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 |
|---|---|---|---|---|---|---|
| December 31, 2006 Filed Jan 3, 2007 16:47 UTC | INTERNATIONAL BUSINESS MACHINES CORP IBM · Entity 2840 | GrantPromised Fee Share · Derivative | 257 | $97.36 Strike: $0.00 | $25,020.24 |
DisclosureSEC source: 0001181431-07-000361 · rrd141108.xml · derivative · entry 1 OWENS JAMES W · CIK 0001171767 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 989 Underlying: Common Stock · 257 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 05, 2006 Filed Dec 6, 2006 15:19 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 1,284 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-06-000474 · 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: 156,219 F1 · balance_after: This amount includes 29,219 shares in 401K, 4,596 shares in SEIP and 1 share in dividend reinvestment. Read SEC document |
| September 30, 2006 Filed Oct 2, 2006 19:59 UTC | INTERNATIONAL BUSINESS MACHINES CORP IBM · Entity 2840 | GrantPromised Fee Share · Derivative | 304 | $82.28 Strike: $0.00 | $25,013.12 |
DisclosureSEC source: 0001181431-06-055744 · rrd131999.xml · derivative · entry 1 OWENS JAMES W · CIK 0001171767 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 730 Underlying: Common Stock · 304 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, 2006 Filed Jul 5, 2006 17:41 UTC | INTERNATIONAL BUSINESS MACHINES CORP IBM · Entity 2840 | GrantPromised Fee Share · Derivative | 324 | $77.36 Strike: $0.00 | $25,064.64 |
DisclosureSEC source: 0001181431-06-040046 · rrd123359.xml · derivative · entry 1 OWENS JAMES W · CIK 0001171767 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 425 Underlying: Common Stock · 324 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 27, 2006 Filed Jun 28, 2006 16:01 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 200 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-06-000312 · 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: 157,169 F1 · balance_after: This amount includes 28,930 shares in 401K, 4,551 shares in SEIP and 1 share in dividend reinvestment. Read SEC document |
| May 01, 2006 Filed May 2, 2006 18:30 UTC | INTERNATIONAL BUSINESS MACHINES CORP IBM · Entity 2840 | GrantBOD Stock Option (right to buy) · Derivative | 4,000 | $0.00 Strike: $82.70 | $0.00 |
DisclosureSEC source: 0001181431-06-026761 · rrd116115.xml · derivative · entry 1 OWENS JAMES W · CIK 0001171767 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,000 Underlying: Common Stock · 4,000 shares Expires 2016-04-30 F1 · security: Stock options granted pursuant to the IBM Non-Employee Directors Stock Option Plan. F2 · derivative.exercise_date: These derivative securities vest in four equal annual installments, the first vesting being on the date exercisable shown. All expire on the expiration date shown above. F2 · derivative.expiration_date: These derivative securities vest in four equal annual installments, the first vesting being on the date exercisable shown. All expire on the expiration date shown above. Read SEC document |
| March 31, 2006 Filed Apr 3, 2006 18:47 UTC | INTERNATIONAL BUSINESS MACHINES CORP IBM · Entity 2840 | GrantPromised Fee Share · Derivative | 101 | $82.95 Strike: $0.00 | $8,377.45 |
DisclosureSEC source: 0001181431-06-021303 · rrd113162.xml · derivative · entry 1 OWENS JAMES W · CIK 0001171767 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 101 Underlying: Common Stock · 101 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 17, 2006 Filed Feb 21, 2006 14:18 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantStock Appreciation Right · Derivative | 300,000 | $0.00 Strike: $72.05 | $0.00 |
DisclosureSEC source: 0000018230-06-000132 · 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: 300,000 Underlying: Common · 300,000 shares Expires 2016-02-17 Read SEC document |
| February 01, 2006 Filed Feb 1, 2006 22:47 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 1,922 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-06-000086 · edgar.xml · nonDerivative · entry 5 OWENS JAMES W · CIK 0001171767 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 157,369 F1 · balance_after: This amount includes 28,930 shares in 401K, 4,551 shares in SEIP and 1 share in dividend reinvestment. Read SEC document |
| January 31, 2006 Filed Feb 1, 2006 22:47 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 96,132 | $0.00 Strike: $25.83 | $0.00 |
DisclosureSEC source: 0000018230-06-000086 · 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 · 96,132 shares Expires 2007-06-10 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: (Right to buy) with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| January 31, 2006 Filed Feb 1, 2006 22:47 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 3,868 | $0.00 Strike: $25.83 | $0.00 |
