Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CATERPILLAR INCCAT · Entity 2808 | Chief Accounting Officer | February 16, 2022 | February 17, 2022 |
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 February 16, 2022 · Filed February 17, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2022-02-16 transaction · row 1
1 source rowRow 1 · 2022-02-16 · Sale · Disposed 674 · Balance 0 |
| Common StockSEC Table I · non-derivative | IndirectHeld by 401(k) Plan | 1,641 |
Reported balance
Holding disclosure · report date 2022-02-16 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 1,641 F1: The information in this report is based on a 401(k) plan statement dated as of January 31, 2022. |
Filing footnotes · ownership attribution and instrument terms
F1: The information in this report is based on a 401(k) plan statement dated as of January 31, 2022.
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 |
|---|---|---|---|---|---|---|
| February 16, 2022 Filed Feb 17, 2022 18:54 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 674 | $203.11 | $136,896.14 |
DisclosureSEC source: 0000018230-22-000056 · wf-form4_164512403039667.xml · nonDerivative · entry 1 Marvel Gary Michael · CIK 0001768626 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| February 08, 2022 Filed Feb 10, 2022 18:41 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 296 | $200.77 | $59,427.92 |
DisclosureSEC source: 0000018230-22-000036 · wf-form4_164451846804179.xml · nonDerivative · entry 2 Marvel Gary Michael · CIK 0001768626 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 674 F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligations arising from the vesting of performance-based restricted stock units granted on March 4, 2019. Read SEC document |
| February 08, 2022 Filed Feb 10, 2022 18:41 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 970 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-22-000036 · wf-form4_164451846804179.xml · nonDerivative · entry 1 Marvel Gary Michael · CIK 0001768626 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 970 Read SEC document |
| May 03, 2021 Filed May 4, 2021 18:48 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 567 | $230.00 | $130,410.00 |
DisclosureSEC source: 0000018230-21-000148 · wf-form4_162015407507371.xml · nonDerivative · entry 1 Marvel Gary Michael · CIK 0001768626 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| March 08, 2021 Filed Mar 11, 2021 00:37 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 5,056 | $95.66 Strike: $95.66 | $483,656.96 |
DisclosureSEC source: 0000018230-21-000123 · wf-form4_161542305770389.xml · derivative · entry 4 Marvel Gary Michael · CIK 0001768626 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,056 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 the first, second and third anniversaries of the grant date. Read SEC document |
| March 08, 2021 Filed Mar 11, 2021 00:37 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 5,056 | $220.97 | $1,117,224.32 |
DisclosureSEC source: 0000018230-21-000123 · wf-form4_161542305770389.xml · nonDerivative · entry 2 Marvel Gary Michael · CIK 0001768626 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 567 Read SEC document |
| March 08, 2021 Filed Mar 11, 2021 00:37 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 5,056 | $95.66 | $483,656.96 |
DisclosureSEC source: 0000018230-21-000123 · wf-form4_161542305770389.xml · nonDerivative · entry 1 Marvel Gary Michael · CIK 0001768626 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,623 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| March 01, 2021 Filed Mar 3, 2021 01:59 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Options · Derivative | 3,197 | $0.00 Strike: $219.76 | $0.00 |
DisclosureSEC source: 0000018230-21-000087 · wf-form4_161473674709853.xml · derivative · entry 1 Marvel Gary Michael · CIK 0001768626 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,197 Underlying: Common Stock · 3,197 shares Expires 2031-03-01 F1 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| February 09, 2021 Filed Feb 11, 2021 20:42 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 235 | $196.78 | $46,243.30 |
DisclosureSEC source: 0000018230-21-000054 · wf-form4_161307615502886.xml · nonDerivative · entry 2 Marvel Gary Michael · CIK 0001768626 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 567 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 5, 2018. Read SEC document |
| February 09, 2021 Filed Feb 11, 2021 20:42 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 802 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-21-000054 · wf-form4_161307615502886.xml · nonDerivative · entry 1 Marvel Gary Michael · CIK 0001768626 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 802 Read SEC document |
| February 02, 2021 Filed Feb 3, 2021 21:17 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 4,018 | $74.77 Strike: $74.77 | $300,425.86 |
DisclosureSEC source: 0000018230-21-000028 · wf-form4_161238704150497.xml · derivative · entry 4 Marvel Gary Michael · CIK 0001768626 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,019 Underlying: Common Stock · 4,018 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. F2 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 7, 2016 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| February 02, 2021 Filed Feb 3, 2021 21:17 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 4,018 | $190.76 | $766,473.68 |
DisclosureSEC source: 0000018230-21-000028 · wf-form4_161238704150497.xml · nonDerivative · entry 2 Marvel Gary Michael · CIK 0001768626 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| February 02, 2021 Filed Feb 3, 2021 21:17 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 4,018 | $74.77 | $300,425.86 |
DisclosureSEC source: 0000018230-21-000028 · wf-form4_161238704150497.xml · nonDerivative · entry 1 Marvel Gary Michael · CIK 0001768626 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,018 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 |
| December 04, 2020 Filed Dec 8, 2020 13:27 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 2,318 | $83.00 Strike: $83.00 | $192,394.00 |
DisclosureSEC source: 0000018230-20-000323 · wf-form4_160743401937492.xml · derivative · entry 4 Marvel Gary Michael · CIK 0001768626 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,318 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. F2 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 2, 2015 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| December 04, 2020 Filed Dec 8, 2020 13:27 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 2,318 | $179.50 | $416,081.00 |
