Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| BRISTOL MYERS SQUIBB CO(BMY) · Entity 1662 | EVP & CFO | March 01, 2008 | March 04, 2008 |
| CATERPILLAR INCCAT · Entity 2808 | CFO Emeritus | May 06, 2026 | May 07, 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.
BRISTOL MYERS SQUIBB CO
Report date March 01, 2008 · Filed March 04, 2008
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, $0.10 par valueSEC Table I · non-derivative | Direct | 142,428 |
Last balance in matching sequence
After 2008-03-02 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2008-03-01 · Tax withholding · Disposed 2,887 · Balance 145,315 F1: Shares withheld for payment of taxes upon vesting of restricted stock. F2: Includes unvested restricted stock awards. Row 2 · 2008-03-02 · Tax withholding · Disposed 2,887 · Balance 142,428 F1: Shares withheld for payment of taxes upon vesting of restricted stock. F2: Includes unvested restricted stock awards. |
| Common Stock, $0.10 par valueSEC Table I · non-derivative | IndirectBy BMY Savings & Investment Program | 2,023.96 |
Reported balance
Holding disclosure · report date 2008-03-01 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 2,023.96 F3: Based on a plan statement as of the end of the most recent fiscal quarter. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares withheld for payment of taxes upon vesting of restricted stock.
F2: Includes unvested restricted stock awards.
F3: Based on a plan statement as of the end of the most recent fiscal quarter.
CATERPILLAR INC
Report date May 06, 2026 · Filed May 07, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 52,935 |
Ending reported balance
After 2026-05-06 transaction · row 5
5 source rows · reconciled sequenceRow 1 · 2026-05-06 · Exercise / conversion · Acquired 11,655 · Balance 64,590 Row 2 · 2026-05-06 · Exercise / conversion · Acquired 7,673 · Balance 72,263 Row 3 · 2026-05-06 · Exercise / conversion · Acquired 3,726 · Balance 75,989 Row 4 · 2026-05-06 · Tax withholding · Disposed 7,380 · Balance 68,609 Row 5 · 2026-05-06 · Sale · Disposed 15,674 · Balance 52,935 F1: This transaction was executed in multiple trades at prices ranging from $918.50 to $919.33. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. |
| Employee Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $253.98 · Expires 2033-03-06 | Direct | 0 |
Reported balance
After 2026-05-06 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2026-05-06 · Exercise / conversion · Disposed 11,655 · Balance 0 F2: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 6, 2023 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. |
| Employee Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $338.65 · Expires 2024-03-04 | Direct | 3,836 |
Reported balance
After 2026-05-06 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2026-05-06 · Exercise / conversion · Disposed 7,673 · Balance 3,836 F3: The stock options were granted pursuant to the Caterpillar Inc. 2023 Long-Term Incentive Plan on March 4, 2024 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. |
| Employee Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $332.04 · Expires 2035-03-03 | Direct | 7,450 |
Reported balance
After 2026-05-06 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2026-05-06 · Exercise / conversion · Disposed 3,726 · Balance 7,450 F4: The stock options were granted pursuant to the Caterpillar Inc. 2023 Long-Term Incentive Plan on March 3, 2025 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. |
Filing footnotes · ownership attribution and instrument terms
F1: This transaction was executed in multiple trades at prices ranging from $918.50 to $919.33. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
F2: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 6, 2023 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.
F3: The stock options were granted pursuant to the Caterpillar Inc. 2023 Long-Term Incentive Plan on March 4, 2024 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.
F4: The stock options were granted pursuant to the Caterpillar Inc. 2023 Long-Term Incentive Plan on March 3, 2025 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.
