Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CATERPILLAR INCCAT · Entity 2808 | Chief Accounting Officer | February 12, 2019 | February 14, 2019 |
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 February 12, 2019 · Filed February 14, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 4,449 |
Ending reported balance
After 2019-02-12 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2019-02-12 · Grant · Acquired 1,806 · Balance 5,015 Row 2 · 2019-02-12 · Tax withholding · Disposed 566 · Balance 4,449 F1: Represents shares withheld from the reporting person to satisfy tax obligations arising from the vesting of performance-based restricted stock units granted on March 7, 2016. |
| Common StockSEC Table I · non-derivative | IndirectHeld by 401(k) Plan | 4,446 |
Reported balance
Holding disclosure · report date 2019-02-12 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 4,446 F2: The information in this report is based on a 401(k) plan statement dated as of 1/31/2019. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares withheld from the reporting person to satisfy tax obligations arising from the vesting of performance-based restricted stock units granted on March 7, 2016.
F2: The information in this report is based on a 401(k) plan statement dated as of 1/31/2019.
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 30, 2012 Filed Apr 3, 2012 21:08 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 21 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000192 · edgar.xml · derivative · entry 2 Copeland Jananne A. · CIK 0001415606 · Controller/Chief Acctg Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,344 Underlying: Common · 21 shares Expires not disclosed F3 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled 100% in cash upon the reporting person's retirement or separation from service. F2 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes 21 units acquired under Tax-Conditioned Plans. Read SEC document |
| March 05, 2012 Filed Mar 7, 2012 21:32 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Option (right to buy) · Derivative | 5,777 | $0.00 Strike: $110.09 | $0.00 |
DisclosureSEC source: 0000018230-12-000147 · edgar.xml · derivative · entry 3 Copeland Jananne A. · CIK 0001415606 · Controller/Chief Acctg Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,777 Underlying: Common · 5,777 shares Expires 2022-03-05 Read SEC document |
| March 02, 2012 Filed Mar 6, 2012 22:10 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionRestricted Stock Units · Derivative | 728 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000105 · edgar.xml · derivative · entry 4 Copeland Jananne A. · CIK 0001415606 · Controller/Chief Acctg Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 728 shares Expires 2012-03-02 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 2, 2012, the reporting person's restricted stock units were setted for an equal number of shares of Caterpillar Inc. common stock. F2 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 2, 2012, the reporting person's restricted stock units were setted for an equal number of shares of Caterpillar Inc. common stock. Read SEC document |
| March 02, 2012 Filed Mar 6, 2012 22:10 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 229 | $112.87 | $25,847.23 |
DisclosureSEC source: 0000018230-12-000105 · edgar.xml · nonDerivative · entry 2 Copeland Jananne A. · CIK 0001415606 · Controller/Chief Acctg Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,822 F4 · kind: Amount reflects shares surrendered to satisfy tax withholding requirements upon the vesting of restricted stock units. F3 · balance_after: This amount includes 3596 shares in 401K. Read SEC document |
| March 02, 2012 Filed Mar 6, 2012 22:10 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 728 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000105 · edgar.xml · nonDerivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Controller/Chief Acctg Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,051 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Represents the vesting of restricted stock units granted to the reporting person on March 2, 2009. F2 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 2, 2012, the reporting person's restricted stock units were setted for an equal number of shares of Caterpillar Inc. common stock. F3 · balance_after: This amount includes 3596 shares in 401K. Read SEC document |
| December 30, 2011 Filed Jan 3, 2012 17:17 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 24 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000004 · edgar.xml · derivative · entry 2 Copeland Jananne A. · CIK 0001415606 · Controller/Chief Acctg Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,302 Underlying: Common · 24 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 acquired under the Caterpillar Inc. deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| November 30, 2011 Filed Dec 1, 2011 19:44 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 22 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000522 · edgar.xml · derivative · entry 2 Copeland Jananne A. · CIK 0001415606 · Controller/Chief Acctg Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,278 Underlying: Common · 22 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 acquired under the Caterpillar Inc. deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| October 31, 2011 Filed Nov 2, 2011 20:04 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 23 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000498 · edgar.xml · derivative · entry 2 Copeland Jananne A. · CIK 0001415606 · Controller/Chief Acctg Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,256 Underlying: Common · 23 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 acquired under the Caterpillar Inc. deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| September 30, 2011 Filed Oct 3, 2011 19:49 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 30 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000471 · edgar.xml · derivative · entry 2 Copeland Jananne A. · CIK 0001415606 · Controller/Chief Acctg Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,233 Underlying: Common · 30 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 acquired under the Caterpillar Inc. deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| August 31, 2011 Filed Sep 1, 2011 19:52 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 24 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000429 · edgar.xml · derivative · entry 2 Copeland Jananne A. · CIK 0001415606 · Controller/Chief Acctg Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,203 Underlying: Common · 24 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 acquired under the Caterpillar Inc. deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| July 29, 2011 Filed Aug 2, 2011 14:13 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 29 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000409 · edgar.xml · derivative · entry 2 Copeland Jananne A. · CIK 0001415606 · Controller/Chief Acctg Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,179 Underlying: Common · 29 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, 2011 Filed Jul 1, 2011 19:44 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 20 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000366 · edgar.xml · derivative · entry 2 Copeland Jananne A. · CIK 0001415606 · Controller/Chief Acctg Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,150 Underlying: Common · 20 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 |
