Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ELI LILLY & CoLLY · Entity 2794 | Director | November 28, 2014 | December 02, 2014 |
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.
ELI LILLY & Co
Report date November 28, 2014 · Filed December 02, 2014
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 22,675 |
Reported balance
After 2014-11-28 transaction · row 1
1 source rowRow 1 · 2014-11-28 · Grant · Acquired 2,155 · Balance 22,675 |
Past disclosures · reporting ended (2)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
CATERPILLAR INC
Report date March 31, 2017 · Filed April 03, 2017
Section 16 reporting ended · disclosed 2017-04-03. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Phantom Stock UnitsSEC Table II · derivative / convertible security | Direct | 72,355 |
Reported balance
After 2017-03-31 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2017-03-31 · Grant · Acquired 126 · Balance 72,355 F1: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2: This total includes 84 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $92.76 and 42 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3: 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. |
Filing footnotes · ownership attribution and instrument terms
F1: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock.
F2: This total includes 84 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $92.76 and 42 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.
F3: 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.
EXXON MOBIL CORP
Report date June 21, 2021 · Filed June 23, 2021
Section 16 reporting ended · disclosed 2021-06-23. Current position is not established by this disclosure.
No balance rows disclosed in this filing.
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 04, 2021 Filed Jan 6, 2021 17:47 UTC | EXXON MOBIL CORP XOM · Entity 32533 | GrantCommon Stock | 2,500 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001127602-21-000929 · form4.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,000 F1 · price: Restricted stock grant. Read SEC document |
| January 02, 2020 Filed Jan 3, 2020 21:44 UTC | EXXON MOBIL CORP XOM · Entity 32533 | GrantCommon Stock | 2,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-000754 · form4.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,500 F1 · price: Restricted stock grant. Read SEC document |
| January 02, 2019 Filed Jan 4, 2019 15:53 UTC | EXXON MOBIL CORP XOM · Entity 32533 | GrantCommon Stock | 2,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-001067 · form4.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,000 F1 · price: Restricted stock grant. Read SEC document |
| January 02, 2018 Filed Jan 4, 2018 20:25 UTC | EXXON MOBIL CORP XOM · Entity 32533 | GrantCommon Stock | 2,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-001055 · form4.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,500 F1 · price: Restricted stock grant. Read SEC document |
| March 31, 2017 Filed Apr 3, 2017 22:13 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 126 | $92.76 | $11,687.76 |
DisclosureSEC source: 0000018230-17-000105 · edgar.xml · derivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,355 Underlying: Common Stock · 126 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 84 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $92.76 and 42 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 10, 2017 Filed Mar 14, 2017 21:11 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 505 | $92.31 | $46,616.55 |
DisclosureSEC source: 0000018230-17-000088 · edgar.xml · derivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,229 Underlying: Common Stock · 505 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 337 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 168 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 |
| January 20, 2017 Filed Jan 24, 2017 23:45 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionStock Appreciation Right · Derivative | 100,000 | $0.00 Strike: $22.17 | $0.00 |
DisclosureSEC source: 0000018230-17-000028 · edgar.xml · derivative · entry 10 OBERHELMAN DOUGLAS R · CIK 0001171770 · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,252 Underlying: Common Stock · 100,000 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 |
| January 20, 2017 Filed Jan 24, 2017 23:45 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionStock Appreciation Right · Derivative | 60,000 | $0.00 Strike: $73.20 | $0.00 |
DisclosureSEC source: 0000018230-17-000028 · edgar.xml · derivative · entry 9 OBERHELMAN DOUGLAS R · CIK 0001171770 · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 60,000 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 |
| January 20, 2017 Filed Jan 24, 2017 23:45 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 34,958 | $94.31 | $3,296,888.98 |
DisclosureSEC source: 0000018230-17-000028 · edgar.xml · nonDerivative · entry 6 OBERHELMAN DOUGLAS R · CIK 0001171770 · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 209,523 Read SEC document |
| January 20, 2017 Filed Jan 24, 2017 23:45 UTC | CATERPILLAR INC CAT · Entity 2808 | Disposition to issuerCommon Stock | 23,507 | $94.31 | $2,216,945.17 |
DisclosureSEC source: 0000018230-17-000028 · edgar.xml · nonDerivative · entry 5 OBERHELMAN DOUGLAS R · CIK 0001171770 · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 244,481 Read SEC document |
