Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Alcoa CorpAA · Entity 3397 | Director | May 10, 2019 | May 14, 2019 |
| CATERPILLAR INCCAT · Entity 2808 | Director | September 30, 2010 | October 01, 2010 |
| Howmet Aerospace Inc.AA · Entity 2911 | Director | October 03, 2016 | October 05, 2016 |
| INTERNATIONAL BUSINESS MACHINES CORPIBM · Entity 2840 | Director | March 29, 2019 | April 02, 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.
Alcoa Corp
Report date May 10, 2019 · Filed May 14, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | Direct | 13,980 |
Reported balance
After 2019-05-10 transaction · row 1
1 source rowRow 1 · 2019-05-10 · Grant · Acquired 4,792 · Balance 13,980 |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectBy Trust | 558 |
Reported balance
Holding disclosure · report date 2019-05-10 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 558 F1: These shares are held by a trust of which the reporting person and his spouse are trustees and beneficiaries. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares are held by a trust of which the reporting person and his spouse are trustees and beneficiaries.
CATERPILLAR INC
Report date September 30, 2010 · Filed October 01, 2010
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Phantom Stock UnitsSEC Table II · derivative / convertible security | Direct | 9,076 |
Reported balance
After 2010-09-30 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2010-09-30 · Grant · Acquired 98 · Balance 9,076 F2: Security converts to common stock on a one-for-one basis. F3: 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. |
| CommonSEC Table I · non-derivative | Direct | 257,945 |
Reported balance
Holding disclosure · report date 2010-09-30 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 257,945 F1: This amount includes 32,729 shares in 401K. |
| CommonSEC Table I · non-derivative | IndirectHeld in Revocable Trust | 173,277 |
Reported balance
Holding disclosure · report date 2010-09-30 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 173,277 |
| CommonSEC Table I · non-derivative | IndirectGrandchildren's Trust | 7,200 |
Reported balance
Holding disclosure · report date 2010-09-30 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 7,200 |
| CommonSEC Table I · non-derivative | IndirectGrandchild's Trust | 700 |
Reported balance
Holding disclosure · report date 2010-09-30 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 700 |
Filing footnotes · ownership attribution and instrument terms
F1: This amount includes 32,729 shares in 401K.
F2: Security converts to common stock on a one-for-one basis.
F3: 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.
Howmet Aerospace Inc.
Report date October 03, 2016 · Filed October 05, 2016
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Phantom Stock UnitsSEC Table II · derivative / convertible security | Direct | 74,759 |
Reported balance
After 2016-10-03 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2016-10-03 · Grant · Acquired 3,323 · Balance 74,759 F2: Each phantom stock unit is the economic equivalent of one share of Alcoa common stock. F3: Phantom stock units were acquired under the Alcoa 2005 Deferred Fee Plan for Directors and are to be paid out in cash after Board service ends. |
| Common StockSEC Table I · non-derivative | Direct | 10,000 |
Reported balance
Holding disclosure · report date 2016-10-03 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 10,000 |
| Common StockSEC Table I · non-derivative | IndirectBy Trust | 5,025 |
Reported balance
Holding disclosure · report date 2016-10-03 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 5,025 F1: These shares are held by a trust of which the reporting person and his spouse are trustees and beneficiaries. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares are held by a trust of which the reporting person and his spouse are trustees and beneficiaries.
F2: Each phantom stock unit is the economic equivalent of one share of Alcoa common stock.
F3: Phantom stock units were acquired under the Alcoa 2005 Deferred Fee Plan for Directors and are to be paid out in cash after Board service ends.
INTERNATIONAL BUSINESS MACHINES CORP
Report date March 29, 2019 · Filed April 02, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Promised Fee ShareSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 23,504 |
Reported balance
After 2019-03-29 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2019-03-29 · Grant · Acquired 576 · Balance 23,504 F1: Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan are paid out after retirement in the company's common stock or cash. F2: Deferral of fees into Promised Fee Shares under the terms of the IBM Board of Directors Deferred Compensation and Equity Award Plan. F3: Distribution of Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan is deferred until retirement. |
Filing footnotes · ownership attribution and instrument terms
F1: Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan are paid out after retirement in the company's common stock or cash.
