Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CARPENTER TECHNOLOGY CORPCRS · Entity 3210 | Director | October 06, 2026 | October 08, 2026 |
| CATERPILLAR INCCAT · Entity 2808 | Group President | November 02, 2020 | November 04, 2020 |
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.
CARPENTER TECHNOLOGY CORP
Report date October 06, 2026 · Filed October 08, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Director Stock UnitsSEC Table II · derivative / convertible security | Direct | 11,048.61 |
Reported balance
After 2026-10-06 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-10-06 · Grant · Acquired 361 · Balance 11,048.61 F1: Converts to common stock on a 1-for-1 basis F3: The reporting person was granted restricted stock units under the Carpenter Technology Corporation Stock-Based Compensation Plan for Non-Employee Directors. F2: Payable upon the later of separation of service or a specified date or event. F4: Includes dividend equivalents not previously reported. |
| Director Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $395.71 · Expires 2036-10-06 | Direct | 193 |
Reported balance
After 2026-10-06 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2026-10-06 · Grant · Acquired 193 · Balance 193 F5: The reporting person was granted an option to purchase stock under the Carpenter Technology Corporation Stock Based Compensation Plan for Non-Employee Directors. |
Filing footnotes · ownership attribution and instrument terms
F1: Converts to common stock on a 1-for-1 basis
F2: Payable upon the later of separation of service or a specified date or event.
F3: The reporting person was granted restricted stock units under the Carpenter Technology Corporation Stock-Based Compensation Plan for Non-Employee Directors.
F4: Includes dividend equivalents not previously reported.
F5: The reporting person was granted an option to purchase stock under the Carpenter Technology Corporation Stock Based Compensation Plan for Non-Employee Directors.
CATERPILLAR INC
Report date November 02, 2020 · Filed November 04, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 16,177 |
Ending reported balance
After 2020-11-02 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2020-11-02 · Exercise / conversion · Acquired 13,135 · Balance 29,312 Row 2 · 2020-11-02 · Sale · Disposed 13,135 · Balance 16,177 F1: This transaction was executed in multiple trades at prices ranging from $162.42 to $162.54. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. |
| Employee Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $151.12 · Expires 2028-03-05 | Direct | 6,567 |
Reported balance
After 2020-11-02 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2020-11-02 · Exercise / conversion · Disposed 13,135 · Balance 6,567 F2: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 5, 2018 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. |
Filing footnotes · ownership attribution and instrument terms
F1: This transaction was executed in multiple trades at prices ranging from $162.42 to $162.54. 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: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 5, 2018 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| October 06, 2026 Filed Oct 8, 2026 20:32 UTC | CARPENTER TECHNOLOGY CORP CRS · Entity 3210 | GrantDirector Stock Option (Right to Buy) · Derivative | 193 | Not disclosed Strike: $395.71 | Not disclosed |
DisclosureSEC source: 0001743079-26-000004 · form4.xml · derivative · entry 2 Younessi Ramin · CIK 0001743079 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 193 Underlying: Common Stock · 193 shares Expires 2036-10-06 F5 · price: The reporting person was granted an option to purchase stock under the Carpenter Technology Corporation Stock Based Compensation Plan for Non-Employee Directors. Read SEC document |
