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 02, 2010 Filed Mar 4, 2010 18:55 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionRestricted Stock Units · Derivative | 2,594 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-10-000155 · edgar.xml · derivative · entry 4 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 2,594 shares Expires 2010-03-02 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. F4 · derivative.exercise_price: Each restricted stock unit represents the equivalent of one share of Caterpillar common stock. On March 2, 2010, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar common stock. F4 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar common stock. On March 2, 2010, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar common stock. Read SEC document |
| March 02, 2010 Filed Mar 4, 2010 18:55 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 764 | $58.42 | $44,632.88 |
DisclosureSEC source: 0000018230-10-000155 · edgar.xml · nonDerivative · entry 2 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,675 F5 · kind: Amount reflects shares surrendered to satisfy tax withholding requirements upon the vesting of restricted stock units. F1 · balance_after: This amount includes 13,187 shares in 401K. Read SEC document |
| March 02, 2010 Filed Mar 4, 2010 18:55 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 2,594 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-10-000155 · edgar.xml · nonDerivative · entry 1 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,439 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar common stock. On March 2, 2010, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar common stock. Read SEC document |
| March 02, 2010 Filed Apr 5, 2011 17:58 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionRestricted Stock Units · Derivative | 2,594 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-11-000228 · edgar.xml · derivative · entry 4 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 2,594 shares Expires 2010-03-02 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. F4 · derivative.exercise_price: Each restricted stock unit represents the equivalent of one share of Caterpillar common stock. On March 2, 2010, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar common stock. F4 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar common stock. On March 2, 2010, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar common stock. Read SEC document |
| March 02, 2010 Filed Apr 5, 2011 17:58 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 764 | $58.42 | $44,632.88 |
DisclosureSEC source: 0000018230-11-000228 · edgar.xml · nonDerivative · entry 2 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,675 F5 · kind: Amount reflects shares surrendered to satisfy tax withholding requirements upon the vesting of restricted stock units. F1 · balance_after: This amount includes 13,187 shares in 401K. Read SEC document |
| March 02, 2010 Filed Apr 5, 2011 17:58 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 2,594 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-11-000228 · edgar.xml · nonDerivative · entry 1 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,439 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar common stock. On March 2, 2010, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar common stock. Read SEC document |
| March 01, 2010 Filed Mar 3, 2010 21:19 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantRestricted Stock Units · Derivative | 3,257 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000137 · edgar.xml · derivative · entry 4 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,257 Underlying: Common · 3,257 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 and stock appreciation rights vest on March 1, 2013. F4 · derivative.expiration_date: The restricted stock units and stock appreciation rights vest on March 1, 2013. Read SEC document |
| March 01, 2010 Filed Mar 3, 2010 21:19 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantStock Appreciation Rights · Derivative | 145,765 | $0.00 Strike: $57.85 | $0.00 |
DisclosureSEC source: 0000018230-10-000137 · edgar.xml · derivative · entry 3 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 145,765 Underlying: Common · 145,765 shares Expires 2020-03-01 F4 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 1, 2013. Read SEC document |
| December 31, 2009 Filed Jan 4, 2010 21:46 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 164 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000028 · edgar.xml · derivative · entry 2 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,036 Underlying: Common · 164 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 |
| November 30, 2009 Filed Dec 1, 2009 17:30 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 50 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000542 · edgar.xml · derivative · entry 2 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,872 Underlying: Common · 50 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 |
| November 09, 2009 Filed Nov 10, 2009 19:16 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 1,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000510 · edgar.xml · nonDerivative · entry 1 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,771 F1 · balance_after: This amount includes 13,113 shares in 401K. Read SEC document |