F2: Deferral of fees into Promised Fee Shares under the terms of the IBM Board of Directors Deferred Compensation and Equity Award Plan.
F3: Distribution of Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan is deferred until retirement.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
MORGAN STANLEY
Report date May 24, 2018 · Filed May 29, 2018
Section 16 reporting ended · disclosed 2018-05-29. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 82,783.004 |
Reported balance
After 2018-05-24 transaction · row 1
1 source rowRow 1 · 2018-05-24 · Grant · Acquired 883.894 · Balance 82,783.004 F1: Deferred stock units granted under the Morgan Stanley Directors' Equity Capital Accumulation Plan in lieu of cash retainers paid for service on the Morgan Stanley Board of Directors. Stock units are convertible into shares of Common Stock at a ratio of 1 to 1. |
Filing footnotes · ownership attribution and instrument terms
F1: Deferred stock units granted under the Morgan Stanley Directors' Equity Capital Accumulation Plan in lieu of cash retainers paid for service on the Morgan Stanley Board of Directors. Stock units are convertible into shares of Common Stock at a ratio of 1 to 1.
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 |
|---|---|---|---|---|---|---|
| May 15, 2012 Filed May 17, 2012 17:20 UTC | MORGAN STANLEY MS · Entity 2815 | GrantCommon Stock | 17,499.773 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-12-028986 · doc4.xml · nonDerivative · entry 1 OWENS JAMES W · CIK 0001171767 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,706.195 F1 · kind: Restricted stock units granted under the Morgan Stanley Directors' Equity Capital Accumulation Plan, which are convertible into shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| March 31, 2012 Filed Apr 2, 2012 16:52 UTC | INTERNATIONAL BUSINESS MACHINES CORP IBM · Entity 2840 | GrantPromised Fee Share · Derivative | 180 | $208.59 Strike: $0.00 | $37,546.20 |
DisclosureSEC source: 0001181431-12-020972 · rrd340802.xml · derivative · entry 1 OWENS JAMES W · CIK 0001171767 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,594 Underlying: Common Stock · 180 shares Expires not disclosed F1 · derivative.exercise_price: Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan are paid out after retirement in the company's common stock or cash. F2 · kind: Deferral of fees into Promised Fee Shares under the terms of the IBM Board of Directors Deferred Compensation and Equity Award Plan. F3 · derivative.exercise_date: Distribution of Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan is deferred until retirement. F3 · derivative.expiration_date: Distribution of Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan is deferred until retirement. Read SEC document |
| December 31, 2011 Filed Jan 3, 2012 15:38 UTC | INTERNATIONAL BUSINESS MACHINES CORP IBM · Entity 2840 | GrantPromised Fee Share · Derivative | 203 | $185.14 Strike: $0.00 | $37,583.42 |
DisclosureSEC source: 0001181431-12-000036 · rrd329356.xml · derivative · entry 1 OWENS JAMES W · CIK 0001171767 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,375 Underlying: Common Stock · 203 shares Expires not disclosed F1 · derivative.exercise_price: Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan are paid out after retirement in the company's common stock or cash. F2 · kind: Deferral of fees into Promised Fee Shares under the terms of the IBM Board of Directors Deferred Compensation and Equity Award Plan. F3 · derivative.exercise_date: Distribution of Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan is deferred until retirement. F3 · derivative.expiration_date: Distribution of Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan is deferred until retirement. Read SEC document |
| September 30, 2011 Filed Oct 3, 2011 17:49 UTC | INTERNATIONAL BUSINESS MACHINES CORP IBM · Entity 2840 | GrantPromised Fee Share · Derivative | 213 | $176.51 Strike: $0.00 | $37,596.63 |
DisclosureSEC source: 0001181431-11-051022 · rrd323065.xml · derivative · entry 1 OWENS JAMES W · CIK 0001171767 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,133 Underlying: Common Stock · 213 shares Expires not disclosed F1 · derivative.exercise_price: Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan are paid out after retirement in the company's common stock or cash. F2 · kind: Deferral of fees into Promised Fee Shares under the terms of the IBM Board of Directors Deferred Compensation and Equity Award Plan. F3 · derivative.exercise_date: Distribution of Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan is deferred until retirement. F3 · derivative.expiration_date: Distribution of Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan is deferred until retirement. Read SEC document |
