Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CATERPILLAR INCCAT · Entity 2808 | Group President | February 12, 2019 | February 14, 2019 |
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 12, 2019 · Filed February 14, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 10,661 |
Ending reported balance
After 2019-02-12 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2019-02-12 · Grant · Acquired 15,217 · Balance 16,286 Row 2 · 2019-02-12 · Tax withholding · Disposed 5,625 · Balance 10,661 F1: 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. |
| Common StockSEC Table I · non-derivative | IndirectHeld by Pellette Family Trust | 20,321 |
Reported balance
Holding disclosure · report date 2019-02-12 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 20,321 |
| Common StockSEC Table I · non-derivative | IndirectHeld by 401(k) Plan | 12,559 |
Reported balance
Holding disclosure · report date 2019-02-12 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 12,559 F2: The information in this report is based on a 401(k) plan statement dated as of 1/31/2019. |
Filing footnotes · ownership attribution and instrument terms
F1: 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.
F2: The information in this report is based on a 401(k) plan statement dated as of 1/31/2019.
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 12, 2019 Filed Feb 14, 2019 22:31 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 5,625 | $131.78 | $741,262.50 |
DisclosureSEC source: 0000018230-19-000046 · wf-form4_155018346184068.xml · nonDerivative · entry 2 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,661 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 | 15,217 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-19-000046 · wf-form4_155018346184068.xml · nonDerivative · entry 1 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,286 Read SEC document |
| May 07, 2018 Filed May 9, 2018 18:35 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 28,220 | $0.00 Strike: $96.31 | $0.00 |
DisclosureSEC source: 0000018230-18-000145 · wf-form4_152589089319397.xml · derivative · entry 13 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 28,220 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 |
| May 07, 2018 Filed May 9, 2018 18:35 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 20,569 | $0.00 Strike: $89.75 | $0.00 |
DisclosureSEC source: 0000018230-18-000145 · wf-form4_152589089319397.xml · derivative · entry 12 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 20,569 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 |
| May 07, 2018 Filed May 9, 2018 18:35 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 4,456 | $0.00 Strike: $110.09 | $0.00 |
DisclosureSEC source: 0000018230-18-000145 · wf-form4_152589089319397.xml · derivative · entry 11 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,456 shares Expires 2022-03-04 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 |
| May 07, 2018 Filed May 9, 2018 18:35 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionStock Appreciation Right · Derivative | 3,842 | $0.00 Strike: $102.13 | $0.00 |
DisclosureSEC source: 0000018230-18-000145 · wf-form4_152589089319397.xml · derivative · entry 10 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,842 shares Expires 2021-03-07 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. Read SEC document |
| May 07, 2018 Filed May 9, 2018 18:35 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 53,245 | $150.16 | $7,995,269.20 |
DisclosureSEC source: 0000018230-18-000145 · wf-form4_152589089319397.xml · nonDerivative · entry 7 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,069 F2 · shares: 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 $150.00 to $150.43, inclusive. The reporting person undertakes to provide Caterpillar Inc., and any security holder of Caterpillar Inc., or the staff of the Securities and Exchange Commission, upon request, information regarding the number of shares sold at each price within the range. Read SEC document |
| May 07, 2018 Filed May 9, 2018 18:35 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 28,220 | $96.31 | $2,717,868.20 |
DisclosureSEC source: 0000018230-18-000145 · wf-form4_152589089319397.xml · nonDerivative · entry 6 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,314 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 07, 2018 Filed May 9, 2018 18:35 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 20,569 | $89.75 | $1,846,067.75 |
DisclosureSEC source: 0000018230-18-000145 · wf-form4_152589089319397.xml · nonDerivative · entry 5 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,094 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 07, 2018 Filed May 9, 2018 18:35 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 4,456 | $110.09 | $490,561.04 |
DisclosureSEC source: 0000018230-18-000145 · wf-form4_152589089319397.xml · nonDerivative · entry 4 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,525 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 07, 2018 Filed May 9, 2018 18:35 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 1,236 | $150.56 | $186,092.16 |
DisclosureSEC source: 0000018230-18-000145 · wf-form4_152589089319397.xml · nonDerivative · entry 3 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,069 Read SEC document |
| May 07, 2018 Filed May 9, 2018 18:35 UTC | CATERPILLAR INC CAT · Entity 2808 | Disposition to issuerCommon Stock | 2,606 | $150.54 | $392,307.24 |
DisclosureSEC source: 0000018230-18-000145 · wf-form4_152589089319397.xml · nonDerivative · entry 2 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,305 Read SEC document |
| May 07, 2018 Filed May 9, 2018 18:35 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 3,842 | $102.13 | $392,383.46 |
DisclosureSEC source: 0000018230-18-000145 · wf-form4_152589089319397.xml · nonDerivative · entry 1 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,911 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: This amount reflects 7,521 shares that were transferred to Pellette Family Trust. Read SEC document |