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 |
|---|---|---|---|---|---|---|
| September 10, 2007 Filed Sep 12, 2007 20:06 UTC | BRISTOL MYERS SQUIBB CO (BMY) · Entity 1662 | Tax withholdingCommon Stock, $0.10 par value | 6,069 | $0.00 | $0.00 |
DisclosureSEC source: 0000014272-07-000177 · bon750.xml · nonDerivative · entry 1 BONFIELD ANDREW R J · CIK 0001199292 · EVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 163,095 F1 · shares: Shares withheld for payment of taxes upon vesting of restricted stock. F2 · balance_after: Includes unvested restricted stock awards. Read SEC document |
| September 10, 2007 Filed Sep 19, 2007 15:48 UTC Amendment | BRISTOL MYERS SQUIBB CO (BMY) · Entity 1662 | Tax withholdingCommon Stock, $0.10 par value | 5,435 | $0.00 | $0.00 |
DisclosureSEC source: 0000014272-07-000183 · bon755.xml · nonDerivative · entry 1 BONFIELD ANDREW R J · CIK 0001199292 · EVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 163,729 F1 · shares: This form is being amended to correct the number of shares withheld for the payment of taxes upon the vesting of resticted stock. F2 · balance_after: Includes unvested restricted stock awards. Read SEC document |
| March 06, 2007 Filed Mar 8, 2007 22:18 UTC | BRISTOL MYERS SQUIBB CO (BMY) · Entity 1662 | GrantRestricted Stock Units · Derivative | 19,800 | $0.00 Strike: $27.01 | $0.00 |
DisclosureSEC source: 0000014272-07-000078 · bon680.xml · derivative · entry 5 BONFIELD ANDREW R J · CIK 0001199292 · EVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,800 Underlying: Common Stock, $0.10 par value · 19,800 shares Expires 2017-03-05 F6 · derivative.exercise_date: Consists of restricted stock units with one-third vesting on each of the third, fourth and fifth anniversaries of the grant date. Read SEC document |
| March 06, 2007 Filed Mar 8, 2007 22:18 UTC | BRISTOL MYERS SQUIBB CO (BMY) · Entity 1662 | GrantExecutive Option (right to buy) · Derivative | 234,720 | $0.00 Strike: $27.01 | $0.00 |
DisclosureSEC source: 0000014272-07-000078 · bon680.xml · derivative · entry 4 BONFIELD ANDREW R J · CIK 0001199292 · EVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 234,720 Underlying: Common Stock, $0.10 par value · 234,720 shares Expires 2017-03-05 F5 · derivative.exercise_date: Option is not exercisable until the closing share price of common stock achieves a price of at least 15% above the option grant price and remains at that price for seven consecutive trading days. Option vests 25% of the shares annually, on a cumulative basis, commencing one year after the date of grant, but may not be exercised until the threshold is satisfied. Read SEC document |
| March 06, 2007 Filed Mar 8, 2007 22:18 UTC | BRISTOL MYERS SQUIBB CO (BMY) · Entity 1662 | Tax withholdingCommon Stock, $0.10 par value | 2,412 | $27.01 | $65,148.12 |
DisclosureSEC source: 0000014272-07-000078 · bon680.xml · nonDerivative · entry 2 BONFIELD ANDREW R J · CIK 0001199292 · EVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 169,164 F3 · shares: Shares withheld for payment of taxes. F2 · balance_after: Includes unvested restricted stock awards. Read SEC document |
| March 06, 2007 Filed Mar 8, 2007 22:18 UTC | BRISTOL MYERS SQUIBB CO (BMY) · Entity 1662 | GrantCommon Stock, $0.10 par value | 5,261 | $27.01 | $142,099.61 |
DisclosureSEC source: 0000014272-07-000078 · bon680.xml · nonDerivative · entry 1 BONFIELD ANDREW R J · CIK 0001199292 · EVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 171,576 F1 · shares: Consists of shares earned as long-term performance awards under the 2002 Stock Incentive Plan. F2 · balance_after: Includes unvested restricted stock awards. Read SEC document |
| March 06, 2007 Filed May 10, 2007 21:19 UTC Amendment | BRISTOL MYERS SQUIBB CO (BMY) · Entity 1662 | GrantRestricted Stock Units · Derivative | 19,800 | $0.00 | $0.00 |