| August 02, 2011 Filed Aug 2, 2011 14:27 UTC | MORGAN STANLEY MS · Entity 2815 | PurchaseCommon Stock | 5,000 | $22.04 | $110,200.00 |
DisclosureSEC source: 0001209191-11-041941 · doc4.xml · nonDerivative · entry 1 OWENS JAMES W · CIK 0001171767 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,048.021 Read SEC document |
| June 30, 2011 Filed Jul 1, 2011 16:59 UTC | INTERNATIONAL BUSINESS MACHINES CORP IBM · Entity 2840 | GrantPromised Fee Share · Derivative | 219 | $171.60 Strike: $0.00 | $37,579.31 |
DisclosureSEC source: 0001181431-11-039159 · rrd316860.xml · derivative · entry 1 OWENS JAMES W · CIK 0001171767 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,876 Underlying: Common Stock · 219 shares Expires not disclosed F1 · derivative.exercise_price: Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan are paid out after retirement in the company's common stock or cash. F2 · kind: Deferral of fees into Promised Fee Shares under the terms of the IBM Board of Directors Deferred Compensation and Equity Award Plan. F3 · derivative.exercise_date: Distribution of Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan is deferred until retirement. F3 · derivative.expiration_date: Distribution of Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan is deferred until retirement. Read SEC document |
| May 18, 2011 Filed May 20, 2011 18:35 UTC | MORGAN STANLEY MS · Entity 2815 | GrantCommon Stock | 10,248.59 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-11-030178 · doc4.xml · nonDerivative · entry 1 OWENS JAMES W · CIK 0001171767 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,048.021 F1 · kind: Restricted stock units granted under the Directors' Equity Capital Accumulation Plan, which are convertible into shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| March 31, 2011 Filed Apr 1, 2011 17:49 UTC | INTERNATIONAL BUSINESS MACHINES CORP IBM · Entity 2840 | GrantPromised Fee Share · Derivative | 230 | $163.57 Strike: $0.00 | $37,619.95 |
DisclosureSEC source: 0001181431-11-021193 · rrd307200.xml · derivative · entry 1 OWENS JAMES W · CIK 0001171767 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,613 Underlying: Common Stock · 230 shares Expires not disclosed F1 · derivative.exercise_price: Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan are paid out after retirement in the company's common stock or cash. F2 · kind: Deferral of fees into Promised Fee Shares under the terms of the IBM Board of Directors Deferred Compensation and Equity Award Plan. F3 · derivative.exercise_date: Distribution of Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan is deferred until retirement. F3 · derivative.expiration_date: Distribution of Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan is deferred until retirement. Read SEC document |
| February 01, 2011 Filed Feb 3, 2011 17:19 UTC | MORGAN STANLEY MS · Entity 2815 | GrantCommon Stock | 2,793.664 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-11-006820 · doc4.xml · nonDerivative · entry 1 OWENS JAMES W · CIK 0001171767 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,793.664 F1 · kind: Deferred stock units acquired under the Directors' Equity Capital Accumulation Plan, which are convertible into shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| December 31, 2010 Filed Jan 3, 2011 16:03 UTC | INTERNATIONAL BUSINESS MACHINES CORP IBM · Entity 2840 | GrantPromised Fee Share · Derivative | 427 | $146.51 Strike: $0.00 | $62,559.77 |
DisclosureSEC source: 0001181431-11-000024 · rrd295928.xml · derivative · entry 1 OWENS JAMES W · CIK 0001171767 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,346 Underlying: Common Stock · 427 shares Expires not disclosed F1 · derivative.exercise_price: Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan are paid out after retirement in the company's common stock or cash. F2 · kind: Deferral of fees into Promised Fee Shares under the terms of the IBM Board of Directors Deferred Compensation and Equity Award Plan. F3 · derivative.exercise_date: Distribution of Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan is deferred until retirement. F3 · derivative.expiration_date: Distribution of Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan is deferred until retirement. Read SEC document |
| September 30, 2010 Filed Oct 1, 2010 17:25 UTC | INTERNATIONAL BUSINESS MACHINES CORP IBM · Entity 2840 | GrantPromised Fee Share · Derivative | 464 | $134.90 Strike: $0.00 | $62,593.60 |