| May 31, 2011 Filed Jun 1, 2011 21:01 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 22 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000325 · edgar.xml · derivative · entry 2 Copeland Jananne A. · CIK 0001415606 · Controller/Chief Acctg Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,130 Underlying: Common · 22 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 29, 2011 Filed May 2, 2011 21:12 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 19 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000269 · edgar.xml · derivative · entry 2 Copeland Jananne A. · CIK 0001415606 · Controller/Chief Acctg Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,108 Underlying: Common · 19 shares Expires not disclosed F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F1 · 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. F1 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| March 31, 2011 Filed Apr 4, 2011 18:37 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 19 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000222 · edgar.xml · derivative · entry 2 Copeland Jananne A. · CIK 0001415606 · Controller/Chief Acctg Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,089 Underlying: Common · 19 shares Expires not disclosed F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F1 · 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. F1 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| March 21, 2011 Filed Aug 9, 2011 20:28 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 700 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000419 · edgar.xml · nonDerivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Controller/Chief Acctg Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,323 F1 · balance_after: This amount includes 3596 shares in 401K. Read SEC document |
| March 07, 2011 Filed Mar 8, 2011 20:32 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantStock Appreciation Rights · Derivative | 3,841 | $0.00 Strike: $102.13 | $0.00 |
DisclosureSEC source: 0000018230-11-000181 · edgar.xml · derivative · entry 3 Copeland Jananne A. · CIK 0001415606 · Controller/Chief Acctg Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,841 Underlying: Common · 3,841 shares Expires 2021-03-07 F4 · derivative.exercise_date: The stock appreciation rights vest on March 7, 2014. Read SEC document |
| March 03, 2011 Filed Mar 4, 2011 21:08 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionRestricted Stock Units · Derivative | 523 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-11-000103 · edgar.xml · derivative · entry 4 Copeland Jananne A. · CIK 0001415606 · Controller/Chief Acctg Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 523 shares Expires 2011-03-03 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: Each restricted stock unit represents the equivalent of one share of Caterpillar common stock. On March 3, 2011, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar common stock. F4 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar common stock. On March 3, 2011, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar common stock. Read SEC document |
| March 03, 2011 Filed Mar 4, 2011 21:08 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 165 | $103.22 | $17,030.48 |
DisclosureSEC source: 0000018230-11-000103 · edgar.xml · nonDerivative · entry 2 Copeland Jananne A. · CIK 0001415606 · Controller/Chief Acctg Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,998 F5 · kind: Amount reflects shares surrendered to satisfy tax withholding requirements upon the vesting of restricted stock. F2 · balance_after: This amount includes 3571 shares in 401K. Read SEC document |
| March 03, 2011 Filed Mar 4, 2011 21:08 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 523 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-11-000103 · edgar.xml · nonDerivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Controller/Chief Acctg Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,163 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 3, 2011, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar common stock. Read SEC document |
| December 31, 2010 Filed Jan 3, 2011 18:37 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 34 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000004 · edgar.xml · derivative · entry 2 Copeland Jananne A. · CIK 0001415606 · Controller/Chief Acctg Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,070 Underlying: Common · 34 shares Expires not disclosed F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F1 · 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. F1 · 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, 2010 Filed Dec 1, 2010 16:12 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 24 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000543 · edgar.xml · derivative · entry 2 Copeland Jananne A. · CIK 0001415606 · Controller/Chief Acctg Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,036 Underlying: Common · 24 shares Expires not disclosed F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F1 · 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. F1 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| March 02, 2010 Filed Mar 4, 2010 19:00 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionRestricted Stock Units · Derivative | 489 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-10-000161 · edgar.xml · derivative · entry 4 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 489 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 19:00 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 175 | $58.42 | $10,223.50 |
DisclosureSEC source: 0000018230-10-000161 · edgar.xml · nonDerivative · entry 2 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,384 F5 · kind: Amount reflects shares surrendered to satisfy tax withholding requirements upon the vesting of restricted stock units. F2 · balance_after: This amount includes 3315 shares in 401K. Read SEC document |