| October 06, 2026 Filed Oct 8, 2026 20:32 UTC | CARPENTER TECHNOLOGY CORP CRS · Entity 3210 | GrantDirector Stock Units · Derivative | 361 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001743079-26-000004 · form4.xml · derivative · entry 1 Younessi Ramin · CIK 0001743079 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 11,048.61 Underlying: Common Stock · 361 shares Expires not disclosed F1 · derivative.exercise_price: Converts to common stock on a 1-for-1 basis F3 · price: The reporting person was granted restricted stock units under the Carpenter Technology Corporation Stock-Based Compensation Plan for Non-Employee Directors. F2 · derivative.exercise_date: Payable upon the later of separation of service or a specified date or event. F2 · derivative.expiration_date: Payable upon the later of separation of service or a specified date or event. F4 · balance_after: Includes dividend equivalents not previously reported. Read SEC document |
| August 21, 2026 Filed Aug 25, 2026 21:07 UTC | CARPENTER TECHNOLOGY CORP CRS · Entity 3210 | Exercise / conversionDirector Stock Option (Right to Buy) · Derivative | 438 | Not disclosed Strike: $161.38 | Not disclosed |
DisclosureSEC source: 0001743079-26-000002 · form4.xml · derivative · entry 3 Younessi Ramin · CIK 0001743079 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 438 shares Expires 2034-10-08 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 · price: The reporting person was granted an option to purchase stock under the Carpenter Technology Corporation Stock Based Compensation Plan for Non-Employee Directors. Read SEC document |
| August 21, 2026 Filed Aug 25, 2026 21:07 UTC | CARPENTER TECHNOLOGY CORP CRS · Entity 3210 | SaleCommon Stock | 438 | $493.15 | $216,001.01 |
DisclosureSEC source: 0001743079-26-000002 · form4.xml · nonDerivative · entry 2 Younessi Ramin · CIK 0001743079 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,953.46 F2 · price: The price reported is an average of the total transactions executed for the day, with the individual transactions ranging from a low of $492.6 per share to a high of $493.19 per share. F1 · balance_after: Includes dividend equivalents not previously reported. Read SEC document |
| August 21, 2026 Filed Aug 25, 2026 21:07 UTC | CARPENTER TECHNOLOGY CORP CRS · Entity 3210 | Exercise / conversionCommon Stock | 438 | $161.38 | $70,684.44 |
DisclosureSEC source: 0001743079-26-000002 · form4.xml · nonDerivative · entry 1 Younessi Ramin · CIK 0001743079 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,391.46 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: Includes dividend equivalents not previously reported. Read SEC document |
| November 21, 2025 Filed Nov 25, 2025 21:23 UTC | CARPENTER TECHNOLOGY CORP CRS · Entity 3210 | GiftCommon Stock | 975 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001743079-25-000007 · form4.xml · nonDerivative · entry 2 Younessi Ramin · CIK 0001743079 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,948.95 F2 · kind: This is a gift in the form of a charitable contribution. F2 · price: This is a gift in the form of a charitable contribution. F3 · ownership.direct: Includes shares acquired under the Carpenter Technology Corporation Dividend Reinvestment Program. Read SEC document |
| November 21, 2025 Filed Nov 25, 2025 21:23 UTC | CARPENTER TECHNOLOGY CORP CRS · Entity 3210 | SaleCommon Stock | 1,300 | $307.19 | $399,347.00 |
DisclosureSEC source: 0001743079-25-000007 · form4.xml · nonDerivative · entry 1 Younessi Ramin · CIK 0001743079 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,923.95 F1 · price: The price reported is an average of the total transactions executed for the day, with the individual transactions ranging from a low of $306.96 per share to a high of $307.67 per share. Read SEC document |
| October 07, 2025 Filed Oct 9, 2025 20:28 UTC | CARPENTER TECHNOLOGY CORP CRS · Entity 3210 | GrantDirector Stock Option (Right to Buy) · Derivative | 304 | Not disclosed Strike: $256.27 | Not disclosed |
DisclosureSEC source: 0001743079-25-000005 · form4.xml · derivative · entry 2 Younessi Ramin · CIK 0001743079 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 304 Underlying: Common Stock · 304 shares Expires 2035-10-07 F5 · price: The reporting person was granted an option to purchase stock under the Carpenter Technology Corporation Stock Based Compensation Plan for Non-Employee Directors. Read SEC document |