| October 30, 2009 Filed Nov 2, 2009 19:29 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 85 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000487 · edgar.xml · derivative · entry 2 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,822 Underlying: Common · 85 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 |
| October 23, 2009 Filed Oct 26, 2009 15:31 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 54,000 | $0.00 Strike: $25.36 | $0.00 |
DisclosureSEC source: 0000018230-09-000454 · edgar.xml · derivative · entry 4 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 54,000 shares Expires 2012-06-11 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 · security: (Right to buy) with tandem tax withholding rights. F5 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| October 23, 2009 Filed Oct 26, 2009 15:31 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 54,000 | $58.43 | $3,155,220.00 |
DisclosureSEC source: 0000018230-09-000454 · edgar.xml · nonDerivative · entry 2 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,771 F1 · balance_after: This amount includes 13,113 shares in 401K. Read SEC document |
| October 23, 2009 Filed Oct 26, 2009 15:31 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 54,000 | $25.36 | $1,369,305.00 |
DisclosureSEC source: 0000018230-09-000454 · edgar.xml · nonDerivative · entry 1 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,771 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| October 20, 2009 Filed Oct 21, 2009 15:18 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 24,000 | $0.00 Strike: $26.77 | $0.00 |
DisclosureSEC source: 0000018230-09-000442 · edgar.xml · derivative · entry 4 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. F4 · security: (Right to buy) with tandem tax withholding rights. F5 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| October 20, 2009 Filed Oct 21, 2009 15:18 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 24,000 | $61.03 | $1,464,720.00 |
DisclosureSEC source: 0000018230-09-000442 · edgar.xml · nonDerivative · entry 2 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,771 F1 · balance_after: This amount includes 13,113 shares in 401K. Read SEC document |
| October 20, 2009 Filed Oct 21, 2009 15:18 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 24,000 | $26.77 | $642,360.00 |
DisclosureSEC source: 0000018230-09-000442 · edgar.xml · nonDerivative · entry 1 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,771 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 |
| September 30, 2009 Filed Oct 1, 2009 19:36 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 56 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000410 · edgar.xml · derivative · entry 2 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,737 Underlying: Common · 56 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, 2009 Filed Sep 1, 2009 18:45 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 64 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000364 · edgar.xml · derivative · entry 2 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,681 Underlying: Common · 64 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 05, 2009 Filed Aug 6, 2009 17:41 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherPhantom Stock Units · Derivative | 10,227 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000323 · edgar.xml · derivative · entry 2 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,617 Underlying: Common · 10,227 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 04, 2009 Filed Aug 5, 2009 15:57 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 5,202 | $0.00 Strike: $19.20 | $0.00 |
DisclosureSEC source: 0000018230-09-000315 · edgar.xml · derivative · entry 4 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 5,202 shares Expires 2010-06-12 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. F4 · security: (Right to buy) with tandem tax withholding rights. F5 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| August 04, 2009 Filed Aug 5, 2009 15:57 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 2,139 | $46.68 | $99,848.52 |
DisclosureSEC source: 0000018230-09-000315 · edgar.xml · nonDerivative · entry 2 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,619 F1 · balance_after: This amount includes 13,057 shares in 401K. Read SEC document |
| August 04, 2009 Filed Aug 5, 2009 15:57 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 5,202 | $19.20 | $99,895.05 |
DisclosureSEC source: 0000018230-09-000315 · edgar.xml · nonDerivative · entry 1 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,758 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| July 31, 2009 Filed Aug 3, 2009 19:40 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 66 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000303 · edgar.xml · derivative · entry 2 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,390 Underlying: Common · 66 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, 2009 Filed Jul 1, 2009 21:18 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 147 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000254 · edgar.xml · derivative · entry 2 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,324 Underlying: Common · 147 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 01, 2009 Filed Apr 2, 2009 16:09 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 262 | $28.50 | $7,467.00 |
