Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CATERPILLAR INCCAT · Entity 2808 | CLO/General Counsel | June 07, 2023 | June 09, 2023 |
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 June 07, 2023 · Filed June 09, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 13,890 |
Ending reported balance
After 2023-06-07 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2023-06-07 · Exercise / conversion · Acquired 20,529 · Balance 29,305 Row 2 · 2023-06-07 · Tax withholding · Disposed 15,415 · Balance 13,890 |
| Employee Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $127.60 · Expires 2030-03-02 | Direct | 0 |
Reported balance
After 2023-06-07 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2023-06-07 · Exercise / conversion · Disposed 20,529 · Balance 0 F1: 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 anniversary of the grant date. |
| Common StockSEC Table I · non-derivative | IndirectHeld by 401(k) Plan | 86 |
Reported balance
Holding disclosure · report date 2023-06-07 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 86 F2: The information in this report is based on a 401(k) plan statement dated as of May 31, 2023. |
Filing footnotes · ownership attribution and instrument terms
F1: 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 anniversary of the grant date.
F2: The information in this report is based on a 401(k) plan statement dated as of May 31, 2023.
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 |
|---|---|---|---|---|---|---|
| August 04, 2020 Filed Aug 5, 2020 23:01 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherCommon Stock | 619 | $131.52 | $81,410.88 |
DisclosureSEC source: 0000018230-20-000217 · wf-form4_159666850306674.xml · nonDerivative · entry 3 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Indirect · Held by 401(k) Plan Disclosed balance after: 0 Read SEC document |
| August 04, 2020 Filed Aug 5, 2020 23:01 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 1,673 | $131.26 | $219,597.98 |
DisclosureSEC source: 0000018230-20-000217 · wf-form4_159666850306674.xml · nonDerivative · entry 2 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,062 Read SEC document |
| August 04, 2020 Filed Aug 5, 2020 23:01 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 1,971 | $95.66 | $188,545.86 |
DisclosureSEC source: 0000018230-20-000217 · wf-form4_159666850306674.xml · nonDerivative · entry 1 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,735 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, 2020 Filed Mar 10, 2020 14:44 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 390 | $120.34 | $46,932.60 |
DisclosureSEC source: 0000018230-20-000114 · wf-form4_158385142613234.xml · nonDerivative · entry 2 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,764 F2 · shares: Represents shares withheld from the reporting person to satisfy tax obligations arising from the vesting of restricted stock units granted on August 14, 2017. Read SEC document |
| March 06, 2020 Filed Mar 10, 2020 14:44 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 1,821 | $120.34 | $219,139.14 |
DisclosureSEC source: 0000018230-20-000114 · wf-form4_158385142613234.xml · nonDerivative · entry 1 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,154 F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligations arising from the vesting of restricted stock units granted on March 6, 2017. Read SEC document |
| March 02, 2020 Filed Mar 3, 2020 23:34 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Options · Derivative | 61,587 | $0.00 Strike: $127.60 | $0.00 |
DisclosureSEC source: 0000018230-20-000097 · wf-form4_158327846143492.xml · derivative · entry 1 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,587 Underlying: Common Stock · 61,587 shares Expires 2030-03-02 F1 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan and vest equally in 1/3 increments beginning on the first anniversary of the grant date. Read SEC document |
| February 11, 2020 Filed Feb 13, 2020 18:59 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 332 | $136.15 | $45,201.80 |
DisclosureSEC source: 0000018230-20-000036 · wf-form4_158162036583800.xml · nonDerivative · entry 2 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,975 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 6, 2017. Read SEC document |
| February 11, 2020 Filed Feb 13, 2020 18:59 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 1,045 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-20-000036 · wf-form4_158162036583800.xml · nonDerivative · entry 1 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,307 Read SEC document |
| October 28, 2019 Filed Oct 30, 2019 17:34 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 3,943 | $0.00 Strike: $95.66 | $0.00 |
DisclosureSEC source: 0000018230-19-000278 · wf-form4_157245687228867.xml · derivative · entry 4 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,971 Underlying: Common Stock · 3,943 shares Expires 2027-03-06 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 6, 2017 and vest equally in 1/3 increments on each of the first, second and third anniversaries of the grant date. Read SEC document |
| October 28, 2019 Filed Oct 30, 2019 17:34 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 3,250 | $139.73 | $454,122.50 |
DisclosureSEC source: 0000018230-19-000278 · wf-form4_157245687228867.xml · nonDerivative · entry 2 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,262 Read SEC document |
| October 28, 2019 Filed Oct 30, 2019 17:34 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 3,943 | $95.66 | $377,187.38 |
DisclosureSEC source: 0000018230-19-000278 · wf-form4_157245687228867.xml · nonDerivative · entry 1 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,512 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, 2019 Filed Oct 2, 2019 18:56 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 5,019 | $126.34 | $634,100.46 |
DisclosureSEC source: 0000018230-19-000257 · wf-form4_157004257944089.xml · nonDerivative · entry 1 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,569 F1 · shares: These shares were sold pursuant to a Rule 10b5-1 plan adopted by the reporting person on August 29, 2019. Read SEC document |