| October 07, 2025 Filed Oct 9, 2025 20:28 UTC | CARPENTER TECHNOLOGY CORP CRS · Entity 3210 | GrantDirector Stock Units · Derivative | 557 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001743079-25-000005 · form4.xml · derivative · entry 1 Younessi Ramin · CIK 0001743079 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 10,666.8 Underlying: Common Stock · 557 shares Expires not disclosed F1 · derivative.exercise_price: Converts to common stock on a 1-for-1 basis F3 · price: The reporting person was granted restricted stock units under the Carpenter Technology Corporation Stock-Based Compensation Plan for Non-Employee Directors. F2 · derivative.exercise_date: Payable upon the later of separation of service or a specified date or event. F2 · derivative.expiration_date: Payable upon the later of separation of service or a specified date or event. F4 · balance_after: Includes dividend equivalents not previously reported. Read SEC document |
| November 20, 2024 Filed Nov 21, 2024 21:16 UTC | CARPENTER TECHNOLOGY CORP CRS · Entity 3210 | SaleCommon Stock | 290 | $183.84 | $53,313.69 |
DisclosureSEC source: 0001062993-24-019494 · form4.xml · nonDerivative · entry 3 Younessi Ramin · CIK 0001743079 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,208.72 F1 · kind: The transactions reported in this line were undertaken by the Reporting Person for tax planning purposes. F2 · balance_after: Includes shares acquired under the Carpenter Technology Corporation Dividend Reinvestment Program. Read SEC document |
| November 19, 2024 Filed Nov 21, 2024 21:16 UTC | CARPENTER TECHNOLOGY CORP CRS · Entity 3210 | Exercise / conversionDirector Stock Option (Right to Buy) · Derivative | 1,028 | Not disclosed Strike: $70.64 | Not disclosed |
DisclosureSEC source: 0001062993-24-019494 · form4.xml · derivative · entry 4 Younessi Ramin · CIK 0001743079 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,028 shares Expires 2033-10-10 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 · price: The reporting person was granted an option to purchase stock under the Carpenter Technology Corporation Stock Based Compensation Plan for Non-Employee Directors. Read SEC document |
| November 19, 2024 Filed Nov 21, 2024 21:16 UTC | CARPENTER TECHNOLOGY CORP CRS · Entity 3210 | SaleCommon Stock | 422 | $181.20 | $76,464.92 |
DisclosureSEC source: 0001062993-24-019494 · form4.xml · nonDerivative · entry 2 Younessi Ramin · CIK 0001743079 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,498.72 Read SEC document |
| November 19, 2024 Filed Nov 21, 2024 21:16 UTC | CARPENTER TECHNOLOGY CORP CRS · Entity 3210 | Exercise / conversionCommon Stock | 1,028 | $70.64 | $72,617.92 |
DisclosureSEC source: 0001062993-24-019494 · form4.xml · nonDerivative · entry 1 Younessi Ramin · CIK 0001743079 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,920.72 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 08, 2024 Filed Oct 10, 2024 20:46 UTC | CARPENTER TECHNOLOGY CORP CRS · Entity 3210 | GrantDirector Stock Options (Right to Buy) · Derivative | 438 | Not disclosed Strike: $161.38 | Not disclosed |
DisclosureSEC source: 0001062993-24-017554 · form4.xml · derivative · entry 2 Younessi Ramin · CIK 0001743079 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 438 Underlying: Common Stock · 438 shares Expires 2034-10-08 F5 · price: The reporting person was granted an option to purchase stock under the Carpenter Technology Corporation Stock Based Compensation Plan for Non-Employee Directors. Read SEC document |
| October 08, 2024 Filed Oct 10, 2024 20:46 UTC | CARPENTER TECHNOLOGY CORP CRS · Entity 3210 | GrantDirector Stock Units · Derivative | 837 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001062993-24-017554 · form4.xml · derivative · entry 1 Younessi Ramin · CIK 0001743079 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 10,072.25 Underlying: Common Stock · 837 shares Expires not disclosed F1 · derivative.exercise_price: Converts to common stock on a 1-for-1 basis F3 · price: The reporting person was granted restricted stock units under the Carpenter Technology Corporation Stock-Based Compensation Plan for Non-Employee Directors. F2 · derivative.exercise_date: Payable upon the later of separation of service or a specified date or event. F2 · derivative.expiration_date: Payable upon the later of separation of service or a specified date or event. F4 · balance_after: Includes dividend equivalents not previously reported. Read SEC document |
| August 21, 2024 Filed Aug 21, 2024 20:19 UTC | CARPENTER TECHNOLOGY CORP CRS · Entity 3210 | SaleCommon Stock | 3,234 | $143.50 | $464,069.62 |