DisclosureSEC source: 0001181431-10-048656 · rrd287534.xml · derivative · entry 1 OWENS JAMES W · CIK 0001171767 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,880 Underlying: Common Stock · 464 shares Expires not disclosed F1 · derivative.exercise_price: Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan are paid out after retirement in the company's common stock or cash. F2 · kind: Deferral of fees into Promised Fee Shares under the terms of the IBM Board of Directors Deferred Compensation and Equity Award Plan. F3 · derivative.exercise_date: Distribution of Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan is deferred until retirement. F3 · derivative.expiration_date: Distribution of Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan is deferred until retirement. Read SEC document |
| September 30, 2010 Filed Oct 1, 2010 16:29 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 98 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000473 · edgar.xml · derivative · entry 5 OWENS JAMES W · CIK 0001171767 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,076 Underlying: Common · 98 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 |
| September 13, 2010 Filed Sep 14, 2010 18:55 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 122,000 | $0.00 Strike: $25.36 | $0.00 |
DisclosureSEC source: 0000018230-10-000447 · edgar.xml · derivative · entry 7 OWENS JAMES W · CIK 0001171767 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 122,000 shares Expires 2012-06-11 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · security: (Right to buy) with tandem tax withholding rights. F5 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| September 13, 2010 Filed Sep 14, 2010 18:55 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 74,112 | $72.09 | $5,342,734.08 |
DisclosureSEC source: 0000018230-10-000447 · edgar.xml · nonDerivative · entry 2 OWENS JAMES W · CIK 0001171767 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 264,259 F1 · balance_after: This amount includes 32,729 shares in 401K. Read SEC document |
| September 13, 2010 Filed Sep 14, 2010 18:55 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 122,000 | $25.36 | $3,093,615.00 |
DisclosureSEC source: 0000018230-10-000447 · edgar.xml · nonDerivative · entry 1 OWENS JAMES W · CIK 0001171767 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 338,371 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| September 13, 2010 Filed Sep 15, 2010 15:59 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 6,314 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000449 · edgar.xml · nonDerivative · entry 1 OWENS JAMES W · CIK 0001171767 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 257,945 F1 · balance_after: This amount includes 32,729 shares in 401K. Read SEC document |
| August 31, 2010 Filed Sep 1, 2010 17:52 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 118 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000425 · edgar.xml · derivative · entry 5 OWENS JAMES W · CIK 0001171767 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,978 Underlying: Common · 118 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| July 30, 2010 Filed Aug 2, 2010 17:53 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 173 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000366 · edgar.xml · derivative · entry 5 OWENS JAMES W · CIK 0001171767 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,860 Underlying: Common · 173 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, 2010 Filed Jul 1, 2010 18:12 UTC | INTERNATIONAL BUSINESS MACHINES CORP IBM · Entity 2840 | GrantPromised Fee Share · Derivative | 504 | $124.11 Strike: $0.00 | $62,551.44 |
DisclosureSEC source: 0001181431-10-035417 · rrd280461.xml · derivative · entry 1 OWENS JAMES W · CIK 0001171767 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,374 Underlying: Common Stock · 504 shares Expires not disclosed F1 · derivative.exercise_price: Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan are paid out after retirement in the company's common stock or cash. F2 · kind: Deferral of fees into Promised Fee Shares under the terms of the IBM Board of Directors Deferred Compensation and Equity Award Plan. F3 · derivative.exercise_date: Distribution of Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan is deferred until retirement. F3 · derivative.expiration_date: Distribution of Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan is deferred until retirement. Read SEC document |