| March 02, 2010 Filed Mar 4, 2010 19:00 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 489 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-10-000161 · edgar.xml · nonDerivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,559 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 21:07 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantRestricted Stock Units · Derivative | 523 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000127 · edgar.xml · derivative · entry 4 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 523 Underlying: Common · 523 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 21:07 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantStock Appreciation Rights · Derivative | 5,620 | $0.00 Strike: $57.85 | $0.00 |
DisclosureSEC source: 0000018230-10-000127 · edgar.xml · derivative · entry 3 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,620 Underlying: Common · 5,620 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 21:51 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 52 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000034 · edgar.xml · derivative · entry 2 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,012 Underlying: Common · 52 shares Expires not disclosed F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F1 · 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. F1 · 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 17:35 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 17 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000550 · edgar.xml · derivative · entry 2 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 960 Underlying: Common · 960 shares Expires not disclosed F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F1 · 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. F1 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| March 02, 2009 Filed Mar 4, 2009 18:16 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantRestricted Stock Units · Derivative | 728 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000093 · edgar.xml · derivative · entry 4 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 728 Underlying: Common · 728 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 18:16 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantStock Appreciation Rights · Derivative | 5,408 | $0.00 Strike: $22.17 | $0.00 |
DisclosureSEC source: 0000018230-09-000093 · edgar.xml · derivative · entry 3 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,408 Underlying: Common · 5,408 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 |
| February 06, 2009 Filed Feb 9, 2009 21:20 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherPhantom Stock Units · Derivative | 943 | $0.00 Strike: $33.28 | $0.00 |
DisclosureSEC source: 0000018230-09-000055 · edgar.xml · derivative · entry 2 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 943 Underlying: Common · 943 shares Expires not disclosed F1 · 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. F1 · 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 |
| February 06, 2009 Filed Feb 9, 2009 21:20 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherCommon | 3,073 | $33.28 | $102,269.44 |
DisclosureSEC source: 0000018230-09-000055 · edgar.xml · nonDerivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,828 F3 · kind: Transfer in 401K plan to stock account. F2 · balance_after: This amount includes 3073 shares in 401K. Read SEC document |
| November 07, 2008 Filed Nov 10, 2008 14:14 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 2,000 | $38.45 | $76,900.00 |
DisclosureSEC source: 0000018230-08-000398 · edgar.xml · nonDerivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,755 Read SEC document |
| September 19, 2008 Filed Sep 23, 2008 16:04 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 2,441 | $74.50 | $181,854.50 |
DisclosureSEC source: 0000018230-08-000330 · edgar.xml · nonDerivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,755 Read SEC document |
| August 07, 2008 Filed Aug 8, 2008 20:54 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 5,202 | $0.00 Strike: $19.20 | $0.00 |
DisclosureSEC source: 0000018230-08-000297 · edgar.xml · derivative · entry 6 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 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. 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 |
| August 07, 2008 Filed Aug 8, 2008 20:54 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 928 | $0.00 Strike: $31.17 | $0.00 |
DisclosureSEC source: 0000018230-08-000297 · edgar.xml · derivative · entry 5 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 928 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. 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 |
| August 07, 2008 Filed Aug 8, 2008 20:54 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,434 | $69.63 | $99,842.25 |
DisclosureSEC source: 0000018230-08-000297 · edgar.xml · nonDerivative · entry 4 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,196 Read SEC document |
| August 07, 2008 Filed Aug 8, 2008 20:54 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 5,202 | $19.20 | $99,895.05 |
DisclosureSEC source: 0000018230-08-000297 · edgar.xml · nonDerivative · entry 3 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,630 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 |
| August 07, 2008 Filed Aug 8, 2008 20:54 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 415 | $69.63 | $28,894.38 |
DisclosureSEC source: 0000018230-08-000297 · edgar.xml · nonDerivative · entry 2 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,428 Read SEC document |
| August 07, 2008 Filed Aug 8, 2008 20:54 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 928 | $31.17 | $28,927.52 |
DisclosureSEC source: 0000018230-08-000297 · edgar.xml · nonDerivative · entry 1 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,843 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 20:46 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantRestricted Stock Units · Derivative | 523 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000103 · edgar.xml · derivative · entry 3 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 523 Underlying: Common · 523 shares Expires not disclosed F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Caterpillar common stock. F1 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 3, 2011. F1 · 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 20:46 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantStock Appreciation Rights · Derivative | 3,886 | $0.00 Strike: $73.20 | $0.00 |
DisclosureSEC source: 0000018230-08-000103 · edgar.xml · derivative · entry 2 Copeland Jananne A. · CIK 0001415606 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,886 Underlying: Common · 3,886 shares Expires 2018-03-03 F1 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 3, 2011. 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.