| March 12, 2018 Filed Mar 13, 2018 21:34 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 380 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-18-000108 · wf-form4_152097685128152.xml · derivative · entry 1 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 897 Underlying: Common Stock · 380 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 253 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $154.50 and 127 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 retirment 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 retirment or separation from service. Read SEC document |
| March 05, 2018 Filed Mar 8, 2018 00:05 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Option · Derivative | 56,290 | $0.00 Strike: $151.12 | $0.00 |
DisclosureSEC source: 0000018230-18-000093 · wf-form4_152046750725361.xml · derivative · entry 1 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,290 Underlying: Common Stock · 56,290 shares Expires 2028-03-05 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 13, 2018 Filed Feb 15, 2018 23:42 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 5,984 | $153.10 | $916,150.40 |
DisclosureSEC source: 0000018230-18-000049 · wf-form4_151873815140476.xml · nonDerivative · entry 2 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,590 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 February 27, 2015. Read SEC document |
| February 13, 2018 Filed Feb 15, 2018 23:42 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 13,505 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-18-000049 · wf-form4_151873815140476.xml · nonDerivative · entry 1 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,574 Read SEC document |
| January 31, 2018 Filed Feb 3, 2018 01:56 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 95,199 | $83.00 Strike: $83.00 | $7,901,517.00 |
DisclosureSEC source: 0000018230-18-000035 · wf-form4_151762298977312.xml · derivative · entry 7 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,599 Underlying: Common Stock · 95,199 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. F6 · 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 31, 2018 Filed Feb 3, 2018 01:56 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 6,376 | $162.70 | $1,037,375.20 |
DisclosureSEC source: 0000018230-18-000035 · wf-form4_151762298977312.xml · nonDerivative · entry 4 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,069 F3 · 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 $162..69 to $162.60, inclusive. The reporting person undertakes to provide Caterpillar Inc., and any security holder of Caterpillar Inc., or the staff of the Securities and Exchange Commission, upon request, information regarding the number of shares sold at each price within the range. F4 · balance_after: Excludes 7,539 shares previously owned which were contributed to the Pellette Family Trust. Read SEC document |
| January 31, 2018 Filed Feb 3, 2018 01:56 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 69,024 | $162.84 | $11,239,868.16 |
DisclosureSEC source: 0000018230-18-000035 · wf-form4_151762298977312.xml · nonDerivative · entry 3 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,445 F2 · 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 $163..695 to $163.70, inclusive. The reporting person undertakes to provide Caterpillar Inc., and any security holder of Caterpillar Inc., or the staff of the Securities and Exchange Commission, upon request, information regarding the number of shares sold at each price within the range. Read SEC document |
| January 31, 2018 Filed Feb 3, 2018 01:56 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 19,799 | $164.11 | $3,249,213.89 |
DisclosureSEC source: 0000018230-18-000035 · wf-form4_151762298977312.xml · nonDerivative · entry 2 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,469 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 $164.70 to $163.70, inclusive. The reporting person undertakes to provide Caterpillar Inc., and any security holder of Caterpillar Inc., or the staff of the Securities and Exchange Commission, upon request, information regarding the number of shares sold at each price within the range. Read SEC document |
| January 31, 2018 Filed Feb 3, 2018 01:56 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 95,199 | $83.00 | $7,901,517.00 |
DisclosureSEC source: 0000018230-18-000035 · wf-form4_151762298977312.xml · nonDerivative · entry 1 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 96,268 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 |
| November 17, 2017 Filed Nov 21, 2017 16:22 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 32,086 | $0.00 Strike: $74.77 | $0.00 |
DisclosureSEC source: 0000018230-17-000309 · edgar.xml · derivative · entry 5 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,171 Underlying: Common Stock · 32,086 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. F4 · 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 |
| November 17, 2017 Filed Nov 21, 2017 16:22 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 24,547 | $135.69 | $3,330,782.43 |
DisclosureSEC source: 0000018230-17-000309 · edgar.xml · nonDerivative · entry 2 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,608 F2 · price: The sale price reported in Column 4 is a weighted average sale price. The corresponding shares were sold in multiple transcations at prices ranging from $135.65 to $135.82, inclusive. The reporting person undertakes to provide Caterpillar Inc., and any security holder of Caterpiller Inc., or the staff of the Securites and Exchange Commission, upon request, full information. Read SEC document |
| November 17, 2017 Filed Nov 21, 2017 16:22 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 32,086 | $74.77 | $2,399,070.22 |
DisclosureSEC source: 0000018230-17-000309 · edgar.xml · nonDerivative · entry 1 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,155 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: Excludes 1,525 shares previously owned which were contributed to the Pellette Family Trust. Read SEC document |
| April 28, 2017 Filed May 1, 2017 21:16 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionStock Appreciation Right · Derivative | 5,060 | $0.00 Strike: $57.85 | $0.00 |
DisclosureSEC source: 0000018230-17-000142 · edgar.xml · derivative · entry 6 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,060 shares Expires 2020-03-01 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 |
| April 28, 2017 Filed May 1, 2017 21:16 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 690 | $102.88 | $70,987.20 |