DisclosureSEC source: 0000018230-06-000086 · 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 · 3,868 shares Expires 2007-06-10 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: (Right to buy) with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| January 31, 2006 Filed Feb 1, 2006 22:47 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 58,743 | $67.41 | $3,959,571.92 |
DisclosureSEC source: 0000018230-06-000086 · 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: 159,291 Read SEC document |
| January 31, 2006 Filed Feb 1, 2006 22:47 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 96,132 | $25.83 | $2,482,906.91 |
DisclosureSEC source: 0000018230-06-000086 · 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: 218,034 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 31, 2006 Filed Feb 1, 2006 22:47 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,482 | $67.41 | $99,894.21 |
DisclosureSEC source: 0000018230-06-000086 · 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: 121,902 Read SEC document |
| January 31, 2006 Filed Feb 1, 2006 22:47 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 3,868 | $25.83 | $99,903.09 |
DisclosureSEC source: 0000018230-06-000086 · 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: 123,384 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 08, 2005 Filed Dec 8, 2005 23:32 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 1,204 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000783 · 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: 236,328 F1 · balance_after: This amount includes 28,764 shares in 401K and 4,524 shares in SEIP. Read SEC document |
| October 14, 2005 Filed Oct 14, 2005 19:22 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 200 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000653 · 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: 237,532 F1 · balance_after: This amount includes 28,764 shares in 401K and 4,524 shares in SEIP. Read SEC document |
| July 28, 2005 Filed Jul 29, 2005 15:22 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 2,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000513 · 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: 237,732 F1 · balance_after: This amount includes 28,764 shares in 401K and 4,524 shares in SEIP. F2 · balance_after: On July 14, 2005, the common stock of Caterpillar Inc. split 2-for-1, resulting in the reporting person's acquisition of 103,222 additional shares of common stock. Read SEC document |
| July 28, 2005 Filed Jan 5, 2006 20:17 UTC Amendment | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 2,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-06-000018 · 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: 120,726 F1 · balance_after: This amount includes 28,764 shares in 401K and 4,524 shares in SEIP. F2 · balance_after: On July 14, 2005, the common stock of Caterpillar Inc. split 2-for-1, resulting in the reporting person's acquisition of 44,719 additional shares of common stock. F4 · balance_after: The number of shares reported as beneficially owned was incorrectly calculated on this Form 4 and was also incorrect on two Forms 4 filed by the reporting person subsequent to this Form 4. Read SEC document |
| May 03, 2005 Filed May 5, 2005 18:49 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 100 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000380 · 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: 61,255 F1 · balance_after: This amount includes 14,326 shares in 401K and 2,253 shares in SEIP. Read SEC document |
| March 02, 2005 Filed Mar 3, 2005 20:06 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 46,962 | $0.00 Strike: $32.91 | $0.00 |
DisclosureSEC source: 0000018230-05-000263 · 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 · 46,962 shares Expires 2006-06-11 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. F2 · security: (Righ to buy) with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| March 02, 2005 Filed Mar 3, 2005 20:06 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 3,038 | $0.00 Strike: $32.91 | $0.00 |
DisclosureSEC source: 0000018230-05-000263 · 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: 0 Underlying: Common · 3,038 shares Expires 2006-06-11 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. F2 · security: (Righ to buy) with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| March 02, 2005 Filed Mar 3, 2005 20:06 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 28,151 | $97.21 | $2,736,578.42 |
