Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| 3M COMMM · Entity 1275 | Director | May 12, 2026 | May 13, 2026 |
| C. H. ROBINSON WORLDWIDE, INC.CHRW · Entity 3306 | Director · President & CEO | June 26, 2026 | June 30, 2026 |
| CATERPILLAR INCCAT · Entity 2808 | Senior Vice President | September 30, 2016 | October 04, 2016 |
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.
3M CO
Report date May 12, 2026 · Filed May 13, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,360.402 |
Reported balance
After 2026-05-12 transaction · row 1
1 source rowRow 1 · 2026-05-12 · Grant · Acquired 1,360.402 · Balance 1,360.402 |
| Common Stock By CorporationSEC Table I · non-derivative | IndirectBy Corporation | 1,669.945 |
Reported balance
Holding disclosure · report date 2026-05-12 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 1,669.945 F1: Includes acquisition of deferred dividend reinvestment shares pursuant to 3M's Compensation Plan for Non-Employee Directors. |
Filing footnotes · ownership attribution and instrument terms
F1: Includes acquisition of deferred dividend reinvestment shares pursuant to 3M's Compensation Plan for Non-Employee Directors.
C. H. ROBINSON WORLDWIDE, INC.
Report date June 26, 2026 · Filed June 30, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 178,978 |
Reported balance
After 2026-06-26 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2026-06-26 · Tax withholding · Disposed 11,693 · Balance 178,978 F1: Consists of shares withheld by the issuer to satisfy the reporting person's tax withholding obligation upon the vesting of restricted stock units. F2: Included in this amount are 50,151 shares of restricted stock units, and 128,756 shares held directly by the reporting person. F3: Includes 71 shares acquired pursuant to the issuer's employee stock purchase plan. |
Filing footnotes · ownership attribution and instrument terms
F1: Consists of shares withheld by the issuer to satisfy the reporting person's tax withholding obligation upon the vesting of restricted stock units.
F2: Included in this amount are 50,151 shares of restricted stock units, and 128,756 shares held directly by the reporting person.
F3: Includes 71 shares acquired pursuant to the issuer's employee stock purchase plan.
CATERPILLAR INC
Report date September 30, 2016 · Filed October 04, 2016
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Phantom Stock UnitsSEC Table II · derivative / convertible security | Direct | 4,805 |
Reported balance
After 2016-09-30 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2016-09-30 · Grant · Acquired 78 · Balance 4,805 F1: Each phatom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2: This total includes 39 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 39 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 retirement or separation from service. |
Filing footnotes · ownership attribution and instrument terms
F1: Each phatom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock.
F2: This total includes 39 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 39 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 retirement or separation from service.
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 |
|---|---|---|---|---|---|---|
| June 26, 2026 Filed Jun 30, 2026 20:08 UTC | C. H. ROBINSON WORLDWIDE, INC. CHRW · Entity 3306 | Tax withholdingCommon Stock | 11,693 | $180.34 | $2,108,715.62 |
DisclosureSEC source: 0001437749-26-022143 · rdgdoc.xml · nonDerivative · entry 1 Bozeman David P · CIK 0001575959 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 178,978 F1 · shares: Consists of shares withheld by the issuer to satisfy the reporting person's tax withholding obligation upon the vesting of restricted stock units. F2 · balance_after: Included in this amount are 50,151 shares of restricted stock units, and 128,756 shares held directly by the reporting person. F3 · balance_after: Includes 71 shares acquired pursuant to the issuer's employee stock purchase plan. Read SEC document |
| May 12, 2026 Filed May 13, 2026 20:17 UTC | 3M CO MMM · Entity 1275 | GrantCommon Stock | 1,360.402 | $143.34 | $195,000.02 |
DisclosureSEC source: 0000066740-26-000211 · form4.xml · nonDerivative · entry 1 Bozeman David P · CIK 0001575959 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,360.402 Read SEC document |
| February 12, 2026 Filed Feb 13, 2026 21:45 UTC | C. H. ROBINSON WORLDWIDE, INC. CHRW · Entity 3306 | PurchaseCommon Stock | 1,223 | $163.35 | $199,770.94 |
DisclosureSEC source: 0001437749-26-004143 · rdgdoc.xml · nonDerivative · entry 1 Bozeman David P · CIK 0001575959 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 190,600 F1 · balance_after: Included in this amount are 75,792 shares of restricted stock units, and 114,808 shares held directly by the reporting person. Read SEC document |
| February 04, 2026 Filed Feb 6, 2026 21:16 UTC | C. H. ROBINSON WORLDWIDE, INC. CHRW · Entity 3306 | Tax withholdingCommon Stock | 13,564 | $199.71 | $2,708,866.44 |