| January 20, 2017 Filed Jan 24, 2017 23:45 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 100,000 | $22.17 | $2,217,000.00 |
DisclosureSEC source: 0000018230-17-000028 · edgar.xml · nonDerivative · entry 4 OBERHELMAN DOUGLAS R · CIK 0001171770 · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 267,988 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 |
| January 20, 2017 Filed Jan 24, 2017 23:45 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 4,584 | $94.31 | $432,317.04 |
DisclosureSEC source: 0000018230-17-000028 · edgar.xml · nonDerivative · entry 3 OBERHELMAN DOUGLAS R · CIK 0001171770 · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 167,988 Read SEC document |
| January 20, 2017 Filed Jan 24, 2017 23:45 UTC | CATERPILLAR INC CAT · Entity 2808 | Disposition to issuerCommon Stock | 46,569 | $94.31 | $4,391,922.39 |
DisclosureSEC source: 0000018230-17-000028 · edgar.xml · nonDerivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 172,572 Read SEC document |
| January 20, 2017 Filed Jan 24, 2017 23:45 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 60,000 | $73.20 | $4,392,000.00 |
DisclosureSEC source: 0000018230-17-000028 · edgar.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 219,141 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 38,000 shares previously owned directly which were contributed to a family foundation on December 19, 2016, and also includes an addition of 32 shares that were inadvertently double counted as part of a stock gift reported on a Form 4 filed on October 4, 2016. Read SEC document |
| January 03, 2017 Filed Jan 5, 2017 19:48 UTC | EXXON MOBIL CORP XOM · Entity 32533 | GrantCommon Stock | 2,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-000989 · form4.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,000 F1 · price: Restricted stock grant. Read SEC document |
| December 30, 2016 Filed Jan 4, 2017 21:55 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 129 | $92.74 | $11,963.46 |
DisclosureSEC source: 0000018230-17-000020 · edgar.xml · derivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,724 Underlying: Common Stock · 129 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 86 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 43 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 22:32 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 126 | $95.56 | $12,040.56 |
DisclosureSEC source: 0000018230-16-000748 · edgar.xml · derivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,595 Underlying: Common Stock · 126 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 84 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 42 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 10, 2016 Filed Nov 14, 2016 18:17 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionStock Appreciation Right · Derivative | 55,484 | $0.00 Strike: $73.20 | $0.00 |
DisclosureSEC source: 0000018230-16-000725 · edgar.xml · derivative · entry 5 OBERHELMAN DOUGLAS R · CIK 0001171770 · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,000 Underlying: Common Stock · 55,484 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 10, 2016 Filed Nov 14, 2016 18:17 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 5,483 | $93.40 | $512,112.20 |
DisclosureSEC source: 0000018230-16-000725 · edgar.xml · nonDerivative · entry 3 OBERHELMAN DOUGLAS R · CIK 0001171770 · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 197,109 Read SEC document |
| November 10, 2016 Filed Nov 14, 2016 18:17 UTC | CATERPILLAR INC CAT · Entity 2808 | Disposition to issuerCommon Stock | 43,486 | $93.40 | $4,061,592.40 |
DisclosureSEC source: 0000018230-16-000725 · edgar.xml · nonDerivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 202,592 Read SEC document |
| November 10, 2016 Filed Nov 14, 2016 18:17 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 55,484 | $73.20 | $4,061,428.80 |
DisclosureSEC source: 0000018230-16-000725 · edgar.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 246,078 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 21:11 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 144 | $83.46 | $12,018.24 |
DisclosureSEC source: 0000018230-16-000707 · edgar.xml · derivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,469 Underlying: Common Stock · 144 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 96 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 48 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 21:51 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 135 | $88.77 | $11,983.95 |
DisclosureSEC source: 0000018230-16-000675 · edgar.xml · derivative · entry 3 OBERHELMAN DOUGLAS R · CIK 0001171770 · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,325 Underlying: Common Stock · 135 shares Expires not disclosed F2 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F3 · shares: This total includes 90 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 45 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F4 · 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. F4 · 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 02, 2016 Filed Oct 4, 2016 21:51 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon Stock | 6,013 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-16-000675 · edgar.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 190,594 Read SEC document |
