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 |
|---|---|---|---|---|---|---|
| February 28, 2005 Filed Mar 1, 2005 20:59 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 615 | $95.06 | $58,458.83 |
DisclosureSEC source: 0000018230-05-000243 · edgar.xml · nonDerivative · entry 2 RAPP EDWARD J · CIK 0001171780 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,670 F1 · balance_after: This amount includes 5862 shares in 401K and 22 shares in dividend reinvestment. Read SEC document |
| February 28, 2005 Filed Mar 1, 2005 20:59 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 1,940 | $30.16 | $58,503.03 |
DisclosureSEC source: 0000018230-05-000243 · edgar.xml · nonDerivative · entry 1 RAPP EDWARD J · CIK 0001171780 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,285 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 18, 2005 Filed Feb 22, 2005 18:49 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherOption (NQ) · Derivative | 30,000 | $0.00 Strike: $91.29 | $0.00 |
DisclosureSEC source: 0000018230-05-000184 · edgar.xml · derivative · entry 2 RAPP EDWARD J · CIK 0001171780 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common · 30,000 shares Expires 2015-02-18 F2 · security: This option was granted with attached tax withholding rights. F3 · kind: Grant to reporting person of option to buy 30,000 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable immediately. F3 · price: Grant to reporting person of option to buy 30,000 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable immediately. F3 · derivative.exercise_date: Grant to reporting person of option to buy 30,000 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable immediately. Read SEC document |
| January 31, 2005 Filed Feb 2, 2005 18:48 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 90 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000083 · edgar.xml · derivative · entry 2 RAPP EDWARD J · CIK 0001171780 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 90 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 other termination of 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 other termination of service. Read SEC document |
| January 31, 2005 Filed Feb 3, 2005 18:27 UTC Amendment | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 0 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000106 · edgar.xml · derivative · entry 2 RAPP EDWARD J · CIK 0001171780 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 0 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F4 · shares: Shares were incorrectly stated and were not acquired in the Caterpillar Stock Fund. 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 other termination of 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 other termination of service. F4 · derivative.underlying_shares: Shares were incorrectly stated and were not acquired in the Caterpillar Stock Fund. Read SEC document |
| June 08, 2004 Filed Jun 10, 2004 16:11 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherOption (NQ) · Derivative | 30,000 | $0.00 Strike: $77.26 | $0.00 |
DisclosureSEC source: 0000018230-04-000419 · edgar.xml · derivative · entry 2 RAPP EDWARD J · CIK 0001171780 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common · 30,000 shares Expires 2014-06-08 F2 · security: This option was granted with attached tax withholding rights. F3 · kind: Grant to reporting person of option to buy 30,000 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. F3 · price: Grant to reporting person of option to buy 30,000 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. F3 · derivative.exercise_date: Grant to reporting person of option to buy 30,000 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| April 01, 2004 Filed Apr 2, 2004 14:56 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon | 1,000 | $79.27 | $79,270.00 |
DisclosureSEC source: 0000018230-04-000206 · edgar.xml · nonDerivative · entry 1 RAPP EDWARD J · CIK 0001171780 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,223 F2 · kind: Restricted stock awarded pursuant to Caterpillar Inc. 1996 Stock Option and Long-Term Incentive Plan. F1 · balance_after: This amount includes 5758 shares in 401K and 4 shares in dividend reinvestment. Read SEC document |
| January 20, 2004 Filed Jan 20, 2004 17:33 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 92 | $83.11 | $7,646.12 |
DisclosureSEC source: 0000018230-04-000056 · edgar.xml · nonDerivative · entry 1 RAPP EDWARD J · CIK 0001171780 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,223 F1 · balance_after: This amount includes 5758 shares in 401K and 4 shares in dividend reinvestment. Read SEC document |
| July 25, 2003 Filed Jul 28, 2003 17:16 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 1,960 | $0.00 Strike: $26.77 | $0.00 |
DisclosureSEC source: 0000018230-03-000341 · 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 · 1,960 shares Expires 2004-06-07 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 |
| July 25, 2003 Filed Jul 28, 2003 17:16 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 819 | $64.05 | $52,456.95 |
DisclosureSEC source: 0000018230-03-000341 · edgar.xml · nonDerivative · entry 2 RAPP EDWARD J · CIK 0001171780 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,284 Read SEC document |
| July 25, 2003 Filed Jul 28, 2003 17:16 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 1,960 | $26.77 | $52,460.58 |
DisclosureSEC source: 0000018230-03-000341 · edgar.xml · nonDerivative · entry 1 RAPP EDWARD J · CIK 0001171780 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,103 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 4885 shares in EIP-1, 845 shares in 401K and 1 share in dividend reinvestment. 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.