DisclosureSEC source: 0001437749-26-003370 · rdgdoc.xml · nonDerivative · entry 3 Bozeman David P · CIK 0001575959 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 189,377 F3 · shares: Consists of shares withheld by the issuer to satisfy the reporting person's tax withholding obligation upon the vesting of performance-based restricted stock units. F4 · balance_after: Included in this amount are 75,792 shares of restricted stock units, and 113,585 shares held directly by the reporting person. Read SEC document |
| February 04, 2026 Filed Feb 6, 2026 21:16 UTC | C. H. ROBINSON WORLDWIDE, INC. CHRW · Entity 3306 | GrantCommon Stock | 31,201 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-26-003370 · rdgdoc.xml · nonDerivative · entry 2 Bozeman David P · CIK 0001575959 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 202,941 F2 · shares: Represents performance-based restricted stock units that vested on February 4, 2026. Read SEC document |
| February 04, 2026 Filed Feb 6, 2026 21:16 UTC | C. H. ROBINSON WORLDWIDE, INC. CHRW · Entity 3306 | GrantCommon Stock | 20,740 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-26-003370 · rdgdoc.xml · nonDerivative · entry 1 Bozeman David P · CIK 0001575959 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 171,740 F1 · shares: Restricted stock units vest ratably over a three year period between January 1, 2026 and December 31, 2028. Read SEC document |
| December 31, 2025 Filed Jan 5, 2026 21:32 UTC | C. H. ROBINSON WORLDWIDE, INC. CHRW · Entity 3306 | Tax withholdingCommon Stock | 11,209 | $161.96 | $1,815,409.64 |
DisclosureSEC source: 0001437749-26-000358 · rdgdoc.xml · nonDerivative · entry 1 Bozeman David P · CIK 0001575959 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 151,000 F1 · shares: Consists of shares withheld by the issuer to satisfy the reporting person's tax withholding obligation upon the vesting of restricted stock units. F2 · balance_after: Included in this amount are 55,052 shares of restricted stock units, and 95,860 shares held directly by the reporting person. F3 · balance_after: Includes 88 shares acquired pursuant to the Issuer's employee stock purchase plan. Read SEC document |
| June 26, 2025 Filed Jun 30, 2025 20:47 UTC | C. H. ROBINSON WORLDWIDE, INC. CHRW · Entity 3306 | Tax withholdingCommon Stock | 17,538 | $92.71 | $1,625,947.98 |
DisclosureSEC source: 0001437749-25-021570 · rdgdoc.xml · nonDerivative · entry 1 Bozeman David P · CIK 0001575959 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 162,121 F1 · shares: Consists of shares withheld by the issuer to satisfy the reporting person's tax withholding obligation upon the vesting of restricted stock units. F2 · balance_after: Included in this amount are 79,630 shares of restricted stock units, and 82,491 shares held directly by the reporting person. F3 · balance_after: The balance reported on this Form 4 reflects that the reporting person's Form 4 filed on February 7, 2025, understated the amount of securities withheld for taxes by 34 shares. Read SEC document |
| May 13, 2025 Filed May 14, 2025 20:49 UTC | 3M CO MMM · Entity 1275 | GrantCommon Stock | 1,297.147 | $150.33 | $195,000.11 |
DisclosureSEC source: 0001127602-25-014319 · form4.xml · nonDerivative · entry 1 Bozeman David P · CIK 0001575959 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Corporation Disclosed balance after: 1,638.757 F1 · shares: This non-employee director has elected to defer all or a portion of compensation otherwise payable in cash or stock to a common stock equivalents account under the terms of 3M's Compensation Plan for Non-employee Directors and has no voting or investment powers with respect to such account. Read SEC document |
| February 06, 2025 Filed Feb 10, 2025 21:12 UTC | 3M CO MMM · Entity 1275 | GrantCommon Stock | 339.928 | $152.45 | $51,822.02 |
DisclosureSEC source: 0001127602-25-003817 · form4.xml · nonDerivative · entry 1 Bozeman David P · CIK 0001575959 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Corporation Disclosed balance after: 339.928 F1 · shares: This non-employee director has elected to defer all or a portion of compensation otherwise payable in cash or stock to a common stock equivalents account under the terms of 3M's Compensation Plan for Non-employee Directors and has no voting or investment powers with respect to such account. Read SEC document |
| February 05, 2025 Filed Feb 7, 2025 22:08 UTC | C. H. ROBINSON WORLDWIDE, INC. CHRW · Entity 3306 | Tax withholdingCommon Stock | 9,044 | $98.83 | $893,818.52 |
DisclosureSEC source: 0001437749-25-003182 · rdgdoc.xml · nonDerivative · entry 3 Bozeman David P · CIK 0001575959 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 179,693 F3 · shares: Consists of shares withheld by the issuer to satisfy the reporting person's tax withholding obligation upon the vesting of Performance-based restricted stock units. F4 · balance_after: Included in this amount are 118,080 shares of restricted stock units, and 61,603 shares held directly by the reporting person. Read SEC document |
