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 |
|---|---|---|---|---|---|---|
| January 02, 2019 Filed Jan 10, 2019 22:43 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 758 | $125.44 | $95,083.52 |
DisclosureSEC source: 0000018230-19-000014 · wf-form4_154716016744538.xml · nonDerivative · entry 1 Younessi Ramin · CIK 0001743079 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,440 F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligations arising from the vesting of restricted stock units granted on 1/2/2014. Read SEC document |
| October 26, 2018 Filed Oct 30, 2018 23:30 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 12 | $115.05 | $1,380.60 |
DisclosureSEC source: 0000018230-18-000291 · wf-form4_154094221501324.xml · derivative · entry 1 Younessi Ramin · CIK 0001743079 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 263 Underlying: Common Stock · 12 shares Expires not disclosed F1 · derivative.exercise_price: Each Phantom Stock unit is the economic equivalent to one share of Caterpillar Inc. common stock. F2 · shares: This total includes 6 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 6 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 21:21 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 8 | $153.17 | $1,225.36 |
DisclosureSEC source: 0000018230-18-000257 · wf-form4_153816964598114.xml · derivative · entry 1 Younessi Ramin · CIK 0001743079 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 251 Underlying: Common Stock · 8 shares Expires not disclosed F1 · derivative.exercise_price: Each Phantom Stock unit is the economic equivalent to one share of Caterpillar Inc. common stock. F2 · shares: This total includes 4 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 4 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 18:54 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 9 | $138.21 | $1,243.89 |
DisclosureSEC source: 0000018230-18-000237 · wf-form4_153539604507725.xml · derivative · entry 1 Younessi Ramin · CIK 0001743079 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 243 Underlying: Common Stock · 9 shares Expires not disclosed F1 · derivative.exercise_price: Each Phantom Stock unit is the economic equivalent to one share of Caterpillar Inc. common stock. F2 · shares: This total includes 5 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 4 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 |
| July 26, 2018 Filed Jul 30, 2018 18:26 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 9 | $142.58 | $1,283.22 |
DisclosureSEC source: 0000018230-18-000223 · wf-form4_153297516779714.xml · derivative · entry 1 Younessi Ramin · CIK 0001743079 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 234 Underlying: Common Stock · 9 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 5 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $142.58 and 4 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.