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 |
|---|---|---|---|---|---|---|
| March 11, 2013 Filed Mar 12, 2013 21:17 UTC | AbbVie Inc. ABBV · Entity 2800 | PurchaseCommon stock, $0.01 par value | 600 | $37.67 | $22,600.20 |
DisclosureSEC source: 0001179110-13-004967 · edgar.xml · nonDerivative · entry 8 RAPP EDWARD J · CIK 0001171780 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,500 Read SEC document |
| March 11, 2013 Filed Mar 12, 2013 21:17 UTC | AbbVie Inc. ABBV · Entity 2800 | PurchaseCommon stock, $0.01 par value | 100 | $37.66 | $3,766.38 |
DisclosureSEC source: 0001179110-13-004967 · edgar.xml · nonDerivative · entry 7 RAPP EDWARD J · CIK 0001171780 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,900 Read SEC document |
| March 11, 2013 Filed Mar 12, 2013 21:17 UTC | AbbVie Inc. ABBV · Entity 2800 | PurchaseCommon stock, $0.01 par value | 100 | $37.67 | $3,766.54 |
DisclosureSEC source: 0001179110-13-004967 · edgar.xml · nonDerivative · entry 6 RAPP EDWARD J · CIK 0001171780 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,800 Read SEC document |
| March 11, 2013 Filed Mar 12, 2013 21:17 UTC | AbbVie Inc. ABBV · Entity 2800 | PurchaseCommon stock, $0.01 par value | 100 | $37.66 | $3,766.48 |
DisclosureSEC source: 0001179110-13-004967 · edgar.xml · nonDerivative · entry 5 RAPP EDWARD J · CIK 0001171780 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,700 Read SEC document |
| March 11, 2013 Filed Mar 12, 2013 21:17 UTC | AbbVie Inc. ABBV · Entity 2800 | PurchaseCommon stock, $0.01 par value | 100 | $37.66 | $3,766.00 |
DisclosureSEC source: 0001179110-13-004967 · edgar.xml · nonDerivative · entry 4 RAPP EDWARD J · CIK 0001171780 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,600 Read SEC document |
| March 11, 2013 Filed Mar 12, 2013 21:17 UTC | AbbVie Inc. ABBV · Entity 2800 | PurchaseCommon stock, $0.01 par value | 100 | $37.66 | $3,766.11 |
DisclosureSEC source: 0001179110-13-004967 · edgar.xml · nonDerivative · entry 3 RAPP EDWARD J · CIK 0001171780 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,500 Read SEC document |
| March 11, 2013 Filed Mar 12, 2013 21:17 UTC | AbbVie Inc. ABBV · Entity 2800 | PurchaseCommon stock, $0.01 par value | 200 | $37.66 | $7,532.88 |
DisclosureSEC source: 0001179110-13-004967 · edgar.xml · nonDerivative · entry 2 RAPP EDWARD J · CIK 0001171780 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,400 Read SEC document |
| March 11, 2013 Filed Mar 12, 2013 21:17 UTC | AbbVie Inc. ABBV · Entity 2800 | PurchaseCommon stock, $0.01 par value | 1,200 | $37.67 | $45,204.00 |
DisclosureSEC source: 0001179110-13-004967 · edgar.xml · nonDerivative · entry 1 RAPP EDWARD J · CIK 0001171780 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,200 Read SEC document |
| March 04, 2013 Filed Mar 5, 2013 22:19 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Option (right to buy) · Derivative | 79,976 | $0.00 Strike: $89.75 | $0.00 |
DisclosureSEC source: 0000018230-13-000110 · edgar.xml · derivative · entry 1 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 79,976 Underlying: Common Stock · 79,976 shares Expires 2023-03-04 Read SEC document |
| March 04, 2013 Filed Mar 7, 2013 00:47 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 1,530 | $91.05 | $139,298.85 |
DisclosureSEC source: 0000018230-13-000151 · edgar.xml · nonDerivative · entry 2 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,441 Read SEC document |
| March 01, 2013 Filed Mar 7, 2013 00:47 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionRestricted Stock Units · Derivative | 3,257 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-13-000151 · 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 · 3,257 shares Expires 2013-03-01 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 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 March 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 |
| March 01, 2013 Filed Mar 7, 2013 00:47 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 3,257 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-13-000151 · edgar.xml · nonDerivative · entry 1 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,971 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 March 1, 2013, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar Inc. common stock. F2 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| December 12, 2012 Filed Dec 20, 2012 19:09 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 294 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000588 · edgar.xml · nonDerivative · entry 4 RAPP EDWARD J · CIK 0001171780 · CFO & Group President 10b5-1 filing: Not disclosed Ownership: Indirect · Owned by daughter Disclosed balance after: 294 F2 · kind: This transaction involved a gift of securities by the reporting person to his daughter, who shares reporting person's household. Read SEC document |
