Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CATERPILLAR INCCAT · Entity 2808 | Chief Accounting Officer | 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 | 4,449 |
Ending reported balance
After 2019-02-12 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2019-02-12 · Grant · Acquired 1,806 · Balance 5,015 Row 2 · 2019-02-12 · Tax withholding · Disposed 566 · Balance 4,449 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 401(k) Plan | 4,446 |
Reported balance
Holding disclosure · report date 2019-02-12 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 4,446 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 22:29 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 566 | $131.78 | $74,587.48 |
DisclosureSEC source: 0000018230-19-000042 · wf-form4_155018333519537.xml · nonDerivative · entry 2 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,449 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 22:29 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 1,806 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-19-000042 · wf-form4_155018333519537.xml · nonDerivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,015 Read SEC document |
| December 26, 2018 Filed Dec 28, 2018 15:47 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 23 | $124.76 | $2,869.48 |
DisclosureSEC source: 0000018230-18-000321 · wf-form4_154601202052508.xml · derivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,291 Underlying: Common Stock · 23 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 15 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $124.76 and 8 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 |
| November 26, 2018 Filed Nov 28, 2018 22:45 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 23 | $124.80 | $2,870.40 |
DisclosureSEC source: 0000018230-18-000305 · wf-form4_154344508772685.xml · derivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,268 Underlying: Common Stock · 23 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 15 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $124.80 and 8 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 |
| October 26, 2018 Filed Oct 30, 2018 23:22 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 25 | $115.05 | $2,876.25 |
DisclosureSEC source: 0000018230-18-000287 · wf-form4_154094170605958.xml · derivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,245 Underlying: Common Stock · 25 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 17 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 8 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 21:18 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 6 | $153.17 | $919.02 |
DisclosureSEC source: 0000018230-18-000253 · wf-form4_153816947759742.xml · derivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,220 Underlying: Common Stock · 6 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 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 2 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 |
| May 01, 2018 Filed May 3, 2018 22:14 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 79 | $142.37 | $11,247.23 |
DisclosureSEC source: 0000018230-18-000140 · wf-form4_152538564666941.xml · nonDerivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,209 F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligations arising from the vesting of restricted stock units granted on 5/1/2014, of which one-third vested on 5/1/2018. Read SEC document |
| March 12, 2018 Filed Mar 13, 2018 21:33 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 268 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-18-000106 · wf-form4_152097680361388.xml · derivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,214 Underlying: Common Stock · 268 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 179 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 89 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 7, 2018 23:57 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Option · Derivative | 3,518 | $0.00 Strike: $151.12 | $0.00 |
DisclosureSEC source: 0000018230-18-000084 · wf-form4_152046702838588.xml · derivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,518 Underlying: Common Stock · 3,518 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 23, 2018 Filed Feb 28, 2018 00:20 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 53 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-18-000055 · wf-form4_151977723206340.xml · derivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,946 Underlying: Common Stock · 53 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 · derivative.exercise_date: The phantom stock units were acquired under Caterpillar Inc.'s Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirment or separation from service. F2 · derivative.expiration_date: The phantom stock units were acquired under Caterpillar Inc.'s Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirment or separation from service. Read SEC document |
| December 26, 2017 Filed Dec 28, 2017 01:50 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 18 | $156.44 | $2,815.92 |
DisclosureSEC source: 0000018230-17-000320 · wf-form4_151442582128436.xml · derivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,893 Underlying: Common Stock · 18 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 12 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $156.44 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 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 |
| November 24, 2017 Filed Nov 28, 2017 22:40 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 20 | $137.39 | $2,747.80 |
