Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| AbbVie Inc.ABBV · Entity 2800 | Director | September 30, 2026 | October 03, 2026 |
| CATERPILLAR INCCAT · Entity 2808 | Group President | March 07, 2016 | March 09, 2016 |
| Xos, Inc.XOS · Entity 7263 | Director | October 10, 2026 | October 13, 2026 |
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.
AbbVie Inc.
Report date September 30, 2026 · Filed October 03, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Equivalent UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $261.59 | Direct | 29,568 |
Reported balance
After 2026-09-30 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-09-30 · Grant · Acquired 129 · Balance 29,568 F1: Director fees credited to a stock equivalent unit account under the director's grantor trust are distributed over a period equal to the director's years of board service, generally commencing at the later of age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock. F2: Balance includes stock equivalent units acquired pursuant to a dividend reinvestment feature. |
Filing footnotes · ownership attribution and instrument terms
F1: Director fees credited to a stock equivalent unit account under the director's grantor trust are distributed over a period equal to the director's years of board service, generally commencing at the later of age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.
F2: Balance includes stock equivalent units acquired pursuant to a dividend reinvestment feature.
CATERPILLAR INC
Report date March 07, 2016 · Filed March 09, 2016
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Employee Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $74.77 · Expires 2026-03-07 | Direct | 114,049 |
Reported balance
After 2016-03-07 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2016-03-07 · Grant · Acquired 114,049 · Balance 114,049 F1: 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. |
Filing footnotes · ownership attribution and instrument terms
F1: 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.
Xos, Inc.
Report date October 10, 2026 · Filed October 13, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 196,428 |
Reported balance
After 2026-10-10 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2026-10-10 · Grant · Acquired 1,814 · Balance 196,428 F1: The shares reported in this transaction represent RSUs that were issued to the Reporting Person in lieu of the cash retainer for the Reporting Person's service as a non-emolpyee director in Q3 2026. The RSUs reported vested immediately on the date of grant. F2: Includes 60,584 unvested RSUs. |
| Common StockSEC Table I · non-derivative | IndirectBy Trust | 21,172 |
Reported balance
Holding disclosure · report date 2026-10-10 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 21,172 F3: Shares are held by the Edward Joseph Rapp TTEE U/A DTD 02/07/2005, of which the Reporting Person is trustee. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares reported in this transaction represent RSUs that were issued to the Reporting Person in lieu of the cash retainer for the Reporting Person's service as a non-emolpyee director in Q3 2026. The RSUs reported vested immediately on the date of grant.
F2: Includes 60,584 unvested RSUs.
F3: Shares are held by the Edward Joseph Rapp TTEE U/A DTD 02/07/2005, of which the Reporting Person is trustee.
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 |
|---|---|---|---|---|---|---|
| April 01, 2015 Filed Apr 2, 2015 19:51 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionRestricted Stock Units · Derivative | 391 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-15-000144 · edgar.xml · derivative · entry 3 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 391 shares Expires not disclosed 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 · derivative.exercise_price: Each restricted stock unit (RSU) represents the right to receive one share of Caterpillar Inc. common stock upon vesting of such RSUs.. F2 · derivative.exercise_date: RSUs vest in three equal annual installments beginning on April 1, 2013. On April 1, 2015, the reporting person's RSUs were settled for an equal number of shares of Caterpillar Inc. common stock. F2 · derivative.expiration_date: RSUs vest in three equal annual installments beginning on April 1, 2013. On April 1, 2015, the reporting person's RSUs were settled for an equal number of shares of Caterpillar Inc. common stock. Read SEC document |
| April 01, 2015 Filed Apr 2, 2015 19:51 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 179 | $79.96 | $14,311.95 |
DisclosureSEC source: 0000018230-15-000144 · edgar.xml · nonDerivative · entry 2 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,892 Read SEC document |
