,140.32 |
DisclosureSEC source: 0001104659-24-058136 · tm2413794-1_4aseq1.xml · derivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 16,818 Underlying: Common Stock · 3,736 shares Expires not disclosed F1 · derivative.exercise_price: Each Phantom Stock unit is equivalent to one share of Caterpillar Inc. common stock. F2 · kind: Intra-plan transfer pursuant to the Director's Deferred Compensation Plan. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| August 03, 2023 Filed Aug 4, 2023 23:32 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherPhantom Stock Unis · Derivative | 9,982 | $284.50 | $2,839,879.00 |
DisclosureSEC source: 0001104659-23-087957 · tm2322787-3_4seq1.xml · derivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 20,267 Underlying: Common Stock · 9,982 shares Expires not disclosed F1 · derivative.exercise_price: Each Phantom Stock unit is equilvant to one share of Caterpillar Inc. common stock. F2 · kind: Intra-plan transfer pursuannt to the Caterpillar Inc. Director's Deferred Compensation Plan. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Directors' Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Directors' Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes adjustment for dividends accrued. Read SEC document |
| June 14, 2023 Filed Jun 15, 2023 14:51 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 698 | $243.32 | $169,837.36 |
DisclosureSEC source: 0001104659-23-071462 · tm2318786-1_4seq1.xml · nonDerivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,745 F1 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| February 06, 2023 Filed Feb 7, 2023 18:54 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 6,070 | $251.22 | $1,524,905.40 |
DisclosureSEC source: 0001104659-23-011649 · tm235765-1_4seq1.xml · nonDerivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,038 F1 · price: This transaction was executed in multiple trades at prices ranging from $251.1050 to $251.32. 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 adjustments for dividends accrued. Read SEC document |
| June 08, 2022 Filed Jun 10, 2022 16:24 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 816 | $229.80 | $187,516.80 |
DisclosureSEC source: 0000018230-22-000136 · wf-form4_165487825354135.xml · nonDerivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,099 F1 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| March 01, 2021 Filed Mar 3, 2021 19:48 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 683 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-21-000097 · wf-form4_161480092313792.xml · nonDerivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,269 F1 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| March 02, 2020 Filed Mar 3, 2020 23:32 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 1,176 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-20-000092 · wf-form4_158327835072690.xml · nonDerivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,554 F1 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| March 04, 2019 Filed Mar 6, 2019 23:00 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 1,084 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-19-000101 · wf-form4_155191322430550.xml · nonDerivative · entry 2 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,345 Read SEC document |
| February 05, 2019 Filed Mar 6, 2019 23:00 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon Stock | 310 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-19-000101 · wf-form4_155191322430550.xml · nonDerivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,261 F1 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| March 05, 2018 Filed Mar 7, 2018 23:58 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 993 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-18-000086 · wf-form4_152046707107004.xml · nonDerivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,547 Read SEC document |
| December 29, 2017 Filed Jan 3, 2018 19:54 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 237 | $158.00 | $37,446.00 |
DisclosureSEC source: 0000018230-18-000018 · wf-form4_151500926789643.xml · derivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,424 Underlying: Common Stock · 237 shares Expires not disclosed F1 · derivative.exercise_price: Each Phantom Stock unit is equivalent to one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar, Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar, Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| October 30, 2017 Filed Nov 1, 2017 16:19 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 3,813 | $137.09 | $522,724.17 |
DisclosureSEC source: 0001104659-17-065130 · a4.xml · nonDerivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,554 F1 · price: The sale price reported in Column 4 is a weighted average sale price. The corresponding shares were sold in multiple transactions at prices ranging from $137.01 to $137.25, inclusive. The reporting person undertakes to provide Caterpillar Inc., any security holder of Caterpillar Inc., or the staff of the Securities and Exchange Commission, upon request, full information. Read SEC document |
| September 29, 2017 Filed Oct 2, 2017 21:04 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 300 | $125.03 | $37,509.00 |
DisclosureSEC source: 0000018230-17-000280 · edgar.xml · derivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,039 Underlying: Common Stock · 300 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| June 30, 2017 Filed Jul 5, 2017 16:24 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 351 | $106.94 | $37,535.94 |