| February 05, 2025 Filed Feb 7, 2025 22:08 UTC | C. H. ROBINSON WORLDWIDE, INC. CHRW · Entity 3306 | GrantCommon Stock | 23,147 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-25-003182 · rdgdoc.xml · nonDerivative · entry 2 Bozeman David P · CIK 0001575959 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 188,737 F2 · shares: Represents Performance-based restricted stock units that vested on February 5, 2025, have been credited to the reporting person's account in the Issuer's NQDC Plan and will be settled on a 1 for 1 basis in shares of the Issuer's common stock. Read SEC document |
| February 05, 2025 Filed Feb 7, 2025 22:08 UTC | C. H. ROBINSON WORLDWIDE, INC. CHRW · Entity 3306 | GrantCommon Stock | 28,880 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-25-003182 · rdgdoc.xml · nonDerivative · entry 1 Bozeman David P · CIK 0001575959 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 165,590 F1 · shares: Restricted stock units vest ratably over a 3 year period between January 1, 2025 and December 31, 2027. Read SEC document |
| December 31, 2024 Filed Jan 3, 2025 22:03 UTC | C. H. ROBINSON WORLDWIDE, INC. CHRW · Entity 3306 | Tax withholdingCommon Stock | 6,819 | $103.48 | $705,630.12 |
DisclosureSEC source: 0001437749-25-000318 · rdgdoc.xml · nonDerivative · entry 1 Bozeman David P · CIK 0001575959 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 136,710 F1 · shares: Consists of shares withheld by the issuer to satisfy the reporting person's tax withholding obligation upon the vesting of restricted stock units. F2 · balance_after: Included in this amount are 89,210 shares of restricted stock units, and 47,500 shares held directly by the reporting person. Read SEC document |
| June 26, 2024 Filed Jun 28, 2024 21:39 UTC | C. H. ROBINSON WORLDWIDE, INC. CHRW · Entity 3306 | Tax withholdingCommon Stock | 14,615 | $89.50 | $1,308,042.50 |
DisclosureSEC source: 0001437749-24-021628 · rdgdoc.xml · nonDerivative · entry 1 Bozeman David P · CIK 0001575959 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 143,529 F1 · shares: Consists of shares withheld by the issuer to satisfy the reporting person's tax withholding obligation upon the vesting of restricted stock units. F2 · balance_after: Included in this amount are 104,160 shares of restricted stock units, and 39,369 shares held directly by the reporting person. Read SEC document |
| February 05, 2024 Filed Feb 7, 2024 21:26 UTC | C. H. ROBINSON WORLDWIDE, INC. CHRW · Entity 3306 | GrantCommon Stock | 38,080 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-24-003370 · rdgdoc.xml · nonDerivative · entry 1 Bozeman David P · CIK 0001575959 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 165,754 F1 · shares: Restricted stock units vest ratably over a 3 year period between January 1, 2024 and December 31, 2026. F2 · balance_after: Included in this amount are 143,820 shares of restricted stock units, and 21,934 shares held directly by the reporting person. Read SEC document |
| February 05, 2024 Filed Feb 16, 2024 22:34 UTC Amendment | C. H. ROBINSON WORLDWIDE, INC. CHRW · Entity 3306 | GrantCommon Stock | 30,470 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-24-004639 · rdgdoc.xml · nonDerivative · entry 1 Bozeman David P · CIK 0001575959 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 158,144 F1 · shares: Restricted stock units vest ratably over a 3 year period between January 1, 2024 and December 31, 2026. F2 · shares: This amended Form 4 corrects the number of restricted stock units granted to the reporting person as the initial filing inadvertently overstated the number. F3 · balance_after: Included in this amount are 136,210 shares of restricted stock units, and 21,934 shares held directly by the reporting person. Read SEC document |
| January 16, 2024 Filed Jan 18, 2024 21:11 UTC | C. H. ROBINSON WORLDWIDE, INC. CHRW · Entity 3306 | Tax withholdingCommon Stock | 14,974 | $86.87 | $1,300,791.38 |
DisclosureSEC source: 0001437749-24-001628 · rdgdoc.xml · nonDerivative · entry 2 Bozeman David P · CIK 0001575959 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 127,674 Read SEC document |
| January 16, 2024 Filed Jan 18, 2024 21:11 UTC | C. H. ROBINSON WORLDWIDE, INC. CHRW · Entity 3306 | Tax withholdingCommon Stock | 1,743 | $86.87 | $151,414.41 |
DisclosureSEC source: 0001437749-24-001628 · rdgdoc.xml · nonDerivative · entry 1 Bozeman David P · CIK 0001575959 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 142,648 Read SEC document |
| November 14, 2023 Filed Nov 16, 2023 22:01 UTC | C. H. ROBINSON WORLDWIDE, INC. CHRW · Entity 3306 | PurchaseCommon Stock | 1,807 | $82.91 | $149,818.37 |
DisclosureSEC source: 0001209191-23-055550 · doc4.xml · nonDerivative · entry 1 Bozeman David P · CIK 0001575959 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 144,391 Read SEC document |