| April 01, 2015 Filed Apr 2, 2015 19:51 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 391 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-15-000144 · edgar.xml · nonDerivative · entry 1 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,071 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 31, 2015 Filed Apr 2, 2015 21:23 UTC | AbbVie Inc. ABBV · Entity 2800 | GrantStock Equivalent Units · Derivative | 563 | $58.54 Strike: $0.00 | $32,958.02 |
DisclosureSEC source: 0001179110-15-005862 · edgar.xml · derivative · entry 1 RAPP EDWARD J · CIK 0001171780 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,041 Underlying: Common Stock · 563 shares Expires not disclosed F1 · derivative.exercise_price: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock. F1 · derivative.exercise_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock. F1 · derivative.expiration_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock. F2 · balance_after: Balance includes stock equivalent units acquired pursuant to a dividend reinvestment feature. Read SEC document |
| March 02, 2015 Filed Mar 4, 2015 20:52 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Option · Derivative | 172,621 | $0.00 Strike: $83.00 | $0.00 |
DisclosureSEC source: 0000018230-15-000081 · edgar.xml · derivative · entry 1 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 172,621 Underlying: Common Stock · 172,621 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 22:28 UTC | AbbVie Inc. ABBV · Entity 2800 | GrantStock Equivalent Units · Derivative | 504 | $65.44 Strike: $0.00 | $32,981.76 |
DisclosureSEC source: 0001179110-15-000292 · edgar.xml · derivative · entry 1 RAPP EDWARD J · CIK 0001171780 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,432 Underlying: Common Stock · 504 shares Expires not disclosed F1 · derivative.exercise_price: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock. F1 · derivative.exercise_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock. F1 · derivative.expiration_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock. F2 · balance_after: Balance includes stock equivalent units acquired pursuant to a dividend reinvestment feature. Read SEC document |
| September 30, 2014 Filed Oct 2, 2014 21:02 UTC | AbbVie Inc. ABBV · Entity 2800 | GrantStock Equivalent Units · Derivative | 571 | $57.76 Strike: $0.00 | $32,980.96 |
DisclosureSEC source: 0001179110-14-014936 · edgar.xml · derivative · entry 1 RAPP EDWARD J · CIK 0001171780 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,896 Underlying: Common Stock · 571 shares Expires not disclosed F1 · derivative.exercise_price: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock. F1 · derivative.exercise_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock. F1 · derivative.expiration_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock. F2 · balance_after: Balance includes stock equivalent units acquired pursuant to a dividend reinvestment feature. Read SEC document |
| August 05, 2014 Filed Aug 7, 2014 21:34 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 30,000 | $0.00 Strike: $45.64 | $0.00 |
DisclosureSEC source: 0000018230-14-000313 · edgar.xml · derivative · entry 5 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 30,000 shares Expires 2015-02-18 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 |
| August 05, 2014 Filed Aug 7, 2014 21:34 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 15,000 | $101.01 | $1,515,150.00 |
DisclosureSEC source: 0000018230-14-000313 · edgar.xml · nonDerivative · entry 3 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,180 Read SEC document |
| August 05, 2014 Filed Aug 7, 2014 21:34 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 10,614 | $101.71 | $1,079,496.87 |
DisclosureSEC source: 0000018230-14-000313 · edgar.xml · nonDerivative · entry 2 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,180 Read SEC document |
| August 05, 2014 Filed Aug 7, 2014 21:34 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 30,000 | $45.64 | $1,369,275.00 |
DisclosureSEC source: 0000018230-14-000313 · edgar.xml · nonDerivative · entry 1 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 99,794 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| June 30, 2014 Filed Jul 2, 2014 21:16 UTC | AbbVie Inc. ABBV · Entity 2800 | GrantStock Equivalent Units · Derivative | 584 | $56.44 Strike: $0.00 | $32,960.96 |
DisclosureSEC source: 0001179110-14-011339 · edgar.xml · derivative · entry 1 RAPP EDWARD J · CIK 0001171780 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,291 Underlying: Common Stock · 584 shares Expires not disclosed F1 · derivative.exercise_price: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock. F1 · derivative.exercise_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock. F1 · derivative.expiration_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock. F2 · balance_after: Balance includes stock equivalent units acquired pursuant to a dividend reinvestment feature. Read SEC document |