| December 12, 2012 Filed Dec 20, 2012 19:09 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 294 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000588 · edgar.xml · nonDerivative · entry 3 RAPP EDWARD J · CIK 0001171780 · CFO & Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,688 F2 · kind: This transaction involved a gift of securities by the reporting person to his daughter, who shares reporting person's household. F1 · balance_after: This amount includes 2318 shares in 401(k). Read SEC document |
| December 12, 2012 Filed Dec 20, 2012 19:09 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 125 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000588 · edgar.xml · nonDerivative · entry 2 RAPP EDWARD J · CIK 0001171780 · CFO & Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,982 F1 · balance_after: This amount includes 2318 shares in 401(k). Read SEC document |
| November 30, 2012 Filed Dec 20, 2012 19:09 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 1,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000588 · edgar.xml · nonDerivative · entry 1 RAPP EDWARD J · CIK 0001171780 · CFO & Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,107 F1 · balance_after: This amount includes 2318 shares in 401(k). Read SEC document |
| November 26, 2012 Filed Nov 28, 2012 14:06 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 13,500 | $0.00 Strike: $27.14 | $0.00 |
DisclosureSEC source: 0000018230-12-000540 · edgar.xml · derivative · entry 3 RAPP EDWARD J · CIK 0001171780 · CFO & Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 13,500 shares Expires 2013-06-10 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. F2 · derivative.exercise_date: Exercisable in thirds beginning 1 year after the initial grant date of June 10, 2003. (1/3 after one year; 1/3 after two years; 1/3 after three years). Read SEC document |
| November 26, 2012 Filed Nov 28, 2012 14:06 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 8,137 | $84.40 | $686,722.12 |
DisclosureSEC source: 0000018230-12-000540 · edgar.xml · nonDerivative · entry 2 RAPP EDWARD J · CIK 0001171780 · CFO & Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,107 F1 · balance_after: This amount includes 2318 shares in 401(k). Read SEC document |
| November 26, 2012 Filed Nov 28, 2012 14:06 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 13,500 | $27.14 | $366,423.75 |
DisclosureSEC source: 0000018230-12-000540 · edgar.xml · nonDerivative · entry 1 RAPP EDWARD J · CIK 0001171780 · CFO & Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,244 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: This amount includes 2318 shares in 401(k). Read SEC document |
| July 30, 2012 Filed Aug 1, 2012 20:33 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 13,500 | $0.00 Strike: $27.14 | $0.00 |
DisclosureSEC source: 0000018230-12-000397 · edgar.xml · derivative · entry 4 RAPP EDWARD J · CIK 0001171780 · CFO & Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 13,500 shares Expires 2013-06-10 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_date: Exercisable in thirds beginning 1 year after the initial grant date. (1/3 after one year; 1/3 after two years; 1/3 after three years). Read SEC document |
| July 30, 2012 Filed Aug 1, 2012 20:33 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 5,585 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000397 · edgar.xml · derivative · entry 3 RAPP EDWARD J · CIK 0001171780 · CFO & Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,789 Underlying: Common · 5,585 shares Expires not disclosed F2 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will 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 will be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| July 30, 2012 Filed Aug 1, 2012 20:33 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 13,500 | $85.78 | $1,157,976.00 |
DisclosureSEC source: 0000018230-12-000397 · edgar.xml · nonDerivative · entry 2 RAPP EDWARD J · CIK 0001171780 · CFO & Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,732 F1 · balance_after: This amount includes 2306 shares in 401(k). Read SEC document |
| July 30, 2012 Filed Aug 1, 2012 20:33 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 13,500 | $27.14 | $366,423.75 |
DisclosureSEC source: 0000018230-12-000397 · edgar.xml · nonDerivative · entry 1 RAPP EDWARD J · CIK 0001171780 · CFO & Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,232 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: This amount includes 2306 shares in 401(k). Read SEC document |