| June 26, 2023 Filed Jun 28, 2023 20:27 UTC | C. H. ROBINSON WORLDWIDE, INC. CHRW · Entity 3306 | GrantCommon Stock | 128,201 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-23-040035 · doc4.xml · nonDerivative · entry 2 Bozeman David P · CIK 0001575959 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 142,584 F2 · shares: Restricted stock units vest as to 25% on each of January 15, 2024 and June 26, 2024, 30% on June 26, 2025 and 20% on June 26, 2026. Read SEC document |
| June 26, 2023 Filed Jun 28, 2023 20:27 UTC | C. H. ROBINSON WORLDWIDE, INC. CHRW · Entity 3306 | GrantCommon Stock | 14,383 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-23-040035 · doc4.xml · nonDerivative · entry 1 Bozeman David P · CIK 0001575959 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 14,383 F1 · shares: Restricted stock units vest ratably on each of December 31, 2023, 2024 and 2025. Read SEC document |
| September 30, 2016 Filed Oct 4, 2016 22:09 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 78 | $88.77 | $6,924.06 |
DisclosureSEC source: 0000018230-16-000685 · edgar.xml · derivative · entry 1 Bozeman David P · CIK 0001575959 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,805 Underlying: Common Stock · 78 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 39 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 39 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's 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 15:19 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 86 | $81.95 | $7,047.70 |
DisclosureSEC source: 0000018230-16-000636 · edgar.xml · derivative · entry 1 Bozeman David P · CIK 0001575959 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,727 Underlying: Common Stock · 86 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 43 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 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 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 21:48 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 84 | $82.76 | $6,951.84 |
DisclosureSEC source: 0000018230-16-000617 · edgar.xml · derivative · entry 1 Bozeman David P · CIK 0001575959 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,641 Underlying: Common Stock · 84 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 42 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 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 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, 2016 Filed Jul 1, 2016 21:13 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 92 | $75.81 | $6,974.52 |
DisclosureSEC source: 0000018230-16-000587 · edgar.xml · derivative · entry 1 Bozeman David P · CIK 0001575959 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,557 Underlying: Common Stock · 92 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 46 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 46 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 21:08 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 44 | $72.51 | $3,190.44 |
DisclosureSEC source: 0000018230-16-000546 · edgar.xml · derivative · entry 1 Bozeman David P · CIK 0001575959 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,624 Underlying: Common Stock · 44 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 22 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 22 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 02, 2016 Filed May 3, 2016 23:44 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 52 | $77.35 | $4,022.20 |
DisclosureSEC source: 0000018230-16-000522 · edgar.xml · nonDerivative · entry 1 Bozeman David P · CIK 0001575959 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,260 F1 · shares: Represents shares withheld from the reporting person solely to satisfy tax obligations arising from the vesting of restricted stock units granted on 05/02/2011, of which one-third vested on 05/02/2016. F2 · balance_after: The number of shares in this column has been adjusted from the reporting person's previous Form 4 to account for dividend reinvestment. Read SEC document |
| March 07, 2016 Filed Mar 9, 2016 20:25 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Option · Derivative | 66,434 | $0.00 Strike: $74.77 | $0.00 |
DisclosureSEC source: 0000018230-16-000440 · edgar.xml · derivative · entry 1 Bozeman David P · CIK 0001575959 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,434 Underlying: Common Stock · 66,434 shares Expires 2026-03-07 F1 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan and vest equally in 1/3 increments beginning on the first anniversary of the grant date. Read SEC document |
| March 04, 2016 Filed Jun 17, 2016 20:05 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 841 | $72.84 | $61,258.44 |
DisclosureSEC source: 0000018230-16-000553 · edgar.xml · derivative · entry 1 Bozeman David P · CIK 0001575959 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,465 Underlying: Common Stock · 841 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 · date: Inadvertently filed late due to an administrative error. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| December 31, 2015 Filed Jan 5, 2016 21:26 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 102 | $67.96 | $6,931.92 |