| August 31, 2016 Filed Sep 2, 2016 15:51 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 147 | $81.95 | $12,046.65 |
DisclosureSEC source: 0000018230-16-000649 · edgar.xml · derivative · entry 3 OBERHELMAN DOUGLAS R · CIK 0001171770 · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,190 Underlying: Common Stock · 147 shares Expires not disclosed F2 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F3 · shares: This total includes 98 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 49 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F4 · 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. F4 · 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 09, 2016 Filed Sep 2, 2016 15:51 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon Stock | 32 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-16-000649 · edgar.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 196,607 Read SEC document |
| July 29, 2016 Filed Aug 2, 2016 21:56 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 145 | $82.76 | $12,000.20 |
DisclosureSEC source: 0000018230-16-000620 · edgar.xml · derivative · entry 3 OBERHELMAN DOUGLAS R · CIK 0001171770 · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,043 Underlying: Common Stock · 145 shares Expires not disclosed F2 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F3 · shares: This total includes 97 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 48 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F4 · 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. F4 · 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 22, 2016 Filed Aug 2, 2016 21:56 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon Stock | 1,800 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-16-000620 · edgar.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 196,639 Read SEC document |
| June 30, 2016 Filed Jul 1, 2016 20:38 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 159 | $75.81 | $12,053.79 |
DisclosureSEC source: 0000018230-16-000579 · edgar.xml · derivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,898 Underlying: Common Stock · 159 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 106 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $75.81and 53 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 20:51 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 165 | $72.51 | $11,964.15 |
DisclosureSEC source: 0000018230-16-000538 · edgar.xml · derivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,739 Underlying: Common Stock · 165 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 110 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $72.51and 55 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 03, 2016 Filed May 3, 2016 23:29 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon Stock | 67 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-16-000516 · edgar.xml · nonDerivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 198,439 Read SEC document |
| April 29, 2016 Filed May 3, 2016 23:29 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 154 | $77.72 | $11,968.88 |
DisclosureSEC source: 0000018230-16-000516 · edgar.xml · derivative · entry 4 OBERHELMAN DOUGLAS R · CIK 0001171770 · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,574 Underlying: Common Stock · 154 shares Expires not disclosed F2 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F3 · shares: This total includes 103 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 51 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F4 · 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. F4 · 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 06, 2016 Filed May 3, 2016 23:29 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon Stock | 133 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-16-000516 · edgar.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 198,506 Read SEC document |
| March 31, 2016 Filed Apr 4, 2016 21:31 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 157 | $76.54 | $12,016.78 |
DisclosureSEC source: 0000018230-16-000479 · edgar.xml · derivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,420 Underlying: Common Stock · 157 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 105 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") at a price per share of $76.54 and 52 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 18, 2016 Filed Mar 22, 2016 17:40 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionStock Appreciation Right · Derivative | 50,884 | $0.00 Strike: $63.04 | $0.00 |
DisclosureSEC source: 0000018230-16-000477 · edgar.xml · derivative · entry 6 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 50,884 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 |
| March 18, 2016 Filed Mar 22, 2016 17:40 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon Stock | 1,847 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-16-000477 · edgar.xml · nonDerivative · entry 4 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 198,639 Read SEC document |
| March 18, 2016 Filed Mar 22, 2016 17:40 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 3,912 | $75.79 | $296,490.48 |