DisclosureSEC source: 0000018230-17-000215 · edgar.xml · derivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,564 Underlying: Common Stock · 351 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awareded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| March 31, 2017 Filed Apr 3, 2017 22:43 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 405 | $92.63 | $37,515.15 |
DisclosureSEC source: 0000018230-17-000113 · edgar.xml · derivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,026 Underlying: Common Stock · 405 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awareded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| March 06, 2017 Filed Mar 8, 2017 21:37 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 1,307 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-17-000064 · edgar.xml · nonDerivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,367 Read SEC document |
| February 14, 2017 Filed Feb 15, 2017 23:40 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 3,884 | $97.90 | $380,243.60 |
DisclosureSEC source: 0000018230-17-000043 · edgar.xml · nonDerivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,060 F1 · balance_after: Due to a clerical error, previously filed Forms 4 incorrectly included 1,616 shares of Common Stock of the Issuer among the total shares of Common Stock of the Issuer reported as beneficially owned by Mr. Dickinson. Read SEC document |
| December 30, 2016 Filed Jan 4, 2017 21:46 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 404 | $92.79 | $37,487.16 |
DisclosureSEC source: 0000018230-17-000018 · edgar.xml · derivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,430 Underlying: Common Stock · 404 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awareded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| November 10, 2016 Filed Nov 14, 2016 18:25 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionStock Appreciation Right · Derivative | 2,916 | $0.00 Strike: $63.04 | $0.00 |
DisclosureSEC source: 0000018230-16-000727 · edgar.xml · derivative · entry 4 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,916 shares Expires 2017-03-02 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. Read SEC document |
| November 10, 2016 Filed Nov 14, 2016 18:25 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 950 | $93.52 | $88,844.00 |
DisclosureSEC source: 0000018230-16-000727 · edgar.xml · nonDerivative · entry 3 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,560 Read SEC document |
| November 10, 2016 Filed Nov 14, 2016 18:25 UTC | CATERPILLAR INC CAT · Entity 2808 | Disposition to issuerCommon Stock | 1,966 | $93.49 | $183,801.34 |
DisclosureSEC source: 0000018230-16-000727 · edgar.xml · nonDerivative · entry 2 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,510 Read SEC document |
| November 10, 2016 Filed Nov 14, 2016 18:25 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 2,916 | $63.04 | $183,824.64 |
DisclosureSEC source: 0000018230-16-000727 · edgar.xml · nonDerivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,476 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| September 30, 2016 Filed Oct 4, 2016 21:38 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 424 | $88.40 | $37,481.60 |
DisclosureSEC source: 0000018230-16-000671 · edgar.xml · derivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,814 Underlying: Common Stock · 424 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| June 30, 2016 Filed Jul 5, 2016 18:58 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 501 | $74.91 | $37,529.91 |
DisclosureSEC source: 0000018230-16-000598 · edgar.xml · derivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,176 Underlying: Common Stock · 501 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| March 31, 2016 Filed Apr 4, 2016 21:40 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 489 | $76.69 | $37,501.41 |
DisclosureSEC source: 0000018230-16-000483 · edgar.xml · derivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,430 Underlying: Common Stock · 489 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| March 07, 2016 Filed Mar 9, 2016 20:53 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 1,672 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-16-000448 · edgar.xml · nonDerivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,560 F1 · balance_after: The number of shares in this column has been adjusted from the reporting person's previous Form 4 to account for dividend reinvestment. Read SEC document |
| December 31, 2015 Filed Jan 5, 2016 21:01 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 547 | $68.52 | $37,480.44 |
DisclosureSEC source: 0000018230-16-000375 · edgar.xml · derivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,691 Underlying: Common Stock · 547 shares Expires not disclosed F1 · derivative.exercise_price: Each phatom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| September 30, 2015 Filed Oct 2, 2015 19:07 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 578 | $64.90 | $37,512.20 |
DisclosureSEC source: 0000018230-15-000307 · edgar.xml · derivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,916 Underlying: Common Stock · 578 shares Expires not disclosed F1 · derivative.exercise_price: Each phatom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| June 30, 2015 Filed Jul 2, 2015 21:27 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 438 | $85.53 | $37,462.14 |