| May 01, 2012 Filed May 3, 2012 14:49 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon | 2,500 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000264 · edgar.xml · nonDerivative · entry 1 RAPP EDWARD J · CIK 0001171780 · CFO & Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,714 F1 · shares: Represents restricted stock units (RSU) awarded pursuant to the Caterpillar Inc. 2006 Long -Term Incentive Plan. Each RSU represents the right to receive one share of Caterpillar Inc. common stock and vests in thirds beginning 2 years after the initial grant date (1/3 after three years; 1/3 after four years; 1/3 after five years). F2 · balance_after: This amount includes 2288 shares in 401(k). Read SEC document |
| April 02, 2012 Filed Apr 4, 2012 20:18 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 208 | $106.49 | $22,149.92 |
DisclosureSEC source: 0000018230-12-000199 · edgar.xml · nonDerivative · entry 1 RAPP EDWARD J · CIK 0001171780 · CFO & Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,214 F1 · kind: Amount reflects shares surrendered to satisfy tax withholding requirements upon the vesting of restricted stock. F2 · balance_after: This amount includes 2288 shares in 401(k), which, due to an administrative error, was not included in the prior total. Read SEC document |
| March 05, 2012 Filed Mar 7, 2012 21:36 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Option (right to buy) · Derivative | 60,515 | $0.00 Strike: $110.09 | $0.00 |
DisclosureSEC source: 0000018230-12-000151 · edgar.xml · derivative · entry 3 RAPP EDWARD J · CIK 0001171780 · CFO & Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,515 Underlying: Common · 60,515 shares Expires 2022-03-05 Read SEC document |
| March 02, 2012 Filed Mar 6, 2012 22:21 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionRestricted Stock Units · Derivative | 6,561 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000109 · edgar.xml · derivative · entry 4 RAPP EDWARD J · CIK 0001171780 · CFO & Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 6,561 shares Expires 2012-03-02 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 2, 2012, the reporting person's restricted stock units were setted for an equal number of shares of Caterpillar Inc. common stock. F2 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 2, 2012, the reporting person's restricted stock units were setted for an equal number of shares of Caterpillar Inc. common stock. Read SEC document |
| March 02, 2012 Filed Mar 6, 2012 22:21 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 2,720 | $112.87 | $307,006.40 |
DisclosureSEC source: 0000018230-12-000109 · edgar.xml · nonDerivative · entry 2 RAPP EDWARD J · CIK 0001171780 · CFO & Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,134 F5 · kind: Amount reflects shares surrendered to satisfy tax withholding requirements upon the vesting of restricted stock units. F3 · balance_after: This amount includes 2283 shares in 401(k). F4 · balance_after: Includes 11,672 shares previously owned indirectly through Caterpillar's 401(k) plan. Read SEC document |
| March 02, 2012 Filed Mar 6, 2012 22:21 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 6,561 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000109 · edgar.xml · nonDerivative · entry 1 RAPP EDWARD J · CIK 0001171780 · CFO & Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,854 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 · kind: Represents the vesting of restricted stock units granted to the reporting person on March 2, 2009. F2 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 2, 2012, the reporting person's restricted stock units were setted for an equal number of shares of Caterpillar Inc. common stock. F3 · balance_after: This amount includes 2283 shares in 401(k). F4 · balance_after: Includes 11,672 shares previously owned indirectly through Caterpillar's 401(k) plan. Read SEC document |
| February 21, 2012 Filed Feb 23, 2012 21:11 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 27,000 | $115.00 Strike: $27.14 | $3,105,000.00 |
DisclosureSEC source: 0000018230-12-000072 · edgar.xml · derivative · entry 3 RAPP EDWARD J · CIK 0001171780 · CFO & Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,000 Underlying: Common · 27,000 shares Expires 2013-06-10 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. F3 · derivative.exercise_date: Exercisable in thirds beginning 1 year after the initial grant date. (1/3 after one year; 1/3 after two years; 1/3 after three years). Read SEC document |
