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 |
|---|---|---|---|---|---|---|
| August 07, 2009 Filed Aug 10, 2009 14:19 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 5,202 | $19.20 | $99,895.05 |
DisclosureSEC source: 0000018230-09-000328 · 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: 225,133 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, 2009 Filed Aug 10, 2009 14:19 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 65,551 | $47.82 | $3,134,321.07 |
DisclosureSEC source: 0000018230-09-000328 · 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: 219,931 Read SEC document |
| August 07, 2009 Filed Aug 10, 2009 14:19 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 102,798 | $19.20 | $1,974,050.55 |
DisclosureSEC source: 0000018230-09-000328 · 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: 285,482 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 |
| July 31, 2009 Filed Aug 3, 2009 19:51 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 175 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000309 · 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: 7,331 Underlying: Common · 175 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, 2009 Filed Jul 1, 2009 16:56 UTC | INTERNATIONAL BUSINESS MACHINES CORP IBM · Entity 2840 | GrantPromised Fee Share · Derivative | 596 | $104.93 Strike: $0.00 | $62,538.28 |
DisclosureSEC source: 0001181431-09-033021 · rrd247390.xml · derivative · entry 1 OWENS JAMES W · CIK 0001171767 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,252 Underlying: Common Stock · 596 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, 2009 Filed Jul 2, 2009 14:15 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 424 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000262 · 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: 7,156 Underlying: Common · 424 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 01, 2009 Filed Sep 1, 2009 19:09 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 4,037 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000371 · edgar.xml · nonDerivative · entry 3 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: 139,130 Read SEC document |
| April 01, 2009 Filed Sep 1, 2009 19:09 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 4,037 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000371 · 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: 219,007 Read SEC document |
| March 31, 2009 Filed Apr 1, 2009 17:10 UTC | INTERNATIONAL BUSINESS MACHINES CORP IBM · Entity 2840 | GrantPromised Fee Share · Derivative | 646 | $96.76 Strike: $0.00 | $62,503.73 |
DisclosureSEC source: 0001181431-09-018007 · rrd238761.xml · derivative · entry 1 OWENS JAMES W · CIK 0001171767 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,628 Underlying: Common Stock · 646 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 02, 2009 Filed Mar 4, 2009 18:14 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantRestricted Stock Units · Derivative | 20,152 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000091 · 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: 20,152 Underlying: Common · 20,152 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 18:14 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantStock Appreciation Rights · Derivative | 504,180 | $0.00 Strike: $22.17 | $0.00 |
DisclosureSEC source: 0000018230-09-000091 · 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: 504,180 Underlying: Common · 504,180 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 |
| March 02, 2009 Filed Mar 4, 2009 18:14 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 2,631 | $23.09 | $60,749.79 |
DisclosureSEC source: 0000018230-09-000091 · 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: 181,813 F6 · kind: Amount reflects shares sold to satisfy tax withholding requirements upon the vesting of previously restricted stock. F1 · balance_after: This amount includes 30,865 shares in 401K. Read SEC document |
| December 31, 2008 Filed Jan 2, 2009 19:30 UTC | INTERNATIONAL BUSINESS MACHINES CORP IBM · Entity 2840 | GrantPromised Fee Share · Derivative | 693 | $84.28 Strike: $0.00 | $58,406.04 |
DisclosureSEC source: 0001181431-09-000121 · rrd228318.xml · derivative · entry 1 OWENS JAMES W · CIK 0001171767 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,953 Underlying: Common Stock · 693 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 24, 2008 Filed Dec 30, 2008 19:46 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 17,949 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000441 · 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: 135,093 Read SEC document |
| December 24, 2008 Filed Dec 30, 2008 19:46 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 17,949 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000441 · 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: 183,916 F1 · balance_after: This amount includes 30,337 shares in 401K. Read SEC document |
| December 23, 2008 Filed Dec 30, 2008 19:46 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 1,200 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000441 · edgar.xml · nonDerivative · entry 3 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: 117,144 Read SEC document |
| December 19, 2008 Filed Dec 30, 2008 19:46 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 300 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000441 · edgar.xml · nonDerivative · entry 6 OWENS JAMES W · CIK 0001171767 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Indirect · Grandchild's Trust Disclosed balance after: 300 Read SEC document |
| December 19, 2008 Filed Dec 30, 2008 19:46 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 2,400 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000441 · edgar.xml · nonDerivative · entry 5 OWENS JAMES W · CIK 0001171767 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Indirect · Grandchildren's Trust Disclosed balance after: 4,800 Read SEC document |