| June 30, 2010 Filed Jul 2, 2010 15:01 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 129 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000327 · edgar.xml · derivative · entry 5 OWENS JAMES W · CIK 0001171767 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,687 Underlying: Common · 129 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 28, 2010 Filed Jun 1, 2010 18:46 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 127 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000292 · edgar.xml · derivative · entry 5 OWENS JAMES W · CIK 0001171767 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,558 Underlying: Common · 127 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 30, 2010 Filed May 3, 2010 17:46 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 113 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000227 · edgar.xml · derivative · entry 5 OWENS JAMES W · CIK 0001171767 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,431 Underlying: Common · 113 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 05, 2010 Filed Apr 6, 2010 18:00 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 108,000 | $0.00 Strike: $26.77 | $0.00 |
DisclosureSEC source: 0000018230-10-000199 · edgar.xml · derivative · entry 8 OWENS JAMES W · CIK 0001171767 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 108,000 shares Expires 2011-06-12 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · security: (Right to buy) with tandem tax withholding rights. F6 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| April 05, 2010 Filed Apr 6, 2010 18:00 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 69,699 | $64.60 | $4,502,555.40 |
DisclosureSEC source: 0000018230-10-000199 · edgar.xml · nonDerivative · entry 3 OWENS JAMES W · CIK 0001171767 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 216,135 F1 · balance_after: This amount includes 32,493 shares in 401K. Read SEC document |
| April 05, 2010 Filed Apr 6, 2010 18:00 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 108,000 | $26.77 | $2,890,620.00 |
DisclosureSEC source: 0000018230-10-000199 · edgar.xml · nonDerivative · entry 2 OWENS JAMES W · CIK 0001171767 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 285,834 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| April 05, 2010 Filed Apr 6, 2010 18:00 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 658 | $64.60 | $42,506.80 |
DisclosureSEC source: 0000018230-10-000199 · edgar.xml · nonDerivative · entry 1 OWENS JAMES W · CIK 0001171767 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 177,834 F4 · kind: Amount reflects shares surrendered to satisfy tax withholding requirements upon the vesting of restricted stock. Read SEC document |
| March 31, 2010 Filed Apr 1, 2010 17:56 UTC | INTERNATIONAL BUSINESS MACHINES CORP IBM · Entity 2840 | GrantPromised Fee Share · Derivative | 488 | $128.21 Strike: $0.00 | $62,564.04 |
DisclosureSEC source: 0001181431-10-019299 · rrd271746.xml · derivative · entry 1 OWENS JAMES W · CIK 0001171767 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,830 Underlying: Common Stock · 488 shares Expires not disclosed F1 · derivative.exercise_price: Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan are paid out after retirement in the company's common stock or cash. F2 · kind: Deferral of fees into Promised Fee Shares under the terms of the IBM Board of Directors Deferred Compensation and Equity Award Plan. F3 · derivative.exercise_date: Distribution of Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan is deferred until retirement. F3 · derivative.expiration_date: Distribution of Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan is deferred until retirement. Read SEC document |
| March 31, 2010 Filed Apr 1, 2010 17:55 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 123 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000190 · edgar.xml · derivative · entry 5 OWENS JAMES W · CIK 0001171767 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,274 Underlying: Common · 123 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 |
| March 02, 2010 Filed Mar 4, 2010 18:53 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionRestricted Stock Units · Derivative | 14,238 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-10-000154 · edgar.xml · derivative · entry 7 OWENS JAMES W · CIK 0001171767 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 14,238 shares Expires 2010-03-02 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: Each restricted stock unit represents the equivalent of one share of Caterpillar common stock. On March 2, 2010, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar common stock. F4 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar common stock. On March 2, 2010, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar common stock. Read SEC document |
| March 02, 2010 Filed Mar 4, 2010 18:53 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 5,617 | $58.42 | $328,145.14 |