DisclosureSEC source: 0001062993-24-015511 · form4.xml · nonDerivative · entry 4 Younessi Ramin · CIK 0001743079 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,887 F1 · kind: The transactions reported in this line were undertaken by the Reporting Person for tax planning purposes. F2 · price: The price reported is an average of the total transactions executed for the day, with the individual transactions ranging from a low of $143.428 per share to a high of $143.504 per share. Read SEC document |
| August 19, 2024 Filed Aug 21, 2024 20:19 UTC | CARPENTER TECHNOLOGY CORP CRS · Entity 3210 | Exercise / conversionDirector Stock Option (Right to Buy) · Derivative | 2,408 | Not disclosed Strike: $34.30 | Not disclosed |
DisclosureSEC source: 0001062993-24-015511 · form4.xml · derivative · entry 6 Younessi Ramin · CIK 0001743079 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,408 shares Expires 2032-10-11 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 · price: The reporting person was granted an option to purchase stock under the Carpenter Technology Corporation Stock Based Compensation Plan for Non-Employee Directors. Read SEC document |
| August 19, 2024 Filed Aug 21, 2024 20:19 UTC | CARPENTER TECHNOLOGY CORP CRS · Entity 3210 | Exercise / conversionDirector Stock Option (Right to Buy) · Derivative | 6,826 | Not disclosed Strike: $33.43 | Not disclosed |
DisclosureSEC source: 0001062993-24-015511 · form4.xml · derivative · entry 5 Younessi Ramin · CIK 0001743079 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 6,826 shares Expires 2031-10-12 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 · price: The reporting person was granted an option to purchase stock under the Carpenter Technology Corporation Stock Based Compensation Plan for Non-Employee Directors. Read SEC document |
| August 19, 2024 Filed Aug 21, 2024 20:19 UTC | CARPENTER TECHNOLOGY CORP CRS · Entity 3210 | Tax withholdingCommon Stock | 2,113 | $147.22 | $311,068.68 |
DisclosureSEC source: 0001062993-24-015511 · form4.xml · nonDerivative · entry 3 Younessi Ramin · CIK 0001743079 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 7,121 Read SEC document |
| August 19, 2024 Filed Aug 21, 2024 20:19 UTC | CARPENTER TECHNOLOGY CORP CRS · Entity 3210 | Exercise / conversionCommon Stock | 2,408 | $34.30 | $82,594.40 |
DisclosureSEC source: 0001062993-24-015511 · form4.xml · nonDerivative · entry 2 Younessi Ramin · CIK 0001743079 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 9,234 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 19, 2024 Filed Aug 21, 2024 20:19 UTC | CARPENTER TECHNOLOGY CORP CRS · Entity 3210 | Exercise / conversionCommon Stock | 6,826 | $33.43 | $228,193.18 |
DisclosureSEC source: 0001062993-24-015511 · form4.xml · nonDerivative · entry 1 Younessi Ramin · CIK 0001743079 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,826 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 10, 2023 Filed Oct 12, 2023 20:31 UTC | CARPENTER TECHNOLOGY CORP CRS · Entity 3210 | GrantDirector Stock Options (Right to Buy) · Derivative | 1,028 | Not disclosed Strike: $70.64 | Not disclosed |
DisclosureSEC source: 0001062993-23-019294 · form4.xml · derivative · entry 2 Younessi Ramin · CIK 0001743079 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,028 Underlying: Common Stock · 1,028 shares Expires 2033-10-10 F5 · price: The reporting person was granted an option to purchase stock under the Carpenter Technology Corporation Stock Based Compensation Plan for Non-Employee Directors. Read SEC document |
| October 10, 2023 Filed Oct 12, 2023 20:31 UTC | CARPENTER TECHNOLOGY CORP CRS · Entity 3210 | GrantDirector Stock Units · Derivative | 1,912 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001062993-23-019294 · form4.xml · derivative · entry 1 Younessi Ramin · CIK 0001743079 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 9,160.7 Underlying: Common Stock · 1,912 shares Expires not disclosed F1 · derivative.exercise_price: Converts to common stock on a 1-for-1 basis F3 · price: The reporting person was granted restricted stock units under the Carpenter Technology Corporation Stock-Based Compensation Plan for Non-Employee Directors. F2 · derivative.exercise_date: Payable upon the later of separation of service or a specified date or event. F2 · derivative.expiration_date: Payable upon the later of separation of service or a specified date or event. F4 · balance_after: Includes dividend equivalents not previously reported. Read SEC document |