| December 19, 2008 Filed Dec 30, 2008 19:46 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 2,700 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000441 · 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: 118,344 Read SEC document |
| December 10, 2008 Filed Dec 11, 2008 21:00 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 96,792 | $0.00 Strike: $31.17 | $0.00 |
DisclosureSEC source: 0000018230-08-000434 · 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 · 96,792 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. 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 |
| December 10, 2008 Filed Dec 11, 2008 21:00 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 3,208 | $0.00 Strike: $31.17 | $0.00 |
DisclosureSEC source: 0000018230-08-000434 · 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 · 3,208 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. 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 |
| December 10, 2008 Filed Dec 11, 2008 21:00 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 79,775 | $43.93 | $3,504,116.88 |
DisclosureSEC source: 0000018230-08-000434 · 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: 201,865 F1 · balance_after: This amount includes 30,337 shares in 401K. Read SEC document |
| December 10, 2008 Filed Dec 11, 2008 21:00 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 96,792 | $31.17 | $3,017,190.54 |
DisclosureSEC source: 0000018230-08-000434 · 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: 281,640 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 |
| December 10, 2008 Filed Dec 11, 2008 21:00 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 2,276 | $43.93 | $99,973.30 |
DisclosureSEC source: 0000018230-08-000434 · 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: 184,848 Read SEC document |
| December 10, 2008 Filed Dec 11, 2008 21:00 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 3,208 | $31.17 | $99,999.46 |
DisclosureSEC source: 0000018230-08-000434 · 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: 187,124 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 30, 2008 Filed Oct 1, 2008 18:15 UTC | INTERNATIONAL BUSINESS MACHINES CORP IBM · Entity 2840 | GrantPromised Fee Share · Derivative | 438 | $114.39 Strike: $0.00 | $50,102.82 |
DisclosureSEC source: 0001181431-08-055121 · rrd219937.xml · derivative · entry 1 OWENS JAMES W · CIK 0001171767 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,235 Underlying: Common Stock · 438 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, 2008 Filed Jul 1, 2008 15:37 UTC | INTERNATIONAL BUSINESS MACHINES CORP IBM · Entity 2840 | GrantPromised Fee Share · Derivative | 420 | $119.19 Strike: $0.00 | $50,057.70 |
DisclosureSEC source: 0001181431-08-041108 · rrd212170.xml · derivative · entry 1 OWENS JAMES W · CIK 0001171767 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,782 Underlying: Common Stock · 420 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 06, 2008 Filed Dec 1, 2008 17:26 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 4,038 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000422 · 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: 121,044 Read SEC document |
| May 06, 2008 Filed Dec 1, 2008 17:26 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 4,038 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000422 · 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: 183,916 F1 · balance_after: This amount includes 30,337 shares in 401K. Read SEC document |
| March 31, 2008 Filed Apr 1, 2008 17:54 UTC | INTERNATIONAL BUSINESS MACHINES CORP IBM · Entity 2840 | GrantPromised Fee Share · Derivative | 437 | $114.61 Strike: $0.00 | $50,082.39 |
DisclosureSEC source: 0001181431-08-022292 · rrd201656.xml · derivative · entry 1 OWENS JAMES W · CIK 0001171767 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,349 Underlying: Common Stock · 437 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 03, 2008 Filed Mar 4, 2008 20:41 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantRestricted Stock Units · Derivative | 14,193 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000095 · 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: 14,193 Underlying: Common · 14,193 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 3, 2011. F4 · 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 20:41 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantStock Appreciation Right · Derivative | 334,288 | $0.00 Strike: $73.20 | $0.00 |
DisclosureSEC source: 0000018230-08-000095 · 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: 334,288 Underlying: Common · 334,288 shares Expires 2018-03-03 F4 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 3, 2011. Read SEC document |
| March 03, 2008 Filed Mar 4, 2008 20:41 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 2,631 | $72.92 | $191,852.52 |
DisclosureSEC source: 0000018230-08-000095 · 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: 187,452 F6 · kind: Amount reflects shares sold to satisfy tax withholding requirements upon the vesting of previously restricted stock. F1 · balance_after: This amount includes 29,835 shares in 401K and 1 share in dividend reinvestment. Read SEC document |
| December 31, 2007 Filed Jan 2, 2008 17:55 UTC | INTERNATIONAL BUSINESS MACHINES CORP IBM · Entity 2840 | GrantPromised Fee Share · Derivative | 459 | $108.96 Strike: $0.00 | $50,010.35 |
DisclosureSEC source: 0001181431-08-000125 · rrd186138.xml · derivative · entry 1 OWENS JAMES W · CIK 0001171767 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,903 Underlying: Common Stock · 459 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 19, 2007 Filed Dec 21, 2007 14:59 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 2,400 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000537 · 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: 2,400 Read SEC document |
