Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CATERPILLAR INCCAT · Entity 2808 | Director | March 31, 2021 | April 02, 2021 |
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.
CATERPILLAR INC
Report date March 31, 2021 · Filed April 02, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Phantom Stock UnitsSEC Table II · derivative / convertible security | Direct | 35,425 |
Reported balance
After 2021-03-31 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2021-03-31 · Grant · Acquired 161 · Balance 35,425 F1: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2: Phantom stock units awarded or acquired in lieu of director cash compensation. F3: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4: Includes adjustments for dividends accrued. |
Filing footnotes · ownership attribution and instrument terms
F1: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock.
F2: Phantom stock units awarded or acquired in lieu of director cash compensation.
F3: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service.
F4: Includes adjustments for dividends accrued.
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 |
|---|---|---|---|---|---|---|
| June 30, 2008 Filed Jul 1, 2008 16:03 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 102 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000248 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,218 Underlying: Common · 102 shares Expires not disclosed F1 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in June 2008 at a price of $73.405 per share. F2 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in June 2008 at a price of $73.405 per share. Read SEC document |
| May 30, 2008 Filed Jun 2, 2008 18:50 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 103 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000208 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,116 Underlying: Common · 103 shares Expires not disclosed F1 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in May 2008 at a price between $82.655 and $83.40 per share. F2 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in May 2008 at a price between $82.655 and $83.40 per share. Read SEC document |
| April 30, 2008 Filed May 1, 2008 22:33 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 90 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000178 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,013 Underlying: Common · 90 shares Expires not disclosed F1 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in April 2008 at a price of $82.51 per share. F2 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in April 2008 at a price of $82.51 per share. Read SEC document |
| March 31, 2008 Filed Apr 1, 2008 16:19 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 96 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000128 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,922 Underlying: Common · 96 shares Expires not disclosed F1 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in March 2008 at a price of $77.81 per share. F2 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in March 2008 at a price of $77.81 per share. Read SEC document |
| March 03, 2008 Filed Mar 4, 2008 14:05 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantRestricted Stock Units · Derivative | 1,606 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000080 · edgar.xml · derivative · entry 3 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,606 Underlying: Common · 1,606 shares Expires not disclosed F3 · 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 on March 3, 2011. F4 · derivative.expiration_date: The restricted stock units vest on March 3, 2011. Read SEC document |
| February 29, 2008 Filed Mar 4, 2008 14:05 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 115 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000080 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,825 Underlying: Common · 115 shares Expires not disclosed F1 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in February 2008 at a price between $70.48 and $73.145 per share. F2 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in February 2008 at a price between $70.48 and $73.145 per share. Read SEC document |
| February 06, 2008 Filed Feb 7, 2008 21:14 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 8,000 | $0.00 Strike: $27.19 | $0.00 |
DisclosureSEC source: 0000018230-08-000045 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 8,000 shares Expires 2008-04-08 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. F1 · security: (Right to buy) with tandem tax withholding rights. F2 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| February 06, 2008 Filed Feb 7, 2008 21:14 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 8,000 | $27.19 | $217,500.00 |
DisclosureSEC source: 0000018230-08-000045 · edgar.xml · nonDerivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 212,110 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, 2008 Filed Feb 1, 2008 19:14 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 107 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000039 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,709 Underlying: Common · 107 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F1 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in January 2008 at a price of $69.57 per share. F1 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in January 2008 at a price of $69.57 per share. Read SEC document |
| December 31, 2007 Filed Jan 2, 2008 17:11 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 102 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000009 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,602 Underlying: Common · 102 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F1 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in December 2007 at a price of $73.06 per share. F1 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in December 2007 at a price of $73.06 per share. Read SEC document |