| October 11, 2022 Filed Oct 13, 2022 21:49 UTC | CARPENTER TECHNOLOGY CORP CRS · Entity 3210 | GrantDirector Stock Options (right to buy) · Derivative | 2,408 | Not disclosed Strike: $34.30 | Not disclosed |
DisclosureSEC source: 0001062993-22-020782 · form4.xml · derivative · entry 2 Younessi Ramin · CIK 0001743079 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,408 Underlying: Common Stock · 2,408 shares Expires 2032-10-11 F5 · price: The reporting person was granted an option to purchase stock under the Carpenter Technology Corporation Stock Based Compensation Plan for Non-Employee Directors. Read SEC document |
| October 11, 2022 Filed Oct 13, 2022 21:49 UTC | CARPENTER TECHNOLOGY CORP CRS · Entity 3210 | GrantDirector Stock Units · Derivative | 3,646 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001062993-22-020782 · form4.xml · derivative · entry 1 Younessi Ramin · CIK 0001743079 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,150.53 Underlying: Common Stock · 3,646 shares Expires not disclosed F1 · derivative.exercise_price: Converts to common stock on a 1-for-1 basis F3 · price: The reporting person was granted restricted stock units under the Carpenter Technology Corporation Stock-Based Compensation Plan for Non-Employee Directors. F2 · derivative.exercise_date: Payable upon the later of separation of service or a specified date or event. F2 · derivative.expiration_date: Payable upon the later of separation of service or a specified date or event. F4 · balance_after: Includes dividend equivalents not previously reported. Read SEC document |
| October 12, 2021 Filed Oct 14, 2021 20:48 UTC | CARPENTER TECHNOLOGY CORP CRS · Entity 3210 | GrantDirector Stock Options (right to buy) · Derivative | 6,826 | Not disclosed Strike: $33.43 | Not disclosed |
DisclosureSEC source: 0001062993-21-009526 · form4.xml · derivative · entry 2 Younessi Ramin · CIK 0001743079 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,826 Underlying: Common Stock · 6,826 shares Expires 2031-10-12 F4 · price: The reporting person was granted an option to purchase stock under the Carpenter Technology Corporation Stock Based Compensation Plan for Non-Employee Directors. Read SEC document |
| October 12, 2021 Filed Oct 14, 2021 20:48 UTC | CARPENTER TECHNOLOGY CORP CRS · Entity 3210 | GrantDirector Stock Units · Derivative | 3,441 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001062993-21-009526 · form4.xml · derivative · entry 1 Younessi Ramin · CIK 0001743079 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,441 Underlying: Common Stock · 3,441 shares Expires not disclosed F1 · derivative.exercise_price: Converts to common stock on a 1-for-1 basis F3 · price: The reporting person was granted restricted stock units under the Carpenter Technology Corporation Stock-Based Compensation Plan for Non-Employee Directors. F2 · derivative.exercise_date: Payable upon the later of separation of service or a specified date or event. F2 · derivative.expiration_date: Payable upon the later of separation of service or a specified date or event. Read SEC document |
| November 02, 2020 Filed Nov 4, 2020 20:27 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 13,135 | $0.00 Strike: $151.12 | $0.00 |
DisclosureSEC source: 0000018230-20-000299 · wf-form4_160452161910456.xml · derivative · entry 3 Younessi Ramin · CIK 0001743079 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,567 Underlying: Common Stock · 13,135 shares Expires 2028-03-05 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. F2 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 5, 2018 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| November 02, 2020 Filed Nov 4, 2020 20:27 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 13,135 | $162.49 | $2,134,306.15 |
DisclosureSEC source: 0000018230-20-000299 · wf-form4_160452161910456.xml · nonDerivative · entry 2 Younessi Ramin · CIK 0001743079 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,177 F1 · price: This transaction was executed in multiple trades at prices ranging from $162.42 to $162.54. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| November 02, 2020 Filed Nov 4, 2020 20:27 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 13,135 | $151.12 | $1,984,961.20 |