DisclosureSEC source: 0000018230-17-000313 · wf-form4_151190882218371.xml · derivative · entry 6 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,875 Underlying: Common Stock · 20 shares Expires not disclosed F3 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F4 · shares: This total includes 13 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $137.39 and 7 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F5 · 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. F5 · 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 |
| November 24, 2017 Filed Nov 28, 2017 22:40 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionStock Appreciation Right · Derivative | 5,620 | $0.00 Strike: $57.85 | $0.00 |
DisclosureSEC source: 0000018230-17-000313 · wf-form4_151190882218371.xml · derivative · entry 5 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,620 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 |
| November 24, 2017 Filed Nov 28, 2017 22:40 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 3,247 | $136.95 | $444,676.65 |
DisclosureSEC source: 0000018230-17-000313 · wf-form4_151190882218371.xml · nonDerivative · entry 3 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,288 F1 · 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 $136.94 to $136.95, 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 24, 2017 Filed Nov 28, 2017 22:40 UTC | CATERPILLAR INC CAT · Entity 2808 | Disposition to issuerCommon Stock | 2,373 | $136.95 | $324,982.35 |
DisclosureSEC source: 0000018230-17-000313 · wf-form4_151190882218371.xml · nonDerivative · entry 2 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,535 Read SEC document |
| November 24, 2017 Filed Nov 28, 2017 22:40 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 5,620 | $57.85 | $325,117.00 |
DisclosureSEC source: 0000018230-17-000313 · wf-form4_151190882218371.xml · nonDerivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,908 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 26, 2017 Filed Oct 30, 2017 21:14 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 20 | $136.94 | $2,738.80 |
DisclosureSEC source: 0001104659-17-064692 · a4.xml · derivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,855 Underlying: Common Stock · 20 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 13 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $136.94 and 7 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 |
| May 01, 2017 Filed May 3, 2017 22:33 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 91 | $102.20 | $9,300.20 |
DisclosureSEC source: 0000018230-17-000149 · edgar.xml · nonDerivative · entry 2 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,288 F1 · shares: Represents shares withheld from the reporting person solely to satisfy tax obligations arising from the vesting of restricted stock units granted on 5/01/14, of which one-third vested on 05/01/2017. Read SEC document |
| March 10, 2017 Filed Mar 14, 2017 21:22 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 40 | $92.31 | $3,692.40 |
DisclosureSEC source: 0000018230-17-000096 · edgar.xml · derivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,835 Underlying: Common Stock · 40 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 27 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 13 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 02:20 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Option · Derivative | 7,983 | $0.00 Strike: $95.66 | $0.00 |
DisclosureSEC source: 0001104659-17-015286 · a4.xml · derivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,983 Underlying: Common Stock · 7,983 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 21:50 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 41 | $95.48 | $3,914.68 |
DisclosureSEC source: 0000018230-17-000056 · edgar.xml · derivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,795 Underlying: Common Stock · 41 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 · derivative.exercise_date: The phantom stock units were acquired under Caterpillar Inc.'s Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirment or separation from service. F2 · derivative.expiration_date: The phantom stock units were acquired under Caterpillar Inc.'s Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirment or separation from service. Read SEC document |
| December 30, 2016 Filed Jan 4, 2017 21:57 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 28 | $92.74 | $2,596.72 |
DisclosureSEC source: 0000018230-17-000023 · edgar.xml · derivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,754 Underlying: Common Stock · 28 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 19 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $92.74 and 9 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 |
| November 30, 2016 Filed Dec 1, 2016 22:22 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 27 | $95.56 | $2,580.12 |
DisclosureSEC source: 0000018230-16-000742 · edgar.xml · derivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,726 Underlying: Common Stock · 27 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 18 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $95.56 and 9 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 |
| November 09, 2016 Filed Nov 14, 2016 18:08 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionStock Appreciation Right · Derivative | 5,408 | $0.00 Strike: $22.17 | $0.00 |
DisclosureSEC source: 0000018230-16-000723 · edgar.xml · derivative · entry 9 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,408 shares Expires 2019-03-02 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 |
| November 09, 2016 Filed Nov 14, 2016 18:08 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionStock Appreciation Right · Derivative | 3,886 | $0.00 Strike: $73.20 | $0.00 |
DisclosureSEC source: 0000018230-16-000723 · edgar.xml · derivative · entry 8 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,886 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 |