| June 26, 2014 Filed Aug 7, 2014 21:34 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon Stock | 1,500 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000313 · edgar.xml · nonDerivative · entry 4 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,680 Read SEC document |
| May 09, 2014 Filed May 13, 2014 21:23 UTC | AbbVie Inc. ABBV · Entity 2800 | GrantCommon stock, $0.01 par value | 2,764 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-14-008323 · edgar.xml · nonDerivative · entry 1 RAPP EDWARD J · CIK 0001171780 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,799 F1 · kind: These are restricted stock units awarded under the AbbVie 2013 Incentive Stock Program (the "Program"). They will be paid, on a one-to-one basis, in shares of AbbVie common stock on the earlier of the date of the director's separation from service, death, or the occurrence of a change in control (as defined in the Program). F1 · price: These are restricted stock units awarded under the AbbVie 2013 Incentive Stock Program (the "Program"). They will be paid, on a one-to-one basis, in shares of AbbVie common stock on the earlier of the date of the director's separation from service, death, or the occurrence of a change in control (as defined in the Program). Read SEC document |
| May 06, 2014 Filed May 7, 2014 20:40 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 30,000 | $0.00 Strike: $45.64 | $0.00 |
DisclosureSEC source: 0000018230-14-000187 · edgar.xml · derivative · entry 5 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2015-02-18 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| May 06, 2014 Filed May 7, 2014 20:40 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 15,000 | $103.99 | $1,559,790.00 |
DisclosureSEC source: 0000018230-14-000187 · edgar.xml · nonDerivative · entry 4 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,485 Read SEC document |
| May 06, 2014 Filed May 7, 2014 20:40 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 15,000 | $45.64 | $684,637.50 |
DisclosureSEC source: 0000018230-14-000187 · edgar.xml · nonDerivative · entry 3 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,485 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| May 06, 2014 Filed May 7, 2014 20:40 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 10,534 | $104.04 | $1,095,904.69 |
DisclosureSEC source: 0000018230-14-000187 · edgar.xml · nonDerivative · entry 2 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,485 Read SEC document |
| May 06, 2014 Filed May 7, 2014 20:40 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 15,000 | $45.64 | $684,637.50 |
DisclosureSEC source: 0000018230-14-000187 · edgar.xml · nonDerivative · entry 1 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,485 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| May 06, 2014 Filed Aug 7, 2014 21:07 UTC Amendment | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 15,000 | $103.99 | $1,559,790.00 |
DisclosureSEC source: 0000018230-14-000311 · edgar.xml · nonDerivative · entry 4 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,794 F1 · balance_after: This amended Form 4 is being filed to correct the number of shares beneficially owned following each of the reported transactions. Read SEC document |
| May 06, 2014 Filed Aug 7, 2014 21:07 UTC Amendment | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 15,000 | $45.64 | $684,637.50 |
DisclosureSEC source: 0000018230-14-000311 · edgar.xml · nonDerivative · entry 3 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 84,794 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: This amended Form 4 is being filed to correct the number of shares beneficially owned following each of the reported transactions. Read SEC document |
| May 06, 2014 Filed Aug 7, 2014 21:07 UTC Amendment | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 10,534 | $104.04 | $1,095,904.69 |
DisclosureSEC source: 0000018230-14-000311 · edgar.xml · nonDerivative · entry 2 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,794 F1 · balance_after: This amended Form 4 is being filed to correct the number of shares beneficially owned following each of the reported transactions. Read SEC document |
| May 06, 2014 Filed Aug 7, 2014 21:07 UTC Amendment | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 15,000 | $45.64 | $684,637.50 |
DisclosureSEC source: 0000018230-14-000311 · edgar.xml · nonDerivative · entry 1 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,328 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: This amended Form 4 is being filed to correct the number of shares beneficially owned following each of the reported transactions. Read SEC document |