DisclosureSEC source: 0000018230-16-000477 · edgar.xml · nonDerivative · entry 3 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,486 Read SEC document |
| March 18, 2016 Filed Mar 22, 2016 17:40 UTC | CATERPILLAR INC CAT · Entity 2808 | Disposition to issuerCommon Stock | 42,323 | $75.79 | $3,207,660.17 |
DisclosureSEC source: 0000018230-16-000477 · edgar.xml · nonDerivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 204,398 Read SEC document |
| March 18, 2016 Filed Mar 22, 2016 17:40 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 50,884 | $63.04 | $3,207,727.36 |
DisclosureSEC source: 0000018230-16-000477 · edgar.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 246,721 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 00:01 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Option · Derivative | 349,749 | $0.00 Strike: $74.77 | $0.00 |
DisclosureSEC source: 0000018230-16-000425 · edgar.xml · derivative · entry 6 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 349,749 Underlying: Common Stock · 349,749 shares Expires 2026-03-07 F3 · derivative.exercise_date: The stock options were granted pursuant to the Caterpollar 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 04, 2016 Filed Mar 9, 2016 00:01 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionStock Appreciation Right · Derivative | 75,000 | $0.00 Strike: $63.04 | $0.00 |
DisclosureSEC source: 0000018230-16-000425 · edgar.xml · derivative · entry 5 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,884 Underlying: Common Stock · 75,000 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 |
| March 04, 2016 Filed Mar 9, 2016 00:01 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 4,220 | $72.75 | $307,005.00 |
DisclosureSEC source: 0000018230-16-000425 · edgar.xml · nonDerivative · entry 3 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 195,837 F1 · balance_after: The number of shares in this column has been adjusted from the reporting person's previous Form 4 to account for dividend reinvesment. Read SEC document |
| March 04, 2016 Filed Mar 9, 2016 00:01 UTC | CATERPILLAR INC CAT · Entity 2808 | Disposition to issuerCommon Stock | 64,990 | $72.75 | $4,728,022.50 |
DisclosureSEC source: 0000018230-16-000425 · edgar.xml · nonDerivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,057 Read SEC document |
| March 04, 2016 Filed Mar 9, 2016 00:01 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 75,000 | $63.04 | $4,728,000.00 |
DisclosureSEC source: 0000018230-16-000425 · edgar.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 265,047 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 29, 2016 Filed Mar 2, 2016 22:09 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 2 | $67.70 | $135.40 |
DisclosureSEC source: 0000018230-16-000419 · edgar.xml · derivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,263 Underlying: Common Stock · 2 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 1 share that was credited to the reporting person's account under the Caterpillar Inc. Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $67.70 and 1 share 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 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 |
| December 31, 2015 Filed Jan 5, 2016 21:13 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 177 | $67.96 | $12,028.92 |
DisclosureSEC source: 0000018230-16-000379 · edgar.xml · derivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,261 Underlying: Common Stock · 177 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 118 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 59 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 22:28 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 165 | $72.65 | $11,987.25 |
DisclosureSEC source: 0000018230-15-000355 · edgar.xml · derivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,084 Underlying: Common Stock · 165 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 110 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 55 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 20:21 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 165 | $72.99 | $12,043.35 |
DisclosureSEC source: 0000018230-15-000335 · edgar.xml · derivative · entry 3 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,919 Underlying: Common Stock · 165 shares Expires not disclosed F2 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F3 · shares: This total includes 110 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 55 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F4 · 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. F4 · 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, 2015 Filed Nov 3, 2015 20:21 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon Stock | 3,765 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-15-000335 · edgar.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 190,032 Read SEC document |
| September 30, 2015 Filed Oct 2, 2015 19:47 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 183 | $65.36 | $11,960.88 |
DisclosureSEC source: 0000018230-15-000317 · edgar.xml · derivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,754 Underlying: Common Stock · 183 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 122 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 61 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.