| May 28, 2019 Filed May 29, 2019 21:25 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 5,922 | $0.00 Strike: $74.77 | $0.00 |
DisclosureSEC source: 0000018230-19-000163 · wf-form4_155916508772580.xml · derivative · entry 7 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,922 shares Expires 2026-03-07 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_date: The stock options vested equally in 1/3 increments beginning on the first anniversary of the grant date. Read SEC document |
| May 28, 2019 Filed May 29, 2019 21:25 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 2,219 | $0.00 Strike: $83.00 | $0.00 |
DisclosureSEC source: 0000018230-19-000163 · wf-form4_155916508772580.xml · derivative · entry 6 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,219 shares Expires 2025-03-02 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_date: The stock options vested equally in 1/3 increments beginning on the first anniversary of the grant date. Read SEC document |
| May 28, 2019 Filed May 29, 2019 21:25 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 6,462 | $122.25 | $789,979.50 |
DisclosureSEC source: 0000018230-19-000163 · wf-form4_155916508772580.xml · nonDerivative · entry 3 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,588 Read SEC document |
| May 28, 2019 Filed May 29, 2019 21:25 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 5,922 | $74.77 | $442,787.94 |
DisclosureSEC source: 0000018230-19-000163 · wf-form4_155916508772580.xml · nonDerivative · entry 2 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,050 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 28, 2019 Filed May 29, 2019 21:25 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 2,219 | $83.00 | $184,177.00 |
DisclosureSEC source: 0000018230-19-000163 · wf-form4_155916508772580.xml · nonDerivative · entry 1 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,128 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 24, 2019 Filed May 29, 2019 21:25 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 34 | $122.90 | $4,178.60 |
DisclosureSEC source: 0000018230-19-000163 · wf-form4_155916508772580.xml · derivative · entry 5 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,044 Underlying: Common Stock · 34 shares Expires not disclosed F2 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F3 · shares: This total includes 31 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $122.90 and 3 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F4 · derivative.exercise_date: The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · derivative.expiration_date: The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| April 26, 2019 Filed Apr 29, 2019 21:29 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 28 | $139.03 | $3,892.84 |
DisclosureSEC source: 0000018230-19-000144 · wf-form4_155657333472824.xml · derivative · entry 1 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,010 Underlying: Common Stock · 28 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: This total includes 27 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $139.03 and 1 share that was contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the 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 Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| March 26, 2019 Filed Mar 28, 2019 14:39 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 28 | $131.84 | $3,691.52 |
DisclosureSEC source: 0000018230-19-000124 · wf-form4_155378394964758.xml · derivative · entry 1 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,982 Underlying: Common Stock · 28 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: This total includes 27 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $131.84 and 1 share that was contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the 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 Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| March 11, 2019 Filed Mar 12, 2019 20:58 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 1,180 | $133.11 | $157,069.80 |
DisclosureSEC source: 0000018230-19-000117 · wf-form4_155242431973475.xml · derivative · entry 2 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,954 Underlying: Common Stock · 1,180 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F4 · shares: This total includes 590 shares that were credited to the reporting person's account under the Plan at a price per share of $133.11 and 590 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The Phantom Stock units were acquired under the 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 Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| March 08, 2019 Filed Mar 12, 2019 20:58 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 405 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-19-000117 · wf-form4_155242431973475.xml · derivative · entry 1 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,774 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: The Phantom Stock units were contributed to the reporting person pursuant to the terms of the Caterpillar Inc. Supplemental Deferred Compensation Plan ( the "Plan") for no consideration. F3 · derivative.exercise_date: The Phantom Stock units were acquired under the 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 Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| March 06, 2019 Filed Mar 8, 2019 19:01 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 390 | $136.19 | $53,114.10 |
DisclosureSEC source: 0000018230-19-000111 · wf-form4_155207165464995.xml · nonDerivative · entry 2 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,909 F2 · shares: Represents shares withheld from the reporting person to satisfy tax obligations arising from the vesting of restricted stock units granted on August 14, 2017. Read SEC document |
| March 06, 2019 Filed Mar 8, 2019 19:01 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 2,161 | $136.19 | $294,306.59 |
DisclosureSEC source: 0000018230-19-000111 · wf-form4_155207165464995.xml · nonDerivative · entry 1 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,299 F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligations arising from the vesting of restricted stock units granted on March 6, 2017. Read SEC document |