DisclosureSEC source: 0000018230-10-000154 · edgar.xml · nonDerivative · entry 2 OWENS JAMES W · CIK 0001171767 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 178,051 F5 · kind: Amount reflects shares surrendered to satisfy tax withholding requirements upon the vesting of restricted stock units. F1 · balance_after: This amount includes 32,052 shares in 401K. Read SEC document |
| March 02, 2010 Filed Mar 4, 2010 18:53 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 14,238 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-10-000154 · edgar.xml · nonDerivative · entry 1 OWENS JAMES W · CIK 0001171767 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 183,668 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 21:09 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantRestricted Stock Units · Derivative | 300,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000131 · edgar.xml · derivative · entry 6 OWENS JAMES W · CIK 0001171767 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 300,000 Underlying: Common · 300,000 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 vest on November 1, 2010, subject to transfer restrictions. F4 · derivative.expiration_date: The restricted stock units vest on November 1, 2010, subject to transfer restrictions. Read SEC document |
| March 01, 2010 Filed Mar 3, 2010 21:09 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 2,629 | $57.82 | $151,995.64 |
DisclosureSEC source: 0000018230-10-000131 · edgar.xml · nonDerivative · entry 1 OWENS JAMES W · CIK 0001171767 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 169,430 F6 · kind: Amount reflects shares surrendered to satisfy tax withholding requirements upon the vesting of restricted stock units. F1 · balance_after: This amount includes 32,052 shares in 401K. Read SEC document |
| February 26, 2010 Filed Mar 1, 2010 15:56 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 14 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000097 · edgar.xml · derivative · entry 5 OWENS JAMES W · CIK 0001171767 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,151 Underlying: Common · 14 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 |
| December 31, 2009 Filed Jan 4, 2010 16:01 UTC | INTERNATIONAL BUSINESS MACHINES CORP IBM · Entity 2840 | GrantPromised Fee Share · Derivative | 475 | $131.84 Strike: $0.00 | $62,624.00 |
DisclosureSEC source: 0001181431-10-000070 · rrd261373.xml · derivative · entry 1 OWENS JAMES W · CIK 0001171767 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,311 Underlying: Common Stock · 475 shares Expires not disclosed F1 · derivative.exercise_price: Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan are paid out after retirement in the company's common stock or cash. F2 · kind: Deferral of fees into Promised Fee Shares under the terms of the IBM Board of Directors Deferred Compensation and Equity Award Plan. F3 · derivative.exercise_date: Distribution of Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan is deferred until retirement. F3 · derivative.expiration_date: Distribution of Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan is deferred until retirement. Read SEC document |
| December 31, 2009 Filed Jan 4, 2010 21:50 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 182 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000033 · edgar.xml · derivative · entry 5 OWENS JAMES W · CIK 0001171767 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,137 Underlying: Common · 182 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 |
| December 23, 2009 Filed Dec 23, 2009 16:57 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 400 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000561 · edgar.xml · nonDerivative · entry 4 OWENS JAMES W · CIK 0001171767 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Indirect · Grandchild's Trust Disclosed balance after: 700 Read SEC document |
| December 23, 2009 Filed Dec 23, 2009 16:57 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 2,400 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000561 · edgar.xml · nonDerivative · entry 3 OWENS JAMES W · CIK 0001171767 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Indirect · Grandchildren's Trust Disclosed balance after: 7,200 Read SEC document |
| December 23, 2009 Filed Dec 23, 2009 16:57 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 3,100 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000561 · edgar.xml · nonDerivative · entry 2 OWENS JAMES W · CIK 0001171767 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Indirect · Held in Revocable Trust Disclosed balance after: 173,277 Read SEC document |