DisclosureSEC source: 0000014272-07-000125 · bon704.xml · derivative · entry 5 BONFIELD ANDREW R J · CIK 0001199292 · EVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,800 Underlying: Common Stock, $0.10 par value · 19,800 shares Expires not disclosed F6 · derivative.exercise_price: This Form 4 is being amended to clarify that each restricted stock unit converts into one share of common stock upon vesting. F7 · derivative.exercise_date: One-third of the restricted stock units will vest on each of the third, fourth and fifth anniversaries of the grant date and be converted into shares of common stock. F7 · derivative.expiration_date: One-third of the restricted stock units will vest on each of the third, fourth and fifth anniversaries of the grant date and be converted into shares of common stock. Read SEC document |
| March 06, 2007 Filed May 10, 2007 21:19 UTC Amendment | BRISTOL MYERS SQUIBB CO (BMY) · Entity 1662 | GrantExecutive Option (right to buy) · Derivative | 234,720 | $0.00 Strike: $27.01 | $0.00 |
DisclosureSEC source: 0000014272-07-000125 · bon704.xml · derivative · entry 4 BONFIELD ANDREW R J · CIK 0001199292 · EVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 234,720 Underlying: Common Stock, $0.10 par value · 234,720 shares Expires 2017-03-05 F5 · derivative.exercise_date: Option is not exercisable until the closing share price of common stock achieves a price of at least 15% above the option grant price and remains at that price for seven consecutive trading days. Option vests 25% of the shares annually, on a cumulative basis, commencing one year after the date of grant, but may not be exercised until the threshold is satisfied. Read SEC document |
| March 06, 2007 Filed May 10, 2007 21:19 UTC Amendment | BRISTOL MYERS SQUIBB CO (BMY) · Entity 1662 | Tax withholdingCommon Stock, $0.10 par value | 2,412 | $27.01 | $65,148.12 |
DisclosureSEC source: 0000014272-07-000125 · bon704.xml · nonDerivative · entry 2 BONFIELD ANDREW R J · CIK 0001199292 · EVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 169,164 F3 · shares: Shares withheld for payment of taxes. F2 · balance_after: Includes unvested restricted stock awards. Read SEC document |
| March 06, 2007 Filed May 10, 2007 21:19 UTC Amendment | BRISTOL MYERS SQUIBB CO (BMY) · Entity 1662 | GrantCommon Stock, $0.10 par value | 5,261 | $27.01 | $142,099.61 |
DisclosureSEC source: 0000014272-07-000125 · bon704.xml · nonDerivative · entry 1 BONFIELD ANDREW R J · CIK 0001199292 · EVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 171,576 F1 · shares: Consists of shares earned as long-term performance awards under the 2002 Stock Incentive Plan. F2 · balance_after: Includes unvested restricted stock awards. Read SEC document |
| March 02, 2007 Filed Mar 6, 2007 19:53 UTC | BRISTOL MYERS SQUIBB CO (BMY) · Entity 1662 | Tax withholdingCommon Stock, $0.10 par value | 2,887 | $26.42 | $76,274.54 |
DisclosureSEC source: 0000014272-07-000060 · bon662.xml · nonDerivative · entry 1 BONFIELD ANDREW R J · CIK 0001199292 · EVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 166,315 F1 · kind: Shares withheld for payment of taxes upon vesting of restricted stock. F2 · balance_after: Includes shares of restricted stock with one-third vesting on each of the third, fourth and fifth anniversaries of the grant date. Read SEC document |
| December 01, 2006 Filed Dec 4, 2006 19:38 UTC | BRISTOL MYERS SQUIBB CO (BMY) · Entity 1662 | GrantExecutive Option (right to buy) · Derivative | 300,000 | $0.00 Strike: $24.74 | $0.00 |