| March 04, 2019 Filed Mar 5, 2019 23:07 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Options · Derivative | 48,034 | $0.00 Strike: $138.35 | $0.00 |
DisclosureSEC source: 0000018230-19-000080 · wf-form4_155182723027767.xml · derivative · entry 1 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,034 Underlying: Common Stock · 48,034 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 |
| February 26, 2019 Filed Feb 27, 2019 22:10 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 27 | $137.98 | $3,725.46 |
DisclosureSEC source: 0000018230-19-000059 · wf-form4_155130540139936.xml · derivative · entry 1 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,369 Underlying: Common Stock · 27 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: This total includes 25 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $137.98 and 2 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the 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 Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| February 12, 2019 Filed Feb 14, 2019 22:30 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 437 | $131.78 | $57,587.86 |
DisclosureSEC source: 0000018230-19-000045 · wf-form4_155018343059640.xml · nonDerivative · entry 2 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,460 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 7, 2016. Read SEC document |
| February 12, 2019 Filed Feb 14, 2019 22:30 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 1,404 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-19-000045 · wf-form4_155018343059640.xml · nonDerivative · entry 1 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,897 Read SEC document |
| January 25, 2019 Filed Jan 28, 2019 20:50 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 27 | $136.86 | $3,695.22 |
DisclosureSEC source: 0000018230-19-000025 · wf-form4_154870860487499.xml · derivative · entry 1 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,342 Underlying: Common Stock · 27 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: This total includes 26 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $136.86 and 1 share that was contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Suplemental 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. Suplemental 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 26, 2018 Filed Dec 28, 2018 15:49 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 96 | $124.76 | $11,976.96 |
DisclosureSEC source: 0000018230-18-000324 · wf-form4_154601213077999.xml · derivative · entry 1 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,315 Underlying: Common Stock · 96 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: This total includes 68 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $124.76 and 28 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the 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 Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| November 26, 2018 Filed Nov 28, 2018 22:46 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 96 | $124.80 | $11,980.80 |
DisclosureSEC source: 0000018230-18-000308 · wf-form4_154344517065101.xml · derivative · entry 1 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,219 Underlying: Common Stock · 96 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: This total includes 68 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $124.80 and 28 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Suplemental 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. Suplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| October 26, 2018 Filed Oct 30, 2018 23:28 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 104 | $115.05 | $11,965.20 |
DisclosureSEC source: 0000018230-18-000290 · wf-form4_154094211463629.xml · derivative · entry 1 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,123 Underlying: Common Stock · 104 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: This total includes 74 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $115.05 and 30 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the 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 Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| September 26, 2018 Filed Sep 28, 2018 21:20 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 78 | $153.17 | $11,947.26 |
DisclosureSEC source: 0000018230-18-000256 · wf-form4_153816960197609.xml · derivative · entry 1 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,019 Underlying: Common Stock · 78 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: This total includes 55 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $153.17 and 23 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the 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 Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| August 24, 2018 Filed Aug 27, 2018 18:42 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 86 | $138.21 | $11,886.06 |
DisclosureSEC source: 0000018230-18-000236 · wf-form4_153539536141803.xml · derivative · entry 1 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,941 Underlying: Common Stock · 86 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: This total includes 61 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $138.21 and 25 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the 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 Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| August 02, 2018 Filed Aug 6, 2018 23:01 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherPhantom Stock Units · Derivative | 3,319 | $138.01 | $458,055.19 |
DisclosureSEC source: 0000018230-18-000226 · wf-form4_153359647140605.xml · derivative · entry 1 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,855 Underlying: Common Stock · 3,319 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 · 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. F2 · 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. Read SEC document |
| March 06, 2018 Filed Mar 8, 2018 00:04 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 2,153 | $153.33 | $330,119.49 |