DisclosureSEC source: 0000018230-20-000299 · wf-form4_160452161910456.xml · nonDerivative · entry 1 Younessi Ramin · CIK 0001743079 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,312 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 30, 2020 Filed Nov 3, 2020 00:11 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 3,554 | $154.60 | $549,448.40 |
DisclosureSEC source: 0000018230-20-000293 · wf-form4_160436225620198.xml · nonDerivative · entry 2 Younessi Ramin · CIK 0001743079 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,177 F2 · shares: This transaction was executed in multiple trades at prices ranging from $154.36 to $154.74. The price reported above reflects the weighted average sale (or purchase) price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| October 30, 2020 Filed Nov 3, 2020 00:11 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 16,938 | $154.09 | $2,609,976.42 |
DisclosureSEC source: 0000018230-20-000293 · wf-form4_160436225620198.xml · nonDerivative · entry 1 Younessi Ramin · CIK 0001743079 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,731 F1 · shares: This transaction was executed in multiple trades at prices ranging from $153.36 to $154.35. The price reported above reflects the weighted average sale (or purchase) price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| October 29, 2020 Filed Oct 30, 2020 22:28 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 18,013 | $0.00 Strike: $138.35 | $0.00 |
DisclosureSEC source: 0000018230-20-000286 · wf-form4_160409691692039.xml · derivative · entry 3 Younessi Ramin · CIK 0001743079 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,025 Underlying: Common Stock · 18,013 shares Expires 2029-03-04 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. F1 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. Long-Term Incentive Plan on March 4, 2019 and vest equally in 1/3 increments on the first, second and third anniversary of the grant date. Read SEC document |
| October 29, 2020 Filed Oct 30, 2020 22:28 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 18,013 | $151.00 | $2,719,963.00 |
DisclosureSEC source: 0000018230-20-000286 · wf-form4_160409691692039.xml · nonDerivative · entry 2 Younessi Ramin · CIK 0001743079 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,669 Read SEC document |
| October 29, 2020 Filed Oct 30, 2020 22:28 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 18,013 | $138.35 | $2,492,098.55 |
DisclosureSEC source: 0000018230-20-000286 · wf-form4_160409691692039.xml · nonDerivative · entry 1 Younessi Ramin · CIK 0001743079 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,682 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, 2020 Filed Aug 5, 2020 23:02 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 15,277 | $0.00 Strike: $95.66 | $0.00 |
DisclosureSEC source: 0000018230-20-000218 · wf-form4_159666851837362.xml · derivative · entry 3 Younessi Ramin · CIK 0001743079 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 15,277 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. F1 · 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 |
| August 04, 2020 Filed Aug 5, 2020 23:02 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 12,990 | $130.80 | $1,699,092.00 |
DisclosureSEC source: 0000018230-20-000218 · wf-form4_159666851837362.xml · nonDerivative · entry 2 Younessi Ramin · CIK 0001743079 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,669 Read SEC document |
| August 04, 2020 Filed Aug 5, 2020 23:02 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 15,277 | $95.66 | $1,461,397.82 |
DisclosureSEC source: 0000018230-20-000218 · wf-form4_159666851837362.xml · nonDerivative · entry 1 Younessi Ramin · CIK 0001743079 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,659 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 23:35 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Options · Derivative | 69,286 | $0.00 Strike: $127.60 | $0.00 |