| May 02, 2014 Filed May 6, 2014 18:05 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionRestricted Stock Units · Derivative | 334 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-14-000185 · edgar.xml · derivative · entry 3 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 666 Underlying: Common Stock · 334 shares Expires not disclosed 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 · derivative.exercise_price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On May 2, 2014, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar Inc. common stock. F1 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On May 2, 2014, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar Inc. common stock. F2 · derivative.expiration_date: Represents restricted stock units (RSUs) awarded pursuant to the Caterpillar Inc. 2006 Long -Term Incentive Plan. Each RSU award vests in three equal annual installments beginning on the third anniversary of the initial grant date of May 2, 2011. Read SEC document |
| May 02, 2014 Filed May 6, 2014 18:05 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 157 | $105.16 | $16,509.34 |
DisclosureSEC source: 0000018230-14-000185 · edgar.xml · nonDerivative · entry 2 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,328 Read SEC document |
| May 02, 2014 Filed May 6, 2014 18:05 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 334 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000185 · edgar.xml · nonDerivative · entry 1 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,485 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 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On May 2, 2014, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar Inc. common stock. Read SEC document |
| April 01, 2014 Filed Apr 2, 2014 19:13 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionRestricted Stock Units · Derivative | 392 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000136 · edgar.xml · derivative · entry 3 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 391 Underlying: Common Stock · 392 shares Expires not disclosed 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 · derivative.exercise_price: Each restricted stock unit (RSU) represents the right to receive one share of Caterpillar Inc. common stock upon vesting of such RSUs.. F2 · derivative.exercise_date: RSUs vest in three equal annual installments beginning on April 1, 2013. On April 1, 2014, the reporting person's RSUs were settled for an equal number of shares of Caterpillar Inc. common stock. F2 · derivative.expiration_date: RSUs vest in three equal annual installments beginning on April 1, 2013. On April 1, 2014, the reporting person's RSUs were settled for an equal number of shares of Caterpillar Inc. common stock. Read SEC document |
| April 01, 2014 Filed Apr 2, 2014 19:13 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 185 | $99.51 | $18,409.35 |
DisclosureSEC source: 0000018230-14-000136 · edgar.xml · nonDerivative · entry 2 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,151 Read SEC document |
| April 01, 2014 Filed Apr 2, 2014 19:13 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 392 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000136 · edgar.xml · nonDerivative · entry 1 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,336 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 31, 2014 Filed Apr 2, 2014 21:06 UTC | AbbVie Inc. ABBV · Entity 2800 | GrantStock Equivalent Units · Derivative | 642 | $51.40 Strike: $0.00 | $32,998.80 |
DisclosureSEC source: 0001179110-14-006279 · edgar.xml · derivative · entry 1 RAPP EDWARD J · CIK 0001171780 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,677 Underlying: Common Stock · 642 shares Expires not disclosed F1 · derivative.exercise_price: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock. F1 · derivative.exercise_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock. F1 · derivative.expiration_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock. F2 · balance_after: Balance includes stock equivalent units acquired pursuant to a dividend reinvestment feature. Read SEC document |
| March 03, 2014 Filed Mar 5, 2014 19:48 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Option · Derivative | 86,742 | $0.00 Strike: $96.31 | $0.00 |
DisclosureSEC source: 0000018230-14-000106 · edgar.xml · derivative · entry 1 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,742 Underlying: Common Stock · 86,742 shares Expires 2024-03-03 Read SEC document |