| November 30, 2007 Filed Dec 3, 2007 15:47 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 115 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000518 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,499 Underlying: Common · 115 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F1 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in November 2007 at a price between $68.20 and $72.32 per share. F1 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in November 2007 at a price between $68.20 and $72.32 per share. Read SEC document |
| October 31, 2007 Filed Nov 1, 2007 16:11 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 100 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000497 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,383 Underlying: Common · 100 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F1 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in October 2007 at a price of $74.28 per share. F1 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in October 2007 at a price of $74.28 per share. Read SEC document |
| September 28, 2007 Filed Oct 1, 2007 12:48 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 95 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000462 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,282 Underlying: Common · 95 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F1 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in September 2007 at a price of $78.22 per share. F1 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in September 2007 at a price of $78.22 per share. Read SEC document |
| August 31, 2007 Filed Sep 4, 2007 15:48 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 108 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000429 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 108 Underlying: Common · 108 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F1 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in August 2007 at a price between $73.515 and $75.745 per share. F1 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in August 2007 at a price between $73.515 and $75.745 per share. Read SEC document |
| July 31, 2007 Filed Aug 1, 2007 18:20 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 95 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000408 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95 Underlying: Common · 95 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F1 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in July 2007 at a price of $78.785 per share. F1 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in July 2007 at a price of $78.785 per share. Read SEC document |
| June 29, 2007 Filed Jul 2, 2007 20:54 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 95 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000368 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95 Underlying: Common · 95 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F1 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in June 2007 at a price of $78.445 per share. F1 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in June 2007 at a price of $78.445 per share. Read SEC document |
| May 31, 2007 Filed Jun 1, 2007 17:35 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 102 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000327 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 102 Underlying: Common · 102 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F1 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in May 2007 at a price between $74.79 and $78.39 per share. F1 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in May 2007 at a price between $74.79 and $78.39 per share. Read SEC document |
| April 30, 2007 Filed May 1, 2007 20:37 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 102 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000296 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 102 Underlying: Common · 102 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F1 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in April 2007 at a price of $73.21 per share. F1 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in April 2007 at a price of $73.21 per share. Read SEC document |
| March 30, 2007 Filed Apr 2, 2007 13:11 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 111 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000252 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 111 Underlying: Common · 111 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F1 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in March 2007 at a price of $67.17 per share. F1 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in March 2007 at a price of $67.17 per share. Read SEC document |
| March 02, 2007 Filed Mar 5, 2007 16:43 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantStock Appreciation Rights · Derivative | 5,833 | $0.00 Strike: $63.04 | $0.00 |
DisclosureSEC source: 0000018230-07-000087 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,833 Underlying: Common · 5,833 shares Expires 2017-03-02 F1 · derivative.exercise_date: The stock apreciation rights vest on March 2, 2010. Read SEC document |
| February 28, 2007 Filed Mar 2, 2007 14:20 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 123 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000066 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 123 shares Expires not disclosed F1 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in February 2007 at a price between $64.035 and $67.505 per share. F2 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in February 2007 at a price between $64.035 and $67.505 per share. Read SEC document |
| January 31, 2007 Filed Feb 1, 2007 18:30 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 117 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000034 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 117 shares Expires not disclosed F1 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in January 2007 at a price of $63.66 per share. F2 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in January 2007 at a price of $63.66 per share. Read SEC document |