DisclosureSEC source: 0000018230-09-000129 · edgar.xml · nonDerivative · entry 1 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,466 F4 · kind: Amount reflects shares sold to satisfy tax withholding requirements upon the vesting of previously restricted stock. F1 · balance_after: This amount includes 12,967 shares in 401K. Read SEC document |
| March 02, 2009 Filed Mar 4, 2009 18:20 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantRestricted Stock Units · Derivative | 6,561 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000098 · edgar.xml · derivative · entry 4 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,561 Underlying: Common · 6,561 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 and stock appreciation rights vest on March 2, 2012. F4 · derivative.expiration_date: The restricted stock units and stock appreciation rights vest on March 2, 2012. Read SEC document |
| March 02, 2009 Filed Mar 4, 2009 18:20 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantStock Appreciation Rights · Derivative | 148,722 | $0.00 Strike: $22.17 | $0.00 |
DisclosureSEC source: 0000018230-09-000098 · edgar.xml · derivative · entry 3 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 148,722 Underlying: Common · 148,722 shares Expires 2019-03-02 F4 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 2, 2012. Read SEC document |
| December 08, 2008 Filed Dec 9, 2008 19:56 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 3,208 | $0.00 Strike: $31.17 | $0.00 |
DisclosureSEC source: 0000018230-08-000429 · edgar.xml · derivative · entry 4 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 3,208 shares Expires 2009-06-08 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. F4 · security: (Right to buy) with tandem tax withholding rights. F5 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| December 08, 2008 Filed Dec 9, 2008 19:56 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 2,361 | $42.35 | $99,976.55 |
DisclosureSEC source: 0000018230-08-000429 · edgar.xml · nonDerivative · entry 2 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,240 F1 · balance_after: This amount includes 12,479 shares in 401K. Read SEC document |
| December 08, 2008 Filed Dec 9, 2008 19:56 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 3,208 | $31.17 | $99,999.46 |
DisclosureSEC source: 0000018230-08-000429 · edgar.xml · nonDerivative · entry 1 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,601 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| October 28, 2008 Filed Oct 29, 2008 16:24 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherPhantom Stock Units · Derivative | 9,012 | $0.00 Strike: $34.95 | $0.00 |
DisclosureSEC source: 0000018230-08-000365 · edgar.xml · derivative · entry 2 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,012 Underlying: Common · 9,012 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, 2008 Filed Jul 31, 2008 13:32 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 11,798 | $0.00 Strike: $19.20 | $0.00 |
DisclosureSEC source: 0000018230-08-000272 · 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 · 11,798 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. F2 · security: (Right to buy) with tandem tax withholding rights. F3 · derivative.expiration_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| July 30, 2008 Filed Jul 31, 2008 13:32 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 11,798 | $72.00 | $849,456.00 |
DisclosureSEC source: 0000018230-08-000272 · edgar.xml · nonDerivative · entry 2 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,264 F1 · balance_after: This amount includes 12,372 shares in 401K and 23 shares in dividend reinvestment. Read SEC document |
| July 30, 2008 Filed Jul 31, 2008 13:32 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 11,798 | $19.20 | $226,559.35 |
DisclosureSEC source: 0000018230-08-000272 · edgar.xml · nonDerivative · entry 1 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,062 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 01, 2008 Filed Apr 2, 2008 19:41 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon | 500 | $79.40 | $39,697.50 |
DisclosureSEC source: 0000018230-08-000141 · edgar.xml · nonDerivative · entry 2 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,214 F3 · kind: Restricted stock awarded pursuant to Caterpillar Inc. 2006 Long-Term Incentive Plan. F1 · balance_after: This amount includes 12,322 shares in 401K and 23 shares in dividend reinvestment. Read SEC document |
| April 01, 2008 Filed Apr 2, 2008 19:41 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 264 | $79.40 | $20,960.28 |
DisclosureSEC source: 0000018230-08-000141 · edgar.xml · nonDerivative · entry 1 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,714 F2 · kind: Amount reflects shares sold to satisfy tax withholding requirements upon the vesting of previously restricted stock. Read SEC document |