| January 31, 2014 Filed Feb 4, 2014 19:13 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 60,000 | $0.00 Strike: $38.63 | $0.00 |
DisclosureSEC source: 0000018230-14-000039 · edgar.xml · derivative · entry 5 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 60,000 shares Expires 2014-06-08 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 31, 2014 Filed Feb 4, 2014 19:13 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 30,000 | $94.24 | $2,827,098.00 |
DisclosureSEC source: 0000018230-14-000039 · edgar.xml · nonDerivative · entry 4 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,824 F1 · balance_after: Includes adjustments for dividends accrued and shares acquired under Caterpillar Inc.'s 401(k) plan. Read SEC document |
| January 31, 2014 Filed Feb 4, 2014 19:13 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 30,000 | $38.63 | $1,158,825.00 |
DisclosureSEC source: 0000018230-14-000039 · edgar.xml · nonDerivative · entry 3 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,824 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 31, 2014 Filed Feb 4, 2014 19:13 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 19,791 | $93.35 | $1,847,489.85 |
DisclosureSEC source: 0000018230-14-000039 · edgar.xml · nonDerivative · entry 2 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,824 Read SEC document |
| January 31, 2014 Filed Feb 4, 2014 19:13 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 30,000 | $38.63 | $1,158,825.00 |
DisclosureSEC source: 0000018230-14-000039 · edgar.xml · nonDerivative · entry 1 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 85,755 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 31, 2014 Filed Feb 27, 2014 21:21 UTC Amendment | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 60,000 | $0.00 Strike: $38.63 | $0.00 |
DisclosureSEC source: 0000018230-14-000064 · edgar.xml · derivative · entry 5 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 60,000 shares Expires 2014-06-08 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 31, 2014 Filed Feb 27, 2014 21:21 UTC Amendment | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 30,000 | $94.24 | $2,827,098.00 |
DisclosureSEC source: 0000018230-14-000064 · edgar.xml · nonDerivative · entry 4 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,944 Read SEC document |
| January 31, 2014 Filed Feb 27, 2014 21:21 UTC Amendment | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 30,000 | $38.63 | $1,158,825.00 |
DisclosureSEC source: 0000018230-14-000064 · edgar.xml · nonDerivative · entry 3 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,944 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 31, 2014 Filed Feb 27, 2014 21:21 UTC Amendment | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 20,671 | $93.35 | $1,929,637.85 |
DisclosureSEC source: 0000018230-14-000064 · edgar.xml · nonDerivative · entry 2 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,944 F2 · shares: This amended Form 4 is being filed soley to correct an error in the number of shares surrendered by the reporting person to satisfy the exercise price and tax liability in connection with this transaction. The previously reported number was incorrect due to an administrative error. Read SEC document |
| January 31, 2014 Filed Feb 27, 2014 21:21 UTC Amendment | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 30,000 | $38.63 | $1,158,825.00 |
DisclosureSEC source: 0000018230-14-000064 · edgar.xml · nonDerivative · entry 1 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 85,615 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: Includes adjustments for dividends accrued and shares acquired under Caterpillar Inc.'s 401(k) plan. Read SEC document |
| December 31, 2013 Filed Jan 3, 2014 22:08 UTC | AbbVie Inc. ABBV · Entity 2800 | GrantStock Equivalent Units · Derivative | 624 | $52.81 Strike: $0.00 | $32,953.44 |
DisclosureSEC source: 0001179110-14-000240 · edgar.xml · derivative · entry 1 RAPP EDWARD J · CIK 0001171780 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,011 Underlying: Common Stock · 624 shares Expires not disclosed F1 · derivative.exercise_price: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock. F1 · derivative.exercise_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock. F1 · derivative.expiration_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock. F2 · balance_after: Balance includes stock equivalent units acquired pursuant to a dividend reinvestment feature. Read SEC document |
| September 30, 2013 Filed Oct 2, 2013 21:08 UTC | AbbVie Inc. ABBV · Entity 2800 | GrantStock Equivalent Units · Derivative | 737 | $44.73 Strike: $0.00 | $32,966.01 |