| December 29, 2006 Filed Jan 4, 2007 14:09 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 122 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000011 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 122 shares Expires not disclosed F1 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in December 2006 at a price of $61.355 per share. F2 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in December 2006 at a price of $61.355 per share. Read SEC document |
| November 30, 2006 Filed Dec 4, 2006 18:26 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 125 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-06-000466 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 125 shares Expires not disclosed F1 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in November 2006 at a price between $60.795 and $62.16 per share. F2 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in November 2006 at a price between $60.795 and $62.16 per share. Read SEC document |
| October 31, 2006 Filed Nov 1, 2006 19:25 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 123 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-06-000453 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 123 shares Expires not disclosed F1 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in October 2006 at a price of $60.735 per share. F2 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in October 2006 at a price of $60.735 per share. Read SEC document |
| September 29, 2006 Filed Oct 2, 2006 21:14 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 112 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-06-000423 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 112 shares Expires not disclosed F1 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in September 2006 at a price of $66.40 per share. F2 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in September 2006 at a price of $66.40 per share. Read SEC document |
| August 31, 2006 Filed Sep 5, 2006 14:08 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 116 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-06-000405 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 116 shares Expires not disclosed F1 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in August 2006 at a price between $65.755 and $68.02 per share. F2 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in August 2006 at a price between $65.755 and $68.02 per share. Read SEC document |
| July 31, 2006 Filed Aug 1, 2006 15:44 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 105 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-06-000374 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 105 shares Expires not disclosed F1 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in July 2006 at a price of $71.015 per share. F2 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in July 2006 at a price of $71.015 per share. Read SEC document |
| July 26, 2006 Filed Jul 27, 2006 19:44 UTC | CATERPILLAR INC CAT · Entity 2808 | PurchaseCommon | 110,000 | $70.17 | $7,718,370.00 |
DisclosureSEC source: 0000018230-06-000361 · edgar.xml · nonDerivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 204,109 Read SEC document |
| June 30, 2006 Filed Jul 3, 2006 14:47 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 101 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-06-000334 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 101 shares Expires not disclosed F1 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in June 2006 at a price of $74.185 per share. F2 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in June 2006 at a price of $74.185 per share. Read SEC document |
| June 14, 2006 Filed Jun 15, 2006 18:02 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantStock Appreciation Right · Derivative | 7,000 | $0.00 Strike: $66.77 | $0.00 |
DisclosureSEC source: 0000018230-06-000293 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,000 Underlying: Common · 7,000 shares Expires 2016-06-14 Read SEC document |
| May 31, 2006 Filed Jun 1, 2006 18:55 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 104 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-06-000269 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 104 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in May 2006 at a price between $72.415 and $72.69 per share. F3 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in May 2006 at a price between $72.415 and $72.69 per share. Read SEC document |
| April 28, 2006 Filed May 1, 2006 22:08 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 99 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-06-000232 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 99 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in April 2006 at a price of $75.60 per share. F3 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in April 2006 at a price of $75.60 per share. Read SEC document |
| March 31, 2006 Filed Apr 3, 2006 19:11 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 104 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-06-000189 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 104 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in March 2006 at a price of $71.88 per share. F3 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in March 2006 at a price of $71.88 per share. Read SEC document |
| February 28, 2006 Filed Mar 1, 2006 19:02 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 102 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-06-000152 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 102 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in February 2006 at a price of $72.88 per share. F3 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in February 2006 at a price of $72.88 per share. Read SEC document |
| January 31, 2006 Filed Feb 1, 2006 19:52 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 111 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-06-000079 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 111 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in January 2006 at a price of $67.405 per share. F3 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in January 2006 at a price of $67.405 per share. Read SEC document |