DisclosureSEC source: 0000018230-05-000263 · 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: 61,268 F1 · balance_after: This amount includes 14,251 shares in 401K and 2,241 shares in SEIP. Read SEC document |
| March 02, 2005 Filed Mar 3, 2005 20:06 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 46,962 | $32.91 | $1,545,340.96 |
DisclosureSEC source: 0000018230-05-000263 · 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: 89,419 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| March 02, 2005 Filed Mar 3, 2005 20:06 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,028 | $97.21 | $99,932.60 |
DisclosureSEC source: 0000018230-05-000263 · 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: 42,457 Read SEC document |
| March 02, 2005 Filed Mar 3, 2005 20:06 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 3,038 | $32.91 | $99,969.04 |
DisclosureSEC source: 0000018230-05-000263 · 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: 43,485 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| March 01, 2005 Filed Mar 2, 2005 17:15 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon | 10,000 | $96.02 | $960,200.00 |
DisclosureSEC source: 0000018230-05-000249 · 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: 40,447 F2 · kind: Restricted stock awarded pursuant to Caterpillar Inc. 1996 Stock Option and Long-Term Incentive Plan. F1 · balance_after: This amount includes 14,251 shares in 401K and 2,241 shares in SEIP. Read SEC document |
| February 18, 2005 Filed Feb 22, 2005 17:13 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherOption (NQ) · Derivative | 230,000 | $0.00 Strike: $91.29 | $0.00 |
DisclosureSEC source: 0000018230-05-000163 · 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: 230,000 Underlying: Common · 230,000 shares Expires 2015-02-18 F2 · security: This option was granted with attached tax withholding rights. F3 · kind: Grant to reporting person of option to buy 230,000 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable immediately. F3 · price: Grant to reporting person of option to buy 230,000 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable immediately. F3 · derivative.exercise_date: Grant to reporting person of option to buy 230,000 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable immediately. Read SEC document |
| December 06, 2004 Filed Dec 6, 2004 19:53 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 750 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000698 · 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: 30,412 F1 · balance_after: This amount includes 14,220 shares in 401K and 2,237 shares in SEIP. Read SEC document |
| December 03, 2004 Filed Dec 6, 2004 19:53 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 400 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000698 · 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: 31,162 Read SEC document |
| June 08, 2004 Filed Jun 9, 2004 20:54 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherOption (NQ) · Derivative | 230,000 | $0.00 Strike: $77.26 | $0.00 |
DisclosureSEC source: 0000018230-04-000361 · 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: 230,000 Underlying: Common · 230,000 shares Expires 2014-06-08 F2 · security: This option was granted with attached tax withholding rights. F3 · kind: Grant to reporting person of option to buy 230,000 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. F3 · price: Grant to reporting person of option to buy 230,000 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. F3 · derivative.exercise_date: Grant to reporting person of option to buy 230,000 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| January 20, 2004 Filed Jan 20, 2004 17:30 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 813 | $83.11 | $67,568.43 |
DisclosureSEC source: 0000018230-04-000053 · edgar.xml · nonDerivative · entry 1 OWENS JAMES W · CIK 0001171767 · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,318 F1 · balance_after: This amount includes 14,008 shares in 401K and 2,205 shares in SEIP. Read SEC document |
| December 22, 2003 Filed Dec 23, 2003 15:53 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 500 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-03-000539 · edgar.xml · nonDerivative · entry 1 OWENS JAMES W · CIK 0001171767 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,144 F1 · balance_after: This amount includes 14,021 shares in 401K and 2,205 shares in SEIP. Read SEC document |