| November 09, 2016 Filed Nov 14, 2016 18:08 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 4,093 | $91.22 | $373,363.46 |
DisclosureSEC source: 0000018230-16-000723 · edgar.xml · nonDerivative · entry 6 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,504 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 $91.22 to $91.225, inclusive. The reporting person undertakes to provide Caterpillar Inc., any security holder of Caterpillar Inc., or the staff of the Securities and Exchange Commission, upon request, full information. Read SEC document |
| November 09, 2016 Filed Nov 14, 2016 18:08 UTC | CATERPILLAR INC CAT · Entity 2808 | Disposition to issuerCommon Stock | 1,315 | $91.17 | $119,888.55 |
DisclosureSEC source: 0000018230-16-000723 · edgar.xml · nonDerivative · entry 5 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,597 Read SEC document |
| November 09, 2016 Filed Nov 14, 2016 18:08 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 5,408 | $22.17 | $119,895.36 |
DisclosureSEC source: 0000018230-16-000723 · edgar.xml · nonDerivative · entry 4 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,912 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 09, 2016 Filed Nov 14, 2016 18:08 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 766 | $91.22 | $69,874.52 |
DisclosureSEC source: 0000018230-16-000723 · edgar.xml · nonDerivative · entry 3 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,504 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 $91.22 to $91.225, inclusive. The reporting person undertakes to provide Caterpillar Inc., any security holder of Caterpillar Inc., or the staff of the Securities and Exchange Commission, upon request, full information. Read SEC document |
| November 09, 2016 Filed Nov 14, 2016 18:08 UTC | CATERPILLAR INC CAT · Entity 2808 | Disposition to issuerCommon Stock | 3,120 | $91.17 | $284,450.40 |
DisclosureSEC source: 0000018230-16-000723 · edgar.xml · nonDerivative · entry 2 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,270 Read SEC document |
| November 09, 2016 Filed Nov 14, 2016 18:08 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 3,886 | $73.20 | $284,455.20 |
DisclosureSEC source: 0000018230-16-000723 · edgar.xml · nonDerivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,390 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 31, 2016 Filed Nov 1, 2016 21:08 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 31 | $83.46 | $2,587.26 |
DisclosureSEC source: 0000018230-16-000705 · edgar.xml · derivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,699 Underlying: Common Stock · 31 shares Expires not disclosed F1 · derivative.exercise_price: Each phatom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 21 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $83.46 and 10 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 30, 2016 Filed Oct 4, 2016 22:02 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 29 | $88.77 | $2,574.33 |
DisclosureSEC source: 0000018230-16-000681 · edgar.xml · derivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,668 Underlying: Common Stock · 29 shares Expires not disclosed F1 · derivative.exercise_price: Each phatom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 19 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $88.77 and 10 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 31, 2016 Filed Sep 2, 2016 15:29 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 32 | $81.95 | $2,622.40 |
DisclosureSEC source: 0000018230-16-000641 · edgar.xml · derivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,639 Underlying: Common Stock · 32 shares Expires not disclosed F1 · derivative.exercise_price: Each phatom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 21 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $81.95 and 11shares 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 29, 2016 Filed Aug 2, 2016 22:18 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 31 | $82.76 | $2,565.56 |
DisclosureSEC source: 0000018230-16-000628 · edgar.xml · derivative · entry 6 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,607 Underlying: Common Stock · 31 shares Expires not disclosed F3 · derivative.exercise_price: Each phatom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F4 · shares: This total includes 21 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $82.76 and 10 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F5 · 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. F5 · 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 29, 2016 Filed Aug 2, 2016 22:18 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionStock Appreciation Right · Derivative | 2,935 | $0.00 Strike: $63.04 | $0.00 |
DisclosureSEC source: 0000018230-16-000628 · edgar.xml · derivative · entry 5 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,935 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 22:18 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 706 | $82.95 | $58,562.70 |
DisclosureSEC source: 0000018230-16-000628 · edgar.xml · nonDerivative · entry 3 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,504 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 $82.95 to $82.96, inclusive. The reporting person undertakes to provide to Caterpillar Inc., any security holder of Caterpillar Inc., or the staff of Securities and Exchange Commission, upon request, full information. Read SEC document |
| July 29, 2016 Filed Aug 2, 2016 22:18 UTC | CATERPILLAR INC CAT · Entity 2808 | Disposition to issuerCommon Stock | 2,229 | $82.97 | $184,940.13 |
DisclosureSEC source: 0000018230-16-000628 · edgar.xml · nonDerivative · entry 2 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,210 Read SEC document |
| July 29, 2016 Filed Aug 2, 2016 22:18 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 2,935 | $63.04 | $185,022.40 |