| December 30, 2005 Filed Jan 3, 2006 16:16 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon | 102 | $57.84 | $5,899.17 |
DisclosureSEC source: 0000018230-06-000006 · edgar.xml · nonDerivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,093 F1 · kind: Stock received in lieu of director's fees. F2 · balance_after: This amount includes 6 shares in dividend reinvestment. Read SEC document |
| November 30, 2005 Filed Dec 1, 2005 16:38 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon | 66 | $57.60 | $3,801.27 |
DisclosureSEC source: 0000018230-05-000756 · edgar.xml · nonDerivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,991 F1 · kind: Stock received in lieu of director's fees. F2 · balance_after: This amount includes 6 shares in dividend reinvestment. Read SEC document |
| October 31, 2005 Filed Oct 31, 2005 22:35 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon | 112 | $52.42 | $5,870.48 |
DisclosureSEC source: 0000018230-05-000698 · edgar.xml · nonDerivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,925 F1 · kind: Stock received in lieu of director's fees. F2 · balance_after: This amount includes 6 shares in dividend reinvestment. Read SEC document |
| September 30, 2005 Filed Oct 3, 2005 22:53 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon | 65 | $58.58 | $3,807.38 |
DisclosureSEC source: 0000018230-05-000640 · edgar.xml · nonDerivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,813 F1 · kind: Stock received in lieu of director's fees. F2 · balance_after: This amount includes 6 shares in dividend reinvestment. Read SEC document |
| August 31, 2005 Filed Sep 1, 2005 14:32 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon | 82 | $54.77 | $4,490.73 |
DisclosureSEC source: 0000018230-05-000585 · edgar.xml · nonDerivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,748 F1 · kind: Stock received in lieu of director's fees. F2 · balance_after: This amount includes 6 shares in dividend reinvestment. Read SEC document |
| July 29, 2005 Filed Aug 1, 2005 16:06 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon | 70 | $53.85 | $3,769.15 |
DisclosureSEC source: 0000018230-05-000525 · edgar.xml · nonDerivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,666 F1 · kind: Stock received in lieu of director's fees. F2 · balance_after: This amount includes 6 shares in dividend reinvestment. F3 · balance_after: On July 14, 2005, the common stock of Caterpillar Inc. split 2-for-1, resulting in the reporting person's acquisition of 46,795 additional shares of common stock. Read SEC document |
| June 30, 2005 Filed Jul 1, 2005 15:48 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon | 62 | $96.16 | $5,961.61 |
DisclosureSEC source: 0000018230-05-000459 · edgar.xml · nonDerivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,795 F1 · kind: Stock received in lieu of director's fees. F2 · balance_after: This amount includes 3 shares in dividend reinvestment. Read SEC document |
| May 31, 2005 Filed Jun 1, 2005 19:19 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon | 40 | $94.26 | $3,770.40 |
DisclosureSEC source: 0000018230-05-000411 · edgar.xml · nonDerivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,733 F1 · kind: Stock received in lieu of director's fees. F2 · balance_after: This amount includes 3 shares in dividend reinvestment. Read SEC document |
| April 29, 2005 Filed May 2, 2005 15:08 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon | 51 | $87.14 | $4,444.14 |
DisclosureSEC source: 0000018230-05-000364 · edgar.xml · nonDerivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,693 F1 · kind: Stock received in lieu of director's fees. F2 · balance_after: This amount includes 3 shares in dividend reinvestment. Read SEC document |
| April 13, 2005 Filed Apr 15, 2005 15:34 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherOption (NQ) · Derivative | 4,000 | $0.00 Strike: $89.79 | $0.00 |
DisclosureSEC source: 0000018230-05-000335 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 400 Underlying: Common · 4,000 shares Expires 2015-04-13 F2 · security: This option was granted with attached tax withholding rights. F3 · kind: Grant to reporting person of option to buy 4,000 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 4,000 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 4,000 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 |
| March 31, 2005 Filed Apr 4, 2005 15:09 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon | 42 | $91.36 | $3,836.91 |
DisclosureSEC source: 0000018230-05-000307 · edgar.xml · nonDerivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,641 F1 · kind: Stock received in lieu of director's fees. F2 · balance_after: This amount includes 2 shares in dividend reinvestment. Read SEC document |
| February 28, 2005 Filed Mar 1, 2005 20:03 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon | 55 | $95.06 | $5,228.03 |
DisclosureSEC source: 0000018230-05-000234 · edgar.xml · nonDerivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,599 F1 · kind: Stock received in lieu of director's fees. F2 · balance_after: This amount includes 2 shares in dividend reinvestment. Read SEC document |
| January 31, 2005 Filed Feb 1, 2005 15:25 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon | 42 | $88.66 | $3,723.51 |
DisclosureSEC source: 0000018230-05-000049 · edgar.xml · nonDerivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,544 F1 · kind: Stock received in lieu of director's fees. F2 · balance_after: This amount includes 2 shares in dividend reinvestment. Read SEC document |
| December 31, 2004 Filed Jan 4, 2005 14:45 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon | 61 | $97.59 | $5,952.69 |
DisclosureSEC source: 0000018230-05-000008 · edgar.xml · nonDerivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,502 F1 · kind: Stock received in lieu of director's fees. F2 · balance_after: This amount includes 2 shares 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.