| February 21, 2012 Filed Feb 23, 2012 21:11 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 27,000 | $115.00 | $3,105,000.00 |
DisclosureSEC source: 0000018230-12-000072 · edgar.xml · nonDerivative · entry 2 RAPP EDWARD J · CIK 0001171780 · CFO & Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,293 F1 · balance_after: This amount includes 2283 shares in 401K. F2 · balance_after: Includes 11,672 shares previously owned indirectly through Caterpillar's 401(k) plan. Read SEC document |
| February 21, 2012 Filed Feb 23, 2012 21:11 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 27,000 | $27.14 | $732,847.50 |
DisclosureSEC source: 0000018230-12-000072 · edgar.xml · nonDerivative · entry 1 RAPP EDWARD J · CIK 0001171780 · CFO & Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,293 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: This amount includes 2283 shares in 401K. F2 · balance_after: Includes 11,672 shares previously owned indirectly through Caterpillar's 401(k) plan. Read SEC document |
| October 27, 2011 Filed Nov 15, 2011 21:17 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 1,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000518 · edgar.xml · nonDerivative · entry 1 RAPP EDWARD J · CIK 0001171780 · CFO & Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,293 F1 · balance_after: This amount includes 2283 shares in 401K. F2 · balance_after: Includes 11,672 shares previously owned indirectly through Caterpillar's 401(k) plan. Read SEC document |
| May 03, 2011 Filed May 5, 2011 15:19 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftStock Appreciation Rights · Derivative | 145,765 | $0.00 Strike: $57.85 | $0.00 |
DisclosureSEC source: 0000018230-11-000289 · edgar.xml · derivative · entry 3 RAPP EDWARD J · CIK 0001171780 · CFO & Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 145,765 shares Expires 2020-03-01 F4 · derivative.exercise_date: The stock appreciation rights vest on March 1, 2013. Read SEC document |
| May 02, 2011 Filed May 4, 2011 15:00 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantRestricted Stock Units · Derivative | 1,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000274 · edgar.xml · derivative · entry 3 RAPP EDWARD J · CIK 0001171780 · CFO & Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,000 Underlying: Common · 1,000 shares Expires not disclosed F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Caterpillar common stock. F5 · derivative.exercise_date: The restricted stock units vest on May 2, 2016. F5 · derivative.expiration_date: The restricted stock units vest on May 2, 2016. Read SEC document |
| May 02, 2011 Filed May 4, 2011 15:00 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 43 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000274 · edgar.xml · derivative · entry 2 RAPP EDWARD J · CIK 0001171780 · CFO & Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,617 Underlying: Common · 43 shares Expires not disclosed F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F2 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| March 07, 2011 Filed Mar 8, 2011 20:33 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantStock Appreciation Rights · Derivative | 56,228 | $0.00 Strike: $102.13 | $0.00 |
DisclosureSEC source: 0000018230-11-000182 · edgar.xml · derivative · entry 3 RAPP EDWARD J · CIK 0001171780 · CFO & Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,228 Underlying: Common · 56,228 shares Expires 2021-03-07 F4 · derivative.exercise_date: The stock appreciation rights vest on March 7, 2014. Read SEC document |
| March 03, 2011 Filed Mar 4, 2011 21:25 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionRestricted Stock Units · Derivative | 4,109 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-11-000111 · edgar.xml · derivative · entry 4 RAPP EDWARD J · CIK 0001171780 · CFO & Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 4,109 shares Expires 2011-03-03 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_price: Each restricted stock unit represents the equivalent of one share of Caterpillar common stock. On March 3, 2011, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar common stock. F5 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar common stock. On March 3, 2011, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar common stock. Read SEC document |
| March 03, 2011 Filed Mar 4, 2011 21:25 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 116 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000111 · edgar.xml · derivative · entry 3 RAPP EDWARD J · CIK 0001171780 · CFO & Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,574 Underlying: Common · 116 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| March 03, 2011 Filed Mar 4, 2011 21:25 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,704 | $103.22 | $175,878.36 |