DisclosureSEC source: 0001179110-13-014980 · edgar.xml · derivative · entry 1 RAPP EDWARD J · CIK 0001171780 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,367 Underlying: Common Stock · 737 shares Expires not disclosed F1 · derivative.exercise_price: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock. F1 · derivative.exercise_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock. F1 · derivative.expiration_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock. F2 · balance_after: Balance includes stock equivalent units acquired pursuant to a dividend reinvestment feature. Read SEC document |
| June 30, 2013 Filed Jul 1, 2013 21:14 UTC | AbbVie Inc. ABBV · Entity 2800 | GrantStock Equivalent Units · Derivative | 798 | $41.34 Strike: $0.00 | $32,989.32 |
DisclosureSEC source: 0001179110-13-011172 · edgar.xml · derivative · entry 1 RAPP EDWARD J · CIK 0001171780 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,614 Underlying: Common Stock · 798 shares Expires not disclosed F1 · derivative.exercise_price: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock. F1 · derivative.exercise_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock. F1 · derivative.expiration_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock. F2 · balance_after: Balance includes stock equivalent units acquired pursuant to a dividend reinvestment feature. Read SEC document |
| May 06, 2013 Filed May 8, 2013 21:11 UTC | AbbVie Inc. ABBV · Entity 2800 | GrantCommon stock, $0.01 par value | 2,535 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-13-008011 · edgar.xml · nonDerivative · entry 1 RAPP EDWARD J · CIK 0001171780 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,035 F1 · kind: These are restricted stock units awarded under the AbbVie 2013 Incentive Stock Program (the "Program"). They will be paid, on a one-to-one basis, in shares of AbbVie common stock on the earlier of the date of the director's separation from service, death, or the occurrence of a change in control (as defined in the Program). F1 · price: These are restricted stock units awarded under the AbbVie 2013 Incentive Stock Program (the "Program"). They will be paid, on a one-to-one basis, in shares of AbbVie common stock on the earlier of the date of the director's separation from service, death, or the occurrence of a change in control (as defined in the Program). Read SEC document |
| April 01, 2013 Filed Apr 3, 2013 20:50 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionRestricted Stock Units · Derivative | 392 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-13-000195 · edgar.xml · derivative · entry 4 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 783 Underlying: Common Stock · 392 shares Expires 2015-04-01 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On April 1, 2013, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar Inc. common stock. F1 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On April 1, 2013, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar Inc. common stock. F2 · derivative.exercise_date: The restricted stock units vest 1/3 on April 1, 2013; 1/3 on April 1, 2014; 1/3 on April 1, 2015. Read SEC document |
| April 01, 2013 Filed Apr 3, 2013 20:50 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 185 | $86.18 | $15,942.38 |
DisclosureSEC source: 0000018230-13-000195 · edgar.xml · nonDerivative · entry 3 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,570 Read SEC document |
| April 01, 2013 Filed Apr 3, 2013 20:50 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 392 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-13-000195 · edgar.xml · nonDerivative · entry 2 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,755 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 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On April 1, 2013, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar Inc. common stock. Read SEC document |
| April 01, 2013 Filed Apr 3, 2013 20:50 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 78 | $86.18 | $6,721.65 |
DisclosureSEC source: 0000018230-13-000195 · edgar.xml · nonDerivative · entry 1 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,363 Read SEC document |
| March 31, 2013 Filed Apr 2, 2013 21:22 UTC | AbbVie Inc. ABBV · Entity 2800 | GrantStock Equivalent Units · Derivative | 809 | $40.78 Strike: $0.00 | $32,991.02 |
DisclosureSEC source: 0001179110-13-006219 · edgar.xml · derivative · entry 1 RAPP EDWARD J · CIK 0001171780 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 809 Underlying: Common stock · 809 shares Expires not disclosed F1 · derivative.exercise_price: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock. F1 · derivative.exercise_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock. F1 · derivative.expiration_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock. 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.