DisclosureSEC source: 0000018230-17-000142 · edgar.xml · nonDerivative · entry 3 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,594 Read SEC document |
| April 28, 2017 Filed May 1, 2017 21:16 UTC | CATERPILLAR INC CAT · Entity 2808 | Disposition to issuerCommon Stock | 2,845 | $102.88 | $292,693.60 |
DisclosureSEC source: 0000018230-17-000142 · edgar.xml · nonDerivative · entry 2 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,284 Read SEC document |
| April 28, 2017 Filed May 1, 2017 21:16 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 5,060 | $57.85 | $292,721.00 |
DisclosureSEC source: 0000018230-17-000142 · edgar.xml · nonDerivative · entry 1 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,129 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: Excludes 382 shares previously owned directly which were contributed to the Pellette Family Trust. Read SEC document |
| March 10, 2017 Filed Mar 14, 2017 21:15 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 117 | $92.31 | $10,800.27 |
DisclosureSEC source: 0000018230-17-000090 · edgar.xml · derivative · entry 1 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 517 Underlying: Common Stock · 117 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 78 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $92.31 and 39 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 retirment 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 retirment or separation from service. Read SEC document |
| March 06, 2017 Filed Mar 9, 2017 02:18 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Option · Derivative | 103,489 | $0.00 Strike: $95.66 | $0.00 |
DisclosureSEC source: 0001104659-17-015285 · a4.xml · derivative · entry 1 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 103,489 Underlying: Common Stock · 103,489 shares Expires 2027-03-06 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 24, 2017 Filed Feb 28, 2017 17:13 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionStock Appreciation Right · Derivative | 2,458 | $0.00 Strike: $73.20 | $0.00 |
DisclosureSEC source: 0000018230-17-000054 · edgar.xml · derivative · entry 6 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,458 shares Expires 2018-03-03 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 |
| February 24, 2017 Filed Feb 28, 2017 17:13 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 173 | $94.50 | $16,348.50 |
DisclosureSEC source: 0000018230-17-000054 · edgar.xml · nonDerivative · entry 3 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,451 Read SEC document |
| February 24, 2017 Filed Feb 28, 2017 17:13 UTC | CATERPILLAR INC CAT · Entity 2808 | Disposition to issuerCommon Stock | 1,903 | $94.50 | $179,833.50 |
DisclosureSEC source: 0000018230-17-000054 · edgar.xml · nonDerivative · entry 2 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,624 Read SEC document |
| February 24, 2017 Filed Feb 28, 2017 17:13 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 2,458 | $73.20 | $179,925.60 |
DisclosureSEC source: 0000018230-17-000054 · edgar.xml · nonDerivative · entry 1 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,527 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: Excludes 375 shares previously owned directly which were contributed to the Pellette Family Trust. Read SEC document |
| July 29, 2016 Filed Aug 2, 2016 22:11 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionStock Appreciation Right · Derivative | 2,290 | $0.00 Strike: $63.04 | $0.00 |
DisclosureSEC source: 0000018230-16-000626 · edgar.xml · derivative · entry 6 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,290 shares Expires 2017-03-02 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. Read SEC document |
| July 29, 2016 Filed Aug 2, 2016 22:11 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 169 | $82.64 | $13,966.16 |
DisclosureSEC source: 0000018230-16-000626 · edgar.xml · nonDerivative · entry 3 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,444 Read SEC document |
| July 29, 2016 Filed Aug 2, 2016 22:11 UTC | CATERPILLAR INC CAT · Entity 2808 | Disposition to issuerCommon Stock | 1,746 | $82.64 | $144,289.44 |
DisclosureSEC source: 0000018230-16-000626 · edgar.xml · nonDerivative · entry 2 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,613 Read SEC document |
| July 29, 2016 Filed Aug 2, 2016 22:11 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 2,290 | $63.04 | $144,361.60 |
DisclosureSEC source: 0000018230-16-000626 · edgar.xml · nonDerivative · entry 1 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,359 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 07, 2016 Filed Mar 9, 2016 20:10 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Option · Derivative | 96,257 | $0.00 Strike: $74.77 | $0.00 |
DisclosureSEC source: 0000018230-16-000434 · edgar.xml · derivative · entry 1 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 96,257 Underlying: Common Stock · 96,257 shares Expires 2026-03-07 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 |
| March 06, 2015 Filed Mar 10, 2015 21:46 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 407 | $80.06 | $32,584.42 |
DisclosureSEC source: 0000018230-15-000117 · edgar.xml · derivative · entry 1 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 807 Underlying: Common · 407 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 271 shares where was credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $80.06 and 136 shares 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. Supplemental 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. 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 02, 2015 Filed Mar 4, 2015 20:48 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Option · Derivative | 142,798 | $0.00 Strike: $83.00 | $0.00 |
DisclosureSEC source: 0000018230-15-000079 · edgar.xml · derivative · entry 1 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 142,798 Underlying: Common · 142,798 shares Expires 2025-03-02 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 19, 2015 Filed Feb 23, 2015 21:10 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherCommon Stock | 3,051 | $83.30 | $254,148.30 |
DisclosureSEC source: 0000018230-15-000067 · edgar.xml · nonDerivative · entry 1 Pellette Thomas A · CIK 0001628013 · Group President 10b5-1 filing: Not disclosed Ownership: Indirect · By 401(k) Plan Disclosed balance after: 9,982 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.