DisclosureSEC source: 0000018230-11-000111 · edgar.xml · nonDerivative · entry 2 RAPP EDWARD J · CIK 0001171780 · CFO & Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,500 F4 · kind: Amount reflects shares surrendered to satisfy tax withholding requirements upon the vesting of restricted stock. F1 · balance_after: This amount includes 13,678 shares in 401K and 61 shares in dividend reinvestment. Read SEC document |
| March 03, 2011 Filed Mar 4, 2011 21:25 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 4,109 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-11-000111 · edgar.xml · nonDerivative · entry 1 RAPP EDWARD J · CIK 0001171780 · CFO & Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,204 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. F5 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar common stock. On March 3, 2011, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar common stock. Read SEC document |
| September 30, 2010 Filed Oct 1, 2010 16:28 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 37 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000471 · edgar.xml · derivative · entry 2 RAPP EDWARD J · CIK 0001171780 · CFO & Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,458 Underlying: Common · 37 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| August 31, 2010 Filed Sep 1, 2010 17:51 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 44 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000423 · edgar.xml · derivative · entry 2 RAPP EDWARD J · CIK 0001171780 · CFO & Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,421 Underlying: Common · 44 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| July 30, 2010 Filed Aug 2, 2010 17:53 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 188 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000365 · edgar.xml · derivative · entry 2 RAPP EDWARD J · CIK 0001171780 · CFO & Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,377 Underlying: Common · 188 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| June 30, 2010 Filed Jul 2, 2010 15:00 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 46 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000326 · edgar.xml · derivative · entry 2 RAPP EDWARD J · CIK 0001171780 · CFO & Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,189 Underlying: Common · 46 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| April 05, 2010 Filed Apr 6, 2010 18:08 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 24,000 | $0.00 Strike: $26.77 | $0.00 |
DisclosureSEC source: 0000018230-10-000201 · 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 · 24,000 shares Expires 2011-06-12 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. F5 · security: (Right to buy) with tandem tax withholding rights. F6 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| April 05, 2010 Filed Apr 6, 2010 18:08 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 24,000 | $65.00 | $1,560,000.00 |
DisclosureSEC source: 0000018230-10-000201 · edgar.xml · nonDerivative · entry 3 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,767 F1 · balance_after: This amount includes 13,411 shares in 401K. Read SEC document |
| April 05, 2010 Filed Apr 6, 2010 18:08 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 24,000 | $26.77 | $642,360.00 |
DisclosureSEC source: 0000018230-10-000201 · edgar.xml · nonDerivative · entry 2 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,767 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| April 05, 2010 Filed Apr 6, 2010 18:08 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 132 | $64.60 | $8,527.20 |
DisclosureSEC source: 0000018230-10-000201 · edgar.xml · nonDerivative · entry 1 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,767 F4 · kind: Amount reflects shares surrendered to satisfy tax withholding requirements upon the vesting of restricted stock. Read SEC document |
| April 01, 2010 Filed Apr 5, 2010 18:18 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantRestricted Stock Units · Derivative | 1,175 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000194 · edgar.xml · derivative · entry 3 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,175 Underlying: Common · 1,175 shares Expires not disclosed F5 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Caterpillar common stock. F4 · 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. F4 · derivative.expiration_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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.