DisclosureSEC source: 0000018230-16-000628 · edgar.xml · nonDerivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,439 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 |
| June 30, 2016 Filed Jul 1, 2016 20:56 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 34 | $75.81 | $2,577.54 |
DisclosureSEC source: 0000018230-16-000583 · edgar.xml · derivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,576 Underlying: Common Stock · 34 shares Expires not disclosed F1 · derivative.exercise_price: Each phatom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 23 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $75.81 and 11 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 |
| May 31, 2016 Filed Jun 2, 2016 20:59 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 36 | $72.51 | $2,610.36 |
DisclosureSEC source: 0000018230-16-000542 · edgar.xml · derivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,542 Underlying: Common Stock · 36 shares Expires not disclosed F1 · derivative.exercise_price: Each phatom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 24 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $72.51 and 12 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 |
| April 29, 2016 Filed May 3, 2016 23:34 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 5 | $77.72 | $388.60 |
DisclosureSEC source: 0000018230-16-000518 · edgar.xml · derivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,506 Underlying: Common Stock · 5 shares Expires not disclosed F1 · derivative.exercise_price: Each phatom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 3 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $77.72 and 2 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 |
| March 07, 2016 Filed Mar 9, 2016 20:38 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Option · Derivative | 11,421 | $0.00 Strike: $74.77 | $0.00 |
DisclosureSEC source: 0000018230-16-000444 · edgar.xml · derivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,421 Underlying: Common Stock · 11,421 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 |
| December 31, 2015 Filed Jan 5, 2016 21:20 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 38 | $67.96 | $2,582.48 |
DisclosureSEC source: 0000018230-16-000383 · edgar.xml · derivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,501 Underlying: Common Stock · 38 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 25 shares that were credited to the reporting person's account under the Caterpillar Inc. Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $67.96 and 13 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 |
| November 30, 2015 Filed Dec 2, 2015 22:20 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 36 | $72.65 | $2,615.40 |
DisclosureSEC source: 0000018230-15-000353 · edgar.xml · derivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,463 Underlying: Common Stock · 36 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 24 shares that were credited to the reporting person's account under the Caterpillar Inc. Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $72.65 and 12 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 |
| October 30, 2015 Filed Nov 3, 2015 19:27 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 36 | $72.99 | $2,627.64 |
DisclosureSEC source: 0000018230-15-000328 · edgar.xml · derivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,427 Underlying: Common Stock · 36 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 24 shares that were credited to the reporting person's account under the Caterpillar Inc. Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $72.99 and 12 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 30, 2015 Filed Oct 2, 2015 19:35 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 39 | $65.36 | $2,549.04 |
DisclosureSEC source: 0000018230-15-000315 · edgar.xml · derivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,391 Underlying: Common Stock · 39 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 26 shares that were credited to the reporting person's account under the Caterpillar Inc. Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $65.36 and 13 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 31, 2015 Filed Sep 2, 2015 20:23 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 34 | $76.44 | $2,598.96 |
DisclosureSEC source: 0000018230-15-000293 · edgar.xml · derivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,352 Underlying: Common Stock · 34 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 23 shares that were credited to the reporting person's account under the Caterpillar Inc. Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $76.44 and 11 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 31, 2015 Filed Aug 4, 2015 19:49 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 37 | $78.63 | $2,909.31 |
DisclosureSEC source: 0000018230-15-000276 · edgar.xml · derivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,318 Underlying: Common Stock · 37 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 25 shares that were credited to the reporting person's account under the Caterpillar Inc. Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $78.63 and 12 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 |
| June 30, 2015 Filed Jul 2, 2015 21:00 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 30 | $84.82 | $2,544.60 |
DisclosureSEC source: 0000018230-15-000240 · edgar.xml · derivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,281 Underlying: Common Stock · 30 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 20 shares that were credited to the reporting person's account under the Caterpillar Inc. Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $84.82 and 10 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.