| November 30, 2009 Filed Dec 1, 2009 17:34 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 132 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000547 · edgar.xml · derivative · entry 5 OWENS JAMES W · CIK 0001171767 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,955 Underlying: Common · 132 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| October 30, 2009 Filed Nov 2, 2009 19:57 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 171 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000499 · edgar.xml · derivative · entry 5 OWENS JAMES W · CIK 0001171767 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,823 Underlying: Common · 171 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 |
| September 30, 2009 Filed Oct 1, 2009 16:07 UTC | INTERNATIONAL BUSINESS MACHINES CORP IBM · Entity 2840 | GrantPromised Fee Share · Derivative | 527 | $118.79 Strike: $0.00 | $62,599.70 |
DisclosureSEC source: 0001181431-09-045756 · rrd254163.xml · derivative · entry 1 OWENS JAMES W · CIK 0001171767 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,808 Underlying: Common Stock · 527 shares Expires not disclosed F1 · derivative.exercise_price: Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan are paid out after retirement in the company's common stock or cash. F2 · kind: Deferral of fees into Promised Fee Shares under the terms of the IBM Board of Directors Deferred Compensation and Equity Award Plan. F3 · derivative.exercise_date: Distribution of Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan is deferred until retirement. F3 · derivative.expiration_date: Distribution of Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan is deferred until retirement. Read SEC document |
| September 30, 2009 Filed Oct 1, 2009 21:27 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 150 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000418 · edgar.xml · derivative · entry 5 OWENS JAMES W · CIK 0001171767 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,652 Underlying: Common · 150 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 |
| September 30, 2009 Filed Oct 1, 2009 21:27 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 10,017 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000418 · edgar.xml · nonDerivative · entry 1 OWENS JAMES W · CIK 0001171767 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 171,743 F1 · balance_after: This amount includes 31,736 shares in 401K. Read SEC document |
| August 31, 2009 Filed Sep 1, 2009 19:09 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 171 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000371 · edgar.xml · derivative · entry 7 OWENS JAMES W · CIK 0001171767 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,502 Underlying: Common · 171 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| August 21, 2009 Filed Sep 1, 2009 19:09 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 37,247 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000371 · edgar.xml · nonDerivative · entry 4 OWENS JAMES W · CIK 0001171767 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Indirect · Held in Revocable Trust Disclosed balance after: 176,377 Read SEC document |
| August 21, 2009 Filed Sep 1, 2009 19:09 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 37,247 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000371 · edgar.xml · nonDerivative · entry 2 OWENS JAMES W · CIK 0001171767 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 181,760 F1 · balance_after: This amount includes 31,736 shares in 401K. Read SEC document |
| August 07, 2009 Filed Aug 10, 2009 14:19 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 5,202 | $0.00 Strike: $19.20 | $0.00 |
DisclosureSEC source: 0000018230-09-000328 · edgar.xml · derivative · entry 10 OWENS JAMES W · CIK 0001171767 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 5,202 shares Expires 2010-06-12 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · security: (Right to buy) with tandem tax withholding rights. F5 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| August 07, 2009 Filed Aug 10, 2009 14:19 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 102,798 | $0.00 Strike: $19.20 | $0.00 |
DisclosureSEC source: 0000018230-09-000328 · edgar.xml · derivative · entry 9 OWENS JAMES W · CIK 0001171767 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 102,798 shares Expires 2010-06-12 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · security: (Right to buy) with tandem tax withholding rights. F5 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| August 07, 2009 Filed Aug 10, 2009 14:19 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 2,089 | $47.82 | $99,885.54 |
DisclosureSEC source: 0000018230-09-000328 · edgar.xml · nonDerivative · entry 4 OWENS JAMES W · CIK 0001171767 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 223,044 F1 · balance_after: This amount includes 31,736 shares in 401K. 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.