DisclosureSEC source: 0000018230-16-000387 · edgar.xml · derivative · entry 1 Bozeman David P · CIK 0001575959 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,580 Underlying: Common Stock · 102 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 51 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 51 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 22:17 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 96 | $72.65 | $6,974.40 |
DisclosureSEC source: 0000018230-15-000351 · edgar.xml · derivative · entry 1 Bozeman David P · CIK 0001575959 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,478 Underlying: Common Stock · 96 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 48 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 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 |
| October 30, 2015 Filed Nov 3, 2015 19:52 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 96 | $72.99 | $7,007.04 |
DisclosureSEC source: 0000018230-15-000333 · edgar.xml · derivative · entry 1 Bozeman David P · CIK 0001575959 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,382 Underlying: Common Stock · 96 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 48 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 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, 2015 Filed Oct 2, 2015 19:30 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 106 | $65.36 | $6,928.16 |
DisclosureSEC source: 0000018230-15-000313 · edgar.xml · derivative · entry 1 Bozeman David P · CIK 0001575959 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,286 Underlying: Common Stock · 106 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 53 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 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 |
| August 31, 2015 Filed Sep 2, 2015 20:09 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 92 | $76.44 | $7,032.48 |
DisclosureSEC source: 0000018230-15-000289 · edgar.xml · derivative · entry 1 Bozeman David P · CIK 0001575959 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,180 Underlying: Common Stock · 92 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 46 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 46 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 27, 2015 Filed Aug 31, 2015 21:31 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 1,578 | $75.66 | $119,391.48 |
DisclosureSEC source: 0000018230-15-000285 · edgar.xml · derivative · entry 1 Bozeman David P · CIK 0001575959 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,088 Underlying: Common Stock · 1,578 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 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F2 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| July 31, 2015 Filed Aug 4, 2015 20:11 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 18 | $78.63 | $1,415.34 |
DisclosureSEC source: 0000018230-15-000280 · edgar.xml · derivative · entry 1 Bozeman David P · CIK 0001575959 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,510 Underlying: Common Stock · 18 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 9 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 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 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 21:04 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 16 | $84.82 | $1,357.12 |
DisclosureSEC source: 0000018230-15-000242 · edgar.xml · derivative · entry 1 Bozeman David P · CIK 0001575959 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,492 Underlying: Common Stock · 16 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 8 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 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 |
| May 29, 2015 Filed Jun 2, 2015 21:40 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 5 | $85.32 | $426.60 |
DisclosureSEC source: 0000018230-15-000197 · edgar.xml · derivative · entry 1 Bozeman David P · CIK 0001575959 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,476 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 $85.32 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 Caterpillar Inc. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| May 02, 2015 Filed May 5, 2015 21:43 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 77 | $87.57 | $6,742.51 |
DisclosureSEC source: 0000018230-15-000175 · edgar.xml · nonDerivative · entry 2 Bozeman David P · CIK 0001575959 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,224 Read SEC document |
| May 01, 2015 Filed May 5, 2015 21:43 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 382 | $87.52 | $33,432.64 |
DisclosureSEC source: 0000018230-15-000175 · edgar.xml · nonDerivative · entry 1 Bozeman David P · CIK 0001575959 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,301 Read SEC document |