| March 13, 2008 Filed Mar 14, 2008 14:09 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 3,590 | $0.00 Strike: $27.84 | $0.00 |
DisclosureSEC source: 0000018230-08-000112 · 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 · 3,590 shares Expires 2008-06-09 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 · security: (Right to buy) with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| March 13, 2008 Filed Mar 14, 2008 14:09 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,338 | $74.69 | $99,935.22 |
DisclosureSEC source: 0000018230-08-000112 · edgar.xml · nonDerivative · entry 2 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,928 F1 · balance_after: This amount includes 12,272 shares in 401K and 23 shares in dividend reinvestment. Read SEC document |
| March 13, 2008 Filed Mar 14, 2008 14:09 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 3,590 | $27.84 | $99,959.24 |
DisclosureSEC source: 0000018230-08-000112 · edgar.xml · nonDerivative · entry 1 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,266 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 03, 2008 Filed Mar 4, 2008 20:43 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantRestricted Stock Units · Derivative | 4,109 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000098 · edgar.xml · derivative · entry 3 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,109 Underlying: Common · 4,109 shares Expires not disclosed F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Caterpillar common stock. F2 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 3, 2011. F2 · derivative.expiration_date: The restricted stock units and stock appreciation rights vest on March 3, 2011. Read SEC document |
| March 03, 2008 Filed Mar 4, 2008 20:43 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantStock Appreciation Rights · Derivative | 109,898 | $0.00 Strike: $73.20 | $0.00 |
DisclosureSEC source: 0000018230-08-000098 · edgar.xml · derivative · entry 2 RAPP EDWARD J · CIK 0001171780 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 109,898 Underlying: Common · 109,898 shares Expires 2018-03-03 F2 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 3, 2011. Read SEC document |
| January 31, 2006 Filed Feb 1, 2006 23:07 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 6,076 | $0.00 Strike: $16.45 | $0.00 |
DisclosureSEC source: 0000018230-06-000090 · edgar.xml · derivative · entry 6 RAPP EDWARD J · CIK 0001171780 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 6,076 shares Expires 2006-06-11 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 · security: (Right to buy) with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| January 31, 2006 Filed Feb 1, 2006 23:07 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 6,524 | $0.00 Strike: $16.45 | $0.00 |
DisclosureSEC source: 0000018230-06-000090 · edgar.xml · derivative · entry 5 RAPP EDWARD J · CIK 0001171780 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 6,524 shares Expires 2006-06-11 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 · security: (Right to buy) with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| January 31, 2006 Filed Feb 1, 2006 23:07 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,483 | $67.41 | $99,961.62 |
DisclosureSEC source: 0000018230-06-000090 · edgar.xml · nonDerivative · entry 4 RAPP EDWARD J · CIK 0001171780 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,144 F1 · balance_after: This amount includes 11,900 shares in 401K and 17 shares in dividend reinvestment. F4 · balance_after: On July 14, 2005, the common stock of Caterpillar Inc. split 2-for-1, resulting in the reporting person's acquisition of 6817 additional shares of common stock. Read SEC document |
| January 31, 2006 Filed Feb 1, 2006 23:07 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 6,076 | $16.45 | $99,969.04 |
DisclosureSEC source: 0000018230-06-000090 · edgar.xml · nonDerivative · entry 3 RAPP EDWARD J · CIK 0001171780 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,627 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, 2006 Filed Feb 1, 2006 23:07 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 6,524 | $66.93 | $436,638.27 |
DisclosureSEC source: 0000018230-06-000090 · edgar.xml · nonDerivative · entry 2 RAPP EDWARD J · CIK 0001171780 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,551 Read SEC document |
| January 31, 2006 Filed Feb 1, 2006 23:07 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 6,524 | $16.45 | $107,340.02 |
DisclosureSEC source: 0000018230-06-000090 · edgar.xml · nonDerivative · entry 1 RAPP EDWARD J · CIK 0001171780 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,075 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| February 28, 2005 Filed Mar 1, 2005 20:59 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 1,940 | $0.00 Strike: $30.16 | $0.00 |
DisclosureSEC source: 0000018230-05-000243 · edgar.xml · derivative · entry 3 RAPP EDWARD J · CIK 0001171780 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 1,940 shares Expires 2005-06-06 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 · security: (Right to buy) with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. 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.