Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CATERPILLAR INCCAT · Entity 2808 | Director | March 31, 2021 | April 02, 2021 |
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 March 31, 2021 · Filed April 02, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Phantom Stock UnitsSEC Table II · derivative / convertible security | Direct | 35,425 |
Reported balance
After 2021-03-31 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2021-03-31 · Grant · Acquired 161 · Balance 35,425 F1: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2: Phantom stock units awarded or acquired in lieu of director cash compensation. F3: 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: Includes adjustments for dividends accrued. |
Filing footnotes · ownership attribution and instrument terms
F1: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock.
F2: Phantom stock units awarded or acquired in lieu of director cash compensation.
F3: 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: Includes adjustments for 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 |
|---|---|---|---|---|---|---|
| November 30, 2004 Filed Dec 1, 2004 19:23 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon | 41 | $90.99 | $3,730.59 |
DisclosureSEC source: 0000018230-04-000672 · edgar.xml · nonDerivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,439 F1 · kind: Stock received in lieu of director's fees. Read SEC document |
| October 29, 2004 Filed Nov 1, 2004 16:13 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon | 65 | $80.14 | $5,208.78 |
DisclosureSEC source: 0000018230-04-000596 · edgar.xml · nonDerivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,398 F1 · kind: Stock received in lieu of director's fees. Read SEC document |
| September 30, 2004 Filed Oct 4, 2004 14:01 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon | 47 | $80.58 | $3,787.03 |
DisclosureSEC source: 0000018230-04-000553 · edgar.xml · nonDerivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,333 F1 · kind: Stock received in lieu of director's fees. Read SEC document |
| August 31, 2004 Filed Sep 1, 2004 13:36 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon | 72 | $72.51 | $5,220.72 |
DisclosureSEC source: 0000018230-04-000499 · edgar.xml · nonDerivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,286 F1 · kind: Stock received in lieu of director's fees. Read SEC document |
| July 30, 2004 Filed Aug 2, 2004 14:04 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon | 51 | $73.61 | $3,754.11 |
DisclosureSEC source: 0000018230-04-000473 · edgar.xml · nonDerivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,214 F1 · kind: Stock received in lieu of director's fees. Read SEC document |
| June 30, 2004 Filed Jul 1, 2004 15:38 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon | 75 | $78.80 | $5,910.00 |
DisclosureSEC source: 0000018230-04-000441 · edgar.xml · nonDerivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,153 F2 · kind: Stock received in lieu of director's fees. F1 · balance_after: Included in this amount are 18 shares in dividend reinvestment. Read SEC document |
| May 28, 2004 Filed Jun 1, 2004 14:53 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon | 50 | $75.37 | $3,768.50 |
DisclosureSEC source: 0000018230-04-000326 · edgar.xml · nonDerivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,078 F2 · kind: Stock received in lieu of director's fees. F1 · balance_after: Included in this amount are 18 shares in dividend reinvestment. Read SEC document |
| April 30, 2004 Filed May 3, 2004 13:38 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon | 67 | $78.04 | $5,228.68 |
DisclosureSEC source: 0000018230-04-000283 · edgar.xml · nonDerivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,028 F2 · kind: Stock received in lieu of director's fees. F1 · balance_after: Included in this amount are 18 shares in dividend reinvestment. Read SEC document |
| April 14, 2004 Filed Apr 15, 2004 15:37 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherOption (NQ) · Derivative | 4,000 | $0.00 Strike: $81.27 | $0.00 |
DisclosureSEC source: 0000018230-04-000236 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,000 Underlying: Common · 4,000 shares Expires 2014-04-14 F2 · security: This option was granted with attached tax withholding rights. F3 · kind: Grant to reporting person of option to buy 4000 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. F3 · price: Grant to reporting person of option to buy 4000 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. F3 · derivative.exercise_date: Grant to reporting person of option to buy 4000 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| March 31, 2004 Filed Apr 1, 2004 16:49 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon | 48 | $79.36 | $3,809.28 |