DisclosureSEC source: 0000018230-15-000252 · edgar.xml · derivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,137 Underlying: Common Stock · 438 shares Expires not disclosed F1 · derivative.exercise_price: Each phatom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| May 08, 2015 Filed May 12, 2015 18:31 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionStock Appreciation Right · Derivative | 2,917 | $0.00 Strike: $63.04 | $0.00 |
DisclosureSEC source: 0000018230-15-000179 · edgar.xml · derivative · entry 4 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,916 Underlying: Common Stock · 2,917 shares Expires 2017-03-02 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. Read SEC document |
| May 08, 2015 Filed May 12, 2015 18:31 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 807 | $87.10 | $70,285.67 |
DisclosureSEC source: 0000018230-15-000179 · edgar.xml · nonDerivative · entry 3 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,271 Read SEC document |
| May 08, 2015 Filed May 12, 2015 18:31 UTC | CATERPILLAR INC CAT · Entity 2808 | Disposition to issuerCommon Stock | 2,110 | $87.11 | $183,802.10 |
DisclosureSEC source: 0000018230-15-000179 · edgar.xml · nonDerivative · entry 2 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,078 Read SEC document |
| May 08, 2015 Filed May 12, 2015 18:31 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 2,917 | $63.04 | $183,887.68 |
DisclosureSEC source: 0000018230-15-000179 · edgar.xml · nonDerivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,188 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 31, 2015 Filed Apr 1, 2015 20:18 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 311 | $80.23 | $24,951.53 |
DisclosureSEC source: 0000018230-15-000131 · edgar.xml · derivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,543 Underlying: Common Stock · 311 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| March 02, 2015 Filed Mar 4, 2015 21:37 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 1,506 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-15-000095 · edgar.xml · nonDerivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,271 Read SEC document |
| January 30, 2015 Filed Feb 3, 2015 16:29 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 156 | $80.12 | $12,498.72 |
DisclosureSEC source: 0000018230-15-000052 · edgar.xml · derivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,073 Underlying: Common Stock · 156 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| December 31, 2014 Filed Jan 5, 2015 19:33 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 135 | $92.51 | $12,488.85 |
DisclosureSEC source: 0000018230-15-000014 · edgar.xml · derivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,917 Underlying: Common Stock · 135 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| November 28, 2014 Filed Dec 2, 2014 20:41 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 122 | $102.37 | $12,488.53 |
DisclosureSEC source: 0000018230-14-000439 · edgar.xml · derivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,781 Underlying: Common Stock · 122 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| October 31, 2014 Filed Nov 3, 2014 20:39 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 123 | $101.61 | $12,497.42 |
DisclosureSEC source: 0000018230-14-000408 · edgar.xml · derivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,532 Underlying: Common Stock · 123 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| September 30, 2014 Filed Oct 1, 2014 19:41 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 126 | $99.45 | $12,530.70 |
DisclosureSEC source: 0000018230-14-000364 · edgar.xml · derivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,409 Underlying: Common Stock · 126 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| August 29, 2014 Filed Sep 3, 2014 18:14 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 115 | $108.68 | $12,497.63 |
DisclosureSEC source: 0000018230-14-000330 · edgar.xml · derivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,283 Underlying: Common Stock · 115 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| July 31, 2014 Filed Aug 4, 2014 16:32 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 123 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000289 · edgar.xml · derivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,052 Underlying: Common Stock · 123 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| June 30, 2014 Filed Jul 2, 2014 19:30 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 116 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000263 · edgar.xml · derivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,929 Underlying: Common Stock · 116 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| May 30, 2014 Filed Jun 3, 2014 15:36 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 122 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000199 · edgar.xml · derivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,813 Underlying: Common Stock · 122 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| April 30, 2014 Filed May 2, 2014 16:34 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 118 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000161 · edgar.xml · derivative · entry 1 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,589 Underlying: Common Stock · 118 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. 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.