| November 17, 2003 Filed Nov 18, 2003 19:18 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 1,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-03-000497 · edgar.xml · nonDerivative · entry 1 OWENS JAMES W · CIK 0001171767 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,595 F1 · balance_after: This amount includes 13,979 shares in 401K and 2,198 shares in SEIP. Read SEC document |
| August 28, 2003 Filed Aug 28, 2003 17:56 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherCommon | 17,569 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-03-000425 · edgar.xml · nonDerivative · entry 2 OWENS JAMES W · CIK 0001171767 · Group President 10b5-1 filing: Not disclosed Ownership: Indirect · Held in Revocable Trust Disclosed balance after: 58,503 F2 · kind: Conversion of ownership from direct to joint revocable trust. Read SEC document |
| August 28, 2003 Filed Aug 28, 2003 17:56 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherCommon | 17,569 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-03-000425 · edgar.xml · nonDerivative · entry 1 OWENS JAMES W · CIK 0001171767 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,595 F2 · kind: Conversion of ownership from direct to joint revocable trust. F1 · balance_after: This amount includes 13,979 shares in 401K and 2,198 shares in SEIP. Read SEC document |
| July 22, 2003 Filed Jul 23, 2003 12:53 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 495 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-03-000306 · edgar.xml · nonDerivative · entry 1 OWENS JAMES W · CIK 0001171767 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,122 F1 · balance_after: This amount includes 13,938 shares in EIP-1 and 2,197 shares in SEIP. In addition, 40,934 shares are held indirectly in revocable trust. Read SEC document |
| July 18, 2003 Filed Jul 22, 2003 17:51 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 46,684 | $0.00 Strike: $30.16 | $0.00 |
DisclosureSEC source: 0000018230-03-000300 · edgar.xml · derivative · entry 6 OWENS JAMES W · CIK 0001171767 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 46,684 shares Expires 2005-06-06 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: (Right to Buy) with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| July 18, 2003 Filed Jul 22, 2003 17:51 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 3,316 | $0.00 Strike: $30.16 | $0.00 |
DisclosureSEC source: 0000018230-03-000300 · edgar.xml · derivative · entry 5 OWENS JAMES W · CIK 0001171767 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 3,316 shares Expires 2005-06-06 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: (Right to Buy) with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| July 18, 2003 Filed Jul 22, 2003 17:51 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 29,115 | $64.63 | $1,881,702.45 |
DisclosureSEC source: 0000018230-03-000300 · edgar.xml · nonDerivative · entry 4 OWENS JAMES W · CIK 0001171767 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,617 F1 · balance_after: This amount includes 13,938 shares in EIP-1 and 2,197 shares in SEIP. In addition, 40,934 shares are held indirectly in revocable trust. Read SEC document |
| July 18, 2003 Filed Jul 22, 2003 17:51 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 46,684 | $30.16 | $1,407,812.04 |
DisclosureSEC source: 0000018230-03-000300 · edgar.xml · nonDerivative · entry 3 OWENS JAMES W · CIK 0001171767 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,732 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 18, 2003 Filed Jul 22, 2003 17:51 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,547 | $64.63 | $99,982.61 |
DisclosureSEC source: 0000018230-03-000300 · edgar.xml · nonDerivative · entry 2 OWENS JAMES W · CIK 0001171767 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,048 Read SEC document |
| July 18, 2003 Filed Jul 22, 2003 17:51 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 3,316 | $30.16 | $99,997.96 |
DisclosureSEC source: 0000018230-03-000300 · edgar.xml · nonDerivative · entry 1 OWENS JAMES W · CIK 0001171767 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,595 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 |
| June 16, 2003 Filed Jun 18, 2003 14:32 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 300 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-03-000245 · edgar.xml · nonDerivative · entry 1 OWENS JAMES W · CIK 0001171767 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,279 F1 · balance_after: This amount includes 13,938 shares in EIP-1 and 2,197 shares in SEIP. In addition, 40,934 shares are held indirectly in revocable trust. 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.