DisclosureSEC source: 0000014272-06-000227 · bon627.xml · derivative · entry 1 BONFIELD ANDREW R J · CIK 0001199292 · EVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 300,000 Underlying: Common Stock, $0.10 par value · 300,000 shares Expires 2016-11-30 F1 · derivative.exercise_date: Option is not exercisable until the closing share price of common stock achieves a price of at least 15% above the option grant price and remains at that price for seven consecutive trading days. Shares vest one-third per year, on a cumulative basis, on the third, fourth, and fifth anniversaries of the grant date. Read SEC document |
| September 29, 2006 Filed Oct 3, 2006 21:05 UTC | BRISTOL MYERS SQUIBB CO (BMY) · Entity 1662 | Tax withholdingCommon Stock, $0.10 par value | 14,764 | $24.84 | $366,737.76 |
DisclosureSEC source: 0000014272-06-000205 · bon620.xml · nonDerivative · entry 1 BONFIELD ANDREW R J · CIK 0001199292 · SVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 169,202 F1 · shares: Shares withheld for payment of taxes upon vesting of restricted stock. Read SEC document |
| September 08, 2006 Filed Sep 12, 2006 20:38 UTC | BRISTOL MYERS SQUIBB CO (BMY) · Entity 1662 | Tax withholdingCommon Stock, $0.10 par value | 5,506 | $22.96 | $126,417.76 |
DisclosureSEC source: 0000014272-06-000183 · bon594.xml · nonDerivative · entry 1 BONFIELD ANDREW R J · CIK 0001199292 · SVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 183,538 F1 · shares: Shares withheld for payment of taxes upon vesting of restricted stock. Read SEC document |
| September 08, 2006 Filed Sep 15, 2006 18:50 UTC Amendment | BRISTOL MYERS SQUIBB CO (BMY) · Entity 1662 | Tax withholdingCommon Stock, $0.10 par value | 5,078 | $22.96 | $116,590.88 |
DisclosureSEC source: 0000014272-06-000192 · bon601.xml · nonDerivative · entry 1 BONFIELD ANDREW R J · CIK 0001199292 · SVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 183,966 F1 · security: This Form is being amended to correct the number of shares withheld for payment of taxes upon vesting of restricted stock. F2 · shares: Shares withheld for payment of taxes upon vesting of restricted stock. Read SEC document |
| March 07, 2006 Filed Mar 9, 2006 22:09 UTC | BRISTOL MYERS SQUIBB CO (BMY) · Entity 1662 | GrantExecutive Option (right to buy) · Derivative | 99,960 | $0.00 Strike: $22.73 | $0.00 |
DisclosureSEC source: 0000014272-06-000091 · bon537.xml · derivative · entry 5 BONFIELD ANDREW R J · CIK 0001199292 · SVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 99,960 Underlying: Common Stock, $0.10 par value · 99,960 shares Expires 2016-03-06 F5 · derivative.exercise_date: Option is not exercisable until the closing share price of common stock achieves a price of at least 15% above the option grant price and remains at that price for seven consecutive trading days. Option vests 25% of the shares annually, on a cumulative basis, commencing one year after the date of grant, but may not be exercised until the threshold is satisfied. Read SEC document |
| March 07, 2006 Filed Mar 9, 2006 22:09 UTC | BRISTOL MYERS SQUIBB CO (BMY) · Entity 1662 | Tax withholdingCommon Stock, $0.10 par value | 4,253 | $22.73 | $96,670.69 |
DisclosureSEC source: 0000014272-06-000091 · bon537.xml · nonDerivative · entry 3 BONFIELD ANDREW R J · CIK 0001199292 · SVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 189,044 F3 · shares: Shares withheld for payment of taxes. Read SEC document |
| March 07, 2006 Filed Mar 9, 2006 22:09 UTC | BRISTOL MYERS SQUIBB CO (BMY) · Entity 1662 | GrantCommon Stock, $0.10 par value | 11,866 | $22.73 | $269,714.18 |
DisclosureSEC source: 0000014272-06-000091 · bon537.xml · nonDerivative · entry 2 BONFIELD ANDREW R J · CIK 0001199292 · SVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 193,297 F2 · shares: Consists of shares earned as long-term performance awards under the 2002 Stock Incentive Plan. Read SEC document |
| March 07, 2006 Filed Mar 9, 2006 22:09 UTC | BRISTOL MYERS SQUIBB CO (BMY) · Entity 1662 | GrantCommon Stock, $0.10 par value | 24,000 | $22.73 | $545,520.00 |