DisclosureSEC source: 0000018230-18-000090 · wf-form4_152046743696786.xml · nonDerivative · entry 1 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,493 F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligations arising from the vesting of restricted stock units granted on March 6, 2017 and August 14, 2017. Read SEC document |
| March 05, 2018 Filed Mar 8, 2018 00:04 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Option · Derivative | 46,440 | $0.00 Strike: $151.12 | $0.00 |
DisclosureSEC source: 0000018230-18-000090 · wf-form4_152046743696786.xml · derivative · entry 3 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,440 Underlying: Common Stock · 46,440 shares Expires 2028-03-05 F3 · 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 |
| January 30, 2018 Filed Jan 31, 2018 20:17 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 528 | $160.46 | $84,722.88 |
DisclosureSEC source: 0000018230-18-000033 · wf-form4_151742984091478.xml · nonDerivative · entry 1 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,646 Read SEC document |
| August 14, 2017 Filed Aug 15, 2017 17:12 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 2,638 | $113.71 | $299,966.98 |
DisclosureSEC source: 0000018230-17-000261 · edgar.xml · nonDerivative · entry 1 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,174 Read SEC document |
| August 04, 2017 Filed Aug 7, 2017 22:18 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 2,961 | $0.00 Strike: $74.77 | $0.00 |
DisclosureSEC source: 0000018230-17-000251 · edgar.xml · derivative · entry 16 Long Suzette M · CIK 0001698572 · Int. Executive Vice President · Corporate Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,922 Underlying: Common Stock · 2,961 shares Expires 2026-03-07 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: The stock options vest equally in 1/3 increments beginning on the first anniversary of the grant date. Read SEC document |
| August 04, 2017 Filed Aug 7, 2017 22:18 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 4,438 | $0.00 Strike: $83.00 | $0.00 |
DisclosureSEC source: 0000018230-17-000251 · edgar.xml · derivative · entry 15 Long Suzette M · CIK 0001698572 · Int. Executive Vice President · Corporate Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,219 Underlying: Common Stock · 4,438 shares Expires 2025-03-02 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: The stock options vest equally in 1/3 increments beginning on the first anniversary of the grant date. Read SEC document |
| August 04, 2017 Filed Aug 7, 2017 22:18 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 1,756 | $0.00 Strike: $96.31 | $0.00 |
DisclosureSEC source: 0000018230-17-000251 · edgar.xml · derivative · entry 14 Long Suzette M · CIK 0001698572 · Int. Executive Vice President · Corporate Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,756 shares Expires 2024-03-03 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| August 04, 2017 Filed Aug 7, 2017 22:18 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 4,052 | $0.00 Strike: $89.75 | $0.00 |
DisclosureSEC source: 0000018230-17-000251 · edgar.xml · derivative · entry 13 Long Suzette M · CIK 0001698572 · Int. Executive Vice President · Corporate Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,052 shares Expires 2023-03-04 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| August 04, 2017 Filed Aug 7, 2017 22:18 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 3,025 | $0.00 Strike: $110.09 | $0.00 |
DisclosureSEC source: 0000018230-17-000251 · edgar.xml · derivative · entry 12 Long Suzette M · CIK 0001698572 · Int. Executive Vice President · Corporate Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,025 shares Expires 2022-03-05 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| August 04, 2017 Filed Aug 7, 2017 22:18 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 2,289 | $114.30 | $261,632.70 |
DisclosureSEC source: 0000018230-17-000251 · edgar.xml · nonDerivative · entry 10 Long Suzette M · CIK 0001698572 · Int. Executive Vice President · Corporate Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,536 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 $114.09 to $114.58, 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 |
| August 04, 2017 Filed Aug 7, 2017 22:18 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 2,961 | $74.77 | $221,393.97 |
DisclosureSEC source: 0000018230-17-000251 · edgar.xml · nonDerivative · entry 9 Long Suzette M · CIK 0001698572 · Int. Executive Vice President · Corporate Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,825 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 04, 2017 Filed Aug 7, 2017 22:18 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 3,650 | $114.30 | $417,195.00 |
DisclosureSEC source: 0000018230-17-000251 · edgar.xml · nonDerivative · entry 8 Long Suzette M · CIK 0001698572 · Int. Executive Vice President · Corporate Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,864 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 $114.09 to $114.58, 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 |
| August 04, 2017 Filed Aug 7, 2017 22:18 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 4,438 | $83.00 | $368,354.00 |
DisclosureSEC source: 0000018230-17-000251 · edgar.xml · nonDerivative · entry 7 Long Suzette M · CIK 0001698572 · Int. Executive Vice President · Corporate Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,514 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 |
| August 04, 2017 Filed Aug 7, 2017 22:18 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 1,585 | $114.30 | $181,165.50 |
DisclosureSEC source: 0000018230-17-000251 · edgar.xml · nonDerivative · entry 6 Long Suzette M · CIK 0001698572 · Int. Executive Vice President · Corporate Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,076 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 $114.09 to $114.58, 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 |
| August 04, 2017 Filed Aug 7, 2017 22:18 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 1,756 | $96.31 | $169,120.36 |
DisclosureSEC source: 0000018230-17-000251 · edgar.xml · nonDerivative · entry 5 Long Suzette M · CIK 0001698572 · Int. Executive Vice President · Corporate Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,661 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.