DisclosureSEC source: 0000018230-20-000323 · wf-form4_160743401937492.xml · nonDerivative · entry 2 Marvel Gary Michael · CIK 0001768626 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| December 04, 2020 Filed Dec 8, 2020 13:27 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 2,318 | $83.00 | $192,394.00 |
DisclosureSEC source: 0000018230-20-000323 · wf-form4_160743401937492.xml · nonDerivative · entry 1 Marvel Gary Michael · CIK 0001768626 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,318 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 |
| December 02, 2020 Filed Dec 4, 2020 14:31 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 4,634 | $83.00 Strike: $83.00 | $384,622.00 |
DisclosureSEC source: 0000018230-20-000321 · wf-form4_160709228682120.xml · derivative · entry 4 Marvel Gary Michael · CIK 0001768626 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,318 Underlying: Common Stock · 4,634 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. F2 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 2, 2015 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| December 02, 2020 Filed Dec 4, 2020 14:31 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 4,634 | $173.26 | $802,886.84 |
DisclosureSEC source: 0000018230-20-000321 · wf-form4_160709228682120.xml · nonDerivative · entry 2 Marvel Gary Michael · CIK 0001768626 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| December 02, 2020 Filed Dec 4, 2020 14:31 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 4,634 | $83.00 | $384,622.00 |
DisclosureSEC source: 0000018230-20-000321 · wf-form4_160709228682120.xml · nonDerivative · entry 1 Marvel Gary Michael · CIK 0001768626 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,634 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 |
| October 29, 2020 Filed Oct 30, 2020 22:28 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 4,318 | $96.31 Strike: $96.31 | $415,866.58 |
DisclosureSEC source: 0000018230-20-000285 · wf-form4_160409689876755.xml · derivative · entry 7 Marvel Gary Michael · CIK 0001768626 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,318 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 |
| October 29, 2020 Filed Oct 30, 2020 22:28 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 2,180 | $89.75 Strike: $89.75 | $195,655.00 |
DisclosureSEC source: 0000018230-20-000285 · wf-form4_160409689876755.xml · derivative · entry 6 Marvel Gary Michael · CIK 0001768626 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,180 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 |
| October 29, 2020 Filed Oct 30, 2020 22:28 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 4,318 | $154.39 | $666,656.02 |
DisclosureSEC source: 0000018230-20-000285 · wf-form4_160409689876755.xml · nonDerivative · entry 4 Marvel Gary Michael · CIK 0001768626 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| October 29, 2020 Filed Oct 30, 2020 22:28 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 4,318 | $96.31 | $415,866.58 |
DisclosureSEC source: 0000018230-20-000285 · wf-form4_160409689876755.xml · nonDerivative · entry 3 Marvel Gary Michael · CIK 0001768626 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,318 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 |
| October 29, 2020 Filed Oct 30, 2020 22:28 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 2,180 | $154.39 | $336,570.20 |
DisclosureSEC source: 0000018230-20-000285 · wf-form4_160409689876755.xml · nonDerivative · entry 2 Marvel Gary Michael · CIK 0001768626 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| October 29, 2020 Filed Oct 30, 2020 22:28 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 2,180 | $89.75 | $195,655.00 |
DisclosureSEC source: 0000018230-20-000285 · wf-form4_160409689876755.xml · nonDerivative · entry 1 Marvel Gary Michael · CIK 0001768626 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,180 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 02, 2020 Filed Mar 3, 2020 23:33 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Options · Derivative | 4,812 | $0.00 Strike: $127.60 | $0.00 |
DisclosureSEC source: 0000018230-20-000094 · wf-form4_158327839387934.xml · derivative · entry 1 Marvel Gary Michael · CIK 0001768626 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,812 Underlying: Common Stock · 4,812 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 20, 2020 Filed Feb 24, 2020 18:48 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 589 | $137.83 | $81,181.87 |
DisclosureSEC source: 0000018230-20-000068 · wf-form4_158257010545077.xml · nonDerivative · entry 1 Marvel Gary Michael · CIK 0001768626 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| February 11, 2020 Filed Feb 13, 2020 18:59 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 305 | $136.15 | $41,525.75 |
DisclosureSEC source: 0000018230-20-000034 · wf-form4_158162032470509.xml · nonDerivative · entry 2 Marvel Gary Michael · CIK 0001768626 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 589 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 | 894 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-20-000034 · wf-form4_158162032470509.xml · nonDerivative · entry 1 Marvel Gary Michael · CIK 0001768626 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 894 Read SEC document |
| October 29, 2019 Filed Oct 30, 2019 17:34 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 2,180 | $0.00 Strike: $89.75 | $0.00 |
DisclosureSEC source: 0000018230-19-000277 · wf-form4_157245685291617.xml · derivative · entry 4 Marvel Gary Michael · CIK 0001768626 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,180 Underlying: Common Stock · 2,180 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 |
| October 29, 2019 Filed Oct 30, 2019 17:34 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 2,180 | $139.38 | $303,848.40 |
DisclosureSEC source: 0000018230-19-000277 · wf-form4_157245685291617.xml · nonDerivative · entry 2 Marvel Gary Michael · CIK 0001768626 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| October 29, 2019 Filed Oct 30, 2019 17:34 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 2,180 | $89.75 | $195,655.00 |
DisclosureSEC source: 0000018230-19-000277 · wf-form4_157245685291617.xml · nonDerivative · entry 1 Marvel Gary Michael · CIK 0001768626 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,180 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, 2019 Filed Mar 5, 2019 23:05 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Options · Derivative | 3,753 | $0.00 Strike: $138.35 | $0.00 |
DisclosureSEC source: 0000018230-19-000077 · wf-form4_155182712594345.xml · derivative · entry 1 Marvel Gary Michael · CIK 0001768626 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,753 Underlying: Common Stock · 3,753 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.