DisclosureSEC source: 0000018230-04-000188 · edgar.xml · nonDerivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,961 F1 · kind: Stock received in lieu of director's fees F2 · balance_after: Included in this amount are 18 shares in dividend reinvestment. Read SEC document |
| February 27, 2004 Filed Mar 1, 2004 16:10 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon | 77 | $76.70 | $5,905.90 |
DisclosureSEC source: 0000018230-04-000141 · edgar.xml · nonDerivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,913 F1 · kind: Stock received in lieu of director's fees F2 · balance_after: Included in this amount are 18 shares in dividend reinvestment. Read SEC document |
| January 30, 2004 Filed Feb 2, 2004 17:04 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon | 48 | $77.73 | $3,731.04 |
DisclosureSEC source: 0000018230-04-000114 · edgar.xml · nonDerivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,836 F1 · kind: Stock received in lieu of director's fees F2 · balance_after: Included in this amount are 18 shares in dividend reinvestment. Read SEC document |
| December 31, 2003 Filed Jan 2, 2004 16:39 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon | 79 | $83.71 | $6,613.09 |
DisclosureSEC source: 0000018230-04-000005 · edgar.xml · nonDerivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,788 F1 · kind: Stock received in lieu of director's fees F2 · balance_after: Included in this amount are 18 shares in dividend reinvestment. Read SEC document |
| November 28, 2003 Filed Dec 1, 2003 15:32 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon | 50 | $75.72 | $3,785.75 |
DisclosureSEC source: 0000018230-03-000507 · edgar.xml · nonDerivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,701 F1 · kind: Stock received in lieu of director's fees F2 · balance_after: Included in this amount are 10 shares in dividend reinvestment. Read SEC document |
| October 31, 2003 Filed Nov 3, 2003 16:11 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon | 80 | $73.78 | $5,902.40 |
DisclosureSEC source: 0000018230-03-000481 · edgar.xml · nonDerivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,651 F1 · kind: Stock received in lieu of director's fees F2 · balance_after: Included in this amount are 10 shares in dividend reinvestment. Read SEC document |
| September 30, 2003 Filed Oct 1, 2003 20:14 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon | 55 | $68.70 | $3,778.23 |
DisclosureSEC source: 0000018230-03-000450 · edgar.xml · nonDerivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,571 F1 · price: Stock received in lieu of director's fees Read SEC document |
| August 29, 2003 Filed Sep 2, 2003 14:48 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherCommon | 23 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-03-000431 · edgar.xml · nonDerivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,516 F3 · kind: Shares issued from dividend reinvestment. F2 · balance_after: Included in this amount are 10 shares in dividend reinvestment. Read SEC document |
| August 29, 2003 Filed Sep 2, 2003 14:48 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon | 63 | $71.52 | $4,505.45 |
DisclosureSEC source: 0000018230-03-000431 · edgar.xml · nonDerivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,496 F1 · kind: Stock received in lieu of director's fees. Read SEC document |
| July 31, 2003 Filed Aug 1, 2003 19:51 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon | 56 | $67.73 | $3,792.60 |
DisclosureSEC source: 0000018230-03-000376 · edgar.xml · nonDerivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,433 F1 · kind: Stock received in lieu of director's fees. F2 · balance_after: Included in this amount are 13 shares in dividend reinvestment. Read SEC document |
| June 30, 2003 Filed Jul 1, 2003 15:03 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon | 118 | $55.82 | $6,586.76 |
DisclosureSEC source: 0000018230-03-000265 · edgar.xml · nonDerivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,377 F1 · kind: Stock received in lieu of director's fees. F2 · balance_after: Included in this amount are 13 shares in dividend reinvestment. Read SEC document |
| May 30, 2003 Filed Jun 2, 2003 14:44 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon | 74 | $51.51 | $3,811.37 |
DisclosureSEC source: 0000018230-03-000220 · edgar.xml · nonDerivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,259 F1 · kind: Stock received in lieu of director's fees. F2 · balance_after: Included in this amount are 13 shares in dividend reinvestment. 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.