| December 19, 2007 Filed Dec 21, 2007 14:59 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 2,600 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000537 · 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: 189,897 F1 · balance_after: This amount includes 29,649 shares in 401K and 1 share in dividend reinvestment. Read SEC document |
| December 12, 2007 Filed Dec 21, 2007 14:59 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 812 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000537 · 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: 192,497 Read SEC document |
| September 30, 2007 Filed Oct 1, 2007 16:17 UTC | INTERNATIONAL BUSINESS MACHINES CORP IBM · Entity 2840 | GrantPromised Fee Share · Derivative | 425 | $117.79 Strike: $0.00 | $50,058.63 |
DisclosureSEC source: 0001181431-07-059437 · rrd173751.xml · derivative · entry 1 OWENS JAMES W · CIK 0001171767 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,435 Underlying: Common Stock · 425 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, 2007 Filed Jul 2, 2007 17:03 UTC | INTERNATIONAL BUSINESS MACHINES CORP IBM · Entity 2840 | GrantPromised Fee Share · Derivative | 475 | $105.34 Strike: $0.00 | $50,036.50 |
DisclosureSEC source: 0001181431-07-043012 · rrd164638.xml · derivative · entry 1 OWENS JAMES W · CIK 0001171767 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,004 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 |
| May 24, 2007 Filed May 25, 2007 14:30 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 2,069 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000319 · 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: 193,031 F1 · balance_after: This amount includes 29,371 shares in 401K and 1 share in dividend reinvestment. Read SEC document |
| April 26, 2007 Filed Apr 27, 2007 17:33 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 3,590 | $0.00 Strike: $27.84 | $0.00 |
DisclosureSEC source: 0000018230-07-000285 · 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 · 3,590 shares Expires 2008-06-09 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 |
| April 26, 2007 Filed Apr 27, 2007 17:33 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 96,410 | $0.00 Strike: $27.84 | $0.00 |
DisclosureSEC source: 0000018230-07-000285 · 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 · 96,410 shares Expires 2008-06-09 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 |
| April 26, 2007 Filed Apr 27, 2007 17:33 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,369 | $72.98 | $99,902.78 |
DisclosureSEC source: 0000018230-07-000285 · 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: 195,100 F1 · balance_after: This amount includes 29,371 shares in 401K and 1 share in dividend reinvestment. Read SEC document |
| April 26, 2007 Filed Apr 27, 2007 17:33 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 3,590 | $27.84 | $99,959.24 |
DisclosureSEC source: 0000018230-07-000285 · 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: 196,469 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 26, 2007 Filed Apr 27, 2007 17:33 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 60,306 | $72.98 | $4,400,830.35 |
DisclosureSEC source: 0000018230-07-000285 · 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: 192,879 Read SEC document |
| April 26, 2007 Filed Apr 27, 2007 17:33 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 96,410 | $27.84 | $2,684,420.76 |
DisclosureSEC source: 0000018230-07-000285 · 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: 253,185 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 02, 2007 Filed Apr 3, 2007 17:55 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon | 5,000 | $66.59 | $332,925.00 |
DisclosureSEC source: 0000018230-07-000265 · 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: 156,775 F2 · kind: Restricted stock awarded pursuant to Caterpillar Inc. 2006 Long-Term Incentive Plan. F1 · balance_after: This amount includes 29,371 shares in 401K and 1 share in dividend reinvestment. F5 · balance_after: The SEIP shares previously reported under Table I are now reported under Table II as derivative securities. Read SEC document |
| March 31, 2007 Filed Apr 2, 2007 17:23 UTC | INTERNATIONAL BUSINESS MACHINES CORP IBM · Entity 2840 | GrantPromised Fee Share · Derivative | 532 | $94.16 Strike: $0.00 | $50,093.12 |
DisclosureSEC source: 0001181431-07-022372 · rrd153154.xml · derivative · entry 1 OWENS JAMES W · CIK 0001171767 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,523 Underlying: Common Stock · 532 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 02, 2007 Filed Mar 5, 2007 18:39 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantRestricted Stock Units · Derivative | 14,238 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000100 · edgar.xml · derivative · entry 4 OWENS JAMES W · CIK 0001171767 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,238 Underlying: Common · 14,238 shares Expires not disclosed F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Caterpillar common stock. F2 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 2, 2010. F2 · derivative.expiration_date: The restricted stock units and stock appreciation rights vest on March 2, 2010. Read SEC document |
| March 02, 2007 Filed Mar 5, 2007 18:39 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantStock Appreciation Right · Derivative | 344,198 | $0.00 Strike: $63.04 | $0.00 |
DisclosureSEC source: 0000018230-07-000100 · edgar.xml · derivative · entry 3 OWENS JAMES W · CIK 0001171767 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 344,198 Underlying: Common · 344,198 shares Expires 2017-03-02 F2 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 2, 2010. 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.