DisclosureSEC source: 0000014272-06-000091 · bon537.xml · nonDerivative · entry 1 BONFIELD ANDREW R J · CIK 0001199292 · SVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 181,431 F1 · shares: Shares consist of restricted stock with one-third vesting on each of the third, fourth and fifth anniversaries of the grant date. Read SEC document |
| October 03, 2005 Filed Oct 4, 2005 19:33 UTC | BRISTOL MYERS SQUIBB CO (BMY) · Entity 1662 | Tax withholdingCommon Stock, $0.10 par value | 15,347 | $24.02 | $368,634.94 |
DisclosureSEC source: 0000014272-05-000174 · bon453.xml · nonDerivative · entry 1 BONFIELD ANDREW R J · CIK 0001199292 · SVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 157,431 Read SEC document |
| March 01, 2005 Filed Mar 3, 2005 22:33 UTC | BRISTOL MYERS SQUIBB CO (BMY) · Entity 1662 | GrantExecutive Option (right to buy) · Derivative | 113,333 | $0.00 Strike: $25.45 | $0.00 |
DisclosureSEC source: 0000014272-05-000065 · bon358.xml · derivative · entry 3 BONFIELD ANDREW R J · CIK 0001199292 · SVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 113,333 Underlying: Common Stock, $0.10 par value · 113,333 shares Expires 2015-02-28 F3 · derivative.exercise_date: Option is not exercisable until the earlier of (i) the closing share price of common stock achieving a price of at least 15% above the option grant price and remaining at that price for seven consecutive trading days or (ii) the ninth anniversary of the grant date. Shares underlying option vest 25% a year, on a cumulative basis, commencing one year after the date of grant. Read SEC document |
| March 01, 2005 Filed Mar 3, 2005 22:33 UTC | BRISTOL MYERS SQUIBB CO (BMY) · Entity 1662 | GrantCommon Stock, $0.10 par value | 18,889 | $0.00 | $0.00 |
DisclosureSEC source: 0000014272-05-000065 · bon358.xml · nonDerivative · entry 1 BONFIELD ANDREW R J · CIK 0001199292 · SVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 172,778 F1 · shares: Shares consist of restricted stock with one-third vesting on each of the third, fourth and fifth anniversaries of the grant date. Read SEC document |
| March 02, 2004 Filed Mar 4, 2004 22:24 UTC | BRISTOL MYERS SQUIBB CO (BMY) · Entity 1662 | GrantOption (right to buy) · Derivative | 113,333 | $0.00 Strike: $28.11 | $0.00 |
DisclosureSEC source: 0000014272-04-000068 · bon220.xml · derivative · entry 3 BONFIELD ANDREW R J · CIK 0001199292 · SVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 113,333 Underlying: Common Stock, $0.10 par value · 113,333 shares Expires 2014-03-01 F3 · derivative.exercise_date: Exercisable as to 25% of the shares annually, on a cumulative basis, commencing one year after the date of grant. Read SEC document |
| March 02, 2004 Filed Mar 4, 2004 22:24 UTC | BRISTOL MYERS SQUIBB CO (BMY) · Entity 1662 | GrantCommon Stock, $0.10 par value | 18,889 | $0.00 | $0.00 |
DisclosureSEC source: 0000014272-04-000068 · bon220.xml · nonDerivative · entry 1 BONFIELD ANDREW R J · CIK 0001199292 · SVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 153,889 F1 · shares: Shares consist of restricted stock with one-third vesting on each of the third, fourth and fifth anniversaries of the grant date. Read SEC document |
| September 10, 2003 Filed Sep 12, 2003 19:13 UTC | BRISTOL MYERS SQUIBB CO (BMY) · Entity 1662 | GrantCommon Stock, $0.10 par value | 35,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000014272-03-000026 · bon152.xml · nonDerivative · entry 1 BONFIELD ANDREW R J · CIK 0001199292 · SVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 135,000 F1 · shares: Shares consist of restricted stock with one-third vesting on each of the third, fourth and fifth anniversaries of the grant date. 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.