DisclosureSEC source: 0000018230-20-000099 · wf-form4_158327850648933.xml · derivative · entry 1 Younessi Ramin · CIK 0001743079 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,286 Underlying: Common Stock · 69,286 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 19:00 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 2,514 | $136.45 | $343,035.30 |
DisclosureSEC source: 0000018230-20-000037 · wf-form4_158162038568333.xml · nonDerivative · entry 2 Younessi Ramin · CIK 0001743079 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,382 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 19:00 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 8,102 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-20-000037 · wf-form4_158162038568333.xml · nonDerivative · entry 1 Younessi Ramin · CIK 0001743079 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,896 Read SEC document |
| July 29, 2019 Filed Jul 30, 2019 18:40 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 15,277 | $0.00 Strike: $95.66 | $0.00 |
DisclosureSEC source: 0000018230-19-000221 · wf-form4_156451201871809.xml · derivative · entry 3 Younessi Ramin · CIK 0001743079 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,277 Underlying: Common Stock · 15,277 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. F1 · 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 |
| July 29, 2019 Filed Jul 30, 2019 18:40 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 12,866 | $133.47 | $1,717,225.02 |
DisclosureSEC source: 0000018230-19-000221 · wf-form4_156451201871809.xml · nonDerivative · entry 2 Younessi Ramin · CIK 0001743079 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,794 Read SEC document |
| July 29, 2019 Filed Jul 30, 2019 18:40 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 15,277 | $95.66 | $1,461,397.82 |
DisclosureSEC source: 0000018230-19-000221 · wf-form4_156451201871809.xml · nonDerivative · entry 1 Younessi Ramin · CIK 0001743079 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,660 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 22, 2019 Filed May 23, 2019 15:58 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 12,803 | $0.00 Strike: $74.77 | $0.00 |
DisclosureSEC source: 0000018230-19-000157 · wf-form4_155862711728843.xml · derivative · entry 3 Younessi Ramin · CIK 0001743079 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 12,803 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. F1 · 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 each of the first, second and third anniversaries of the grant date. Read SEC document |
| May 22, 2019 Filed May 23, 2019 15:58 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 10,036 | $123.62 | $1,240,650.32 |
DisclosureSEC source: 0000018230-19-000157 · wf-form4_155862711728843.xml · nonDerivative · entry 2 Younessi Ramin · CIK 0001743079 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,383 Read SEC document |
| May 22, 2019 Filed May 23, 2019 15:58 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 12,803 | $74.77 | $957,280.31 |
DisclosureSEC source: 0000018230-19-000157 · wf-form4_155862711728843.xml · nonDerivative · entry 1 Younessi Ramin · CIK 0001743079 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,419 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 23:07 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Options · Derivative | 54,038 | $0.00 Strike: $138.35 | $0.00 |
DisclosureSEC source: 0000018230-19-000081 · wf-form4_155182726583784.xml · derivative · entry 1 Younessi Ramin · CIK 0001743079 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,038 Underlying: Common Stock · 54,038 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 12, 2019 Filed Feb 14, 2019 22:31 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 1,896 | $131.78 | $249,854.88 |
DisclosureSEC source: 0000018230-19-000047 · wf-form4_155018349317719.xml · nonDerivative · entry 2 Younessi Ramin · CIK 0001743079 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,616 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 22:31 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 6,072 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-19-000047 · wf-form4_155018349317719.xml · nonDerivative · entry 1 Younessi Ramin · CIK 0001743079 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,512 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.