| March 06, 2015 Filed Mar 10, 2015 21:44 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 397 | $80.06 | $31,783.82 |
DisclosureSEC source: 0000018230-15-000115 · edgar.xml · derivative · entry 1 Bozeman David P · CIK 0001575959 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,471 Underlying: Common Stock · 397 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 166 shares where was credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $80.06 and 231 shares that was contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| March 02, 2015 Filed Mar 4, 2015 20:43 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Option · Derivative | 97,321 | $0.00 Strike: $83.00 | $0.00 |
DisclosureSEC source: 0000018230-15-000077 · edgar.xml · derivative · entry 1 Bozeman David P · CIK 0001575959 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,321 Underlying: Common Stock · 97,321 shares Expires 2025-03-02 F1 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan and vest equally in 1/3 increments beginning on the first anniversary of the grant date. Read SEC document |
| December 31, 2014 Filed Jan 5, 2015 19:24 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 14 | $92.59 | $1,296.26 |
DisclosureSEC source: 0000018230-15-000002 · edgar.xml · derivative · entry 1 Bozeman David P · CIK 0001575959 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,074 Underlying: Common Stock · 14 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 7 shares where was credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $92.59 and 7 shares that was contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| November 28, 2014 Filed Dec 2, 2014 20:09 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 13 | $100.60 | $1,307.80 |
DisclosureSEC source: 0000018230-14-000421 · edgar.xml · derivative · entry 1 Bozeman David P · CIK 0001575959 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,060 Underlying: Common Stock · 13 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 7 shares where was credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $100.60 and 6 shares that was contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| October 31, 2014 Filed Nov 3, 2014 20:24 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 13 | $101.41 | $1,318.33 |
DisclosureSEC source: 0000018230-14-000394 · edgar.xml · derivative · entry 1 Bozeman David P · CIK 0001575959 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,047 Underlying: Common Stock · 13 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 7 shares where was credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $101.41 and 6 shares that was contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| September 30, 2014 Filed Oct 2, 2014 19:17 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 13 | $99.03 | $1,287.39 |
DisclosureSEC source: 0000018230-14-000376 · edgar.xml · derivative · entry 1 Bozeman David P · CIK 0001575959 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,034 Underlying: Common Stock · 13 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 7 shares where was credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $99.03 and 6 shares that was contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| August 29, 2014 Filed Sep 3, 2014 18:24 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 12 | $109.07 | $1,308.84 |
DisclosureSEC source: 0000018230-14-000338 · edgar.xml · derivative · entry 1 Bozeman David P · CIK 0001575959 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,021 Underlying: Common Stock · 12 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 6 shares where was credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $109.07 and 6 shares that was contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| July 31, 2014 Filed Aug 4, 2014 18:43 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 13 | $100.75 | $1,309.75 |
DisclosureSEC source: 0000018230-14-000303 · edgar.xml · derivative · entry 1 Bozeman David P · CIK 0001575959 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,009 Underlying: Common Stock · 13 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 7 shares where was credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $100.75 and 6 shares that was contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| June 30, 2014 Filed Jul 2, 2014 20:52 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 12 | $108.67 | $1,304.04 |
DisclosureSEC source: 0000018230-14-000274 · edgar.xml · derivative · entry 1 Bozeman David P · CIK 0001575959 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 996 Underlying: Common Stock · 12 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 6 shares where was credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $108.67 and 6 shares that was contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment 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.