Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CATERPILLAR INCCAT · Entity 2808 | Group President & CFO | February 13, 2018 | February 15, 2018 |
| Constellation Energy CorpCEG · Entity 2918 | Director | April 28, 2026 | April 30, 2026 |
| LEAR CORPLEA · Entity 3623 | Director | May 14, 2026 | May 18, 2026 |
| SYSCO CORPSYY · Entity 2003 | Director | November 14, 2025 | November 17, 2025 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
CATERPILLAR INC
Report date February 13, 2018 · Filed February 15, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 14,285 |
Ending reported balance
After 2018-02-13 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2018-02-13 · Grant · Acquired 14,560 · Balance 19,774 Row 2 · 2018-02-13 · Tax withholding · Disposed 5,489 · Balance 14,285 F1: Represents shares withheld from the reporting person to satisfy tax obligations arising from the vesting of performance-based restricted stock units granted on February 27, 2015. |
| Common StockSEC Table I · non-derivative | IndirectHeld by Mindy Halverson Trust | 202 |
Reported balance
Holding disclosure · report date 2018-02-13 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 202 |
| Common StockSEC Table I · non-derivative | IndirectHeld by Halverson Children's Trust | 10,055 |
Reported balance
Holding disclosure · report date 2018-02-13 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 10,055 |
| Common StockSEC Table I · non-derivative | IndirectHeld by 401(k) Plan | 11,253 |
Reported balance
Holding disclosure · report date 2018-02-13 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 11,253 F2: The information in this report is based on a 401(k) Plan statement dated as of 1/31/2018. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares withheld from the reporting person to satisfy tax obligations arising from the vesting of performance-based restricted stock units granted on February 27, 2015.
F2: The information in this report is based on a 401(k) Plan statement dated as of 1/31/2018.
Constellation Energy Corp
Report date April 28, 2026 · Filed April 30, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock (Deferred Stock Units)SEC Table I · non-derivative | Direct | 6,257 |
Reported balance
After 2026-04-28 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2026-04-28 · Grant · Acquired 556 · Balance 6,257 F1: Balance includes approximately 29 shares acquired through quarterly automatic dividend reinvestments. |
Filing footnotes · ownership attribution and instrument terms
F1: Balance includes approximately 29 shares acquired through quarterly automatic dividend reinvestments.
LEAR CORP
Report date May 14, 2026 · Filed May 18, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 8,171 |
Reported balance
After 2026-05-14 transaction · row 1
1 source rowRow 1 · 2026-05-14 · Exercise / conversion · Acquired 1,859 · Balance 8,171 F1: The restricted stock units vested and settled in common stock on May 14, 2026. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2026-05-14 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2026-05-14 · Exercise / conversion · Disposed 1,859 · Balance 0 F2: Each restricted stock unit is convertible into common stock on a 1-for-1 basis. F1: The restricted stock units vested and settled in common stock on May 14, 2026. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 1,330 |
Reported balance
After 2026-05-14 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2026-05-14 · Grant · Acquired 1,330 · Balance 1,330 F2: Each restricted stock unit is convertible into common stock on a 1-for-1 basis. F3: The restricted stock units were granted on May 14, 2026, under the Lear Corporation 2019 Long Term Stock Incentive Plan. The restricted stock units vest and settle in common stock on the earlier of (i) the first anniversary of the grant date or (ii) the date of the next annual meeting of stockholders following the grant date. |
Filing footnotes · ownership attribution and instrument terms
F1: The restricted stock units vested and settled in common stock on May 14, 2026.
F2: Each restricted stock unit is convertible into common stock on a 1-for-1 basis.
F3: The restricted stock units were granted on May 14, 2026, under the Lear Corporation 2019 Long Term Stock Incentive Plan. The restricted stock units vest and settle in common stock on the earlier of (i) the first anniversary of the grant date or (ii) the date of the next annual meeting of stockholders following the grant date.
SYSCO CORP
Report date November 14, 2025 · Filed November 17, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 31,466 |
Reported balance
After 2025-11-14 transaction · row 1
1 source rowRow 1 · 2025-11-14 · Grant · Acquired 2,797 · Balance 31,466 F1: This grant shall vest on the first anniversary of the grant date. F2: Represents restricted stock issued pursuant to the 2018 Sysco Corporation Omnibus Incentive Plan. |
Filing footnotes · ownership attribution and instrument terms
F1: This grant shall vest on the first anniversary of the grant date.
F2: Represents restricted stock issued pursuant to the 2018 Sysco Corporation Omnibus Incentive Plan.
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 |
|---|---|---|---|---|---|---|
| September 30, 2016 Filed Oct 3, 2016 21:17 UTC | SYSCO CORP SYY · Entity 2003 | GrantCommon Stock | 127 | $49.03 | $6,226.81 |
DisclosureSEC source: 0000096021-16-000298 · edgar.xml · nonDerivative · entry 2 Halverson Bradley M · CIK 0001307061 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 381 F2 · shares: Represents company match equal to 50% of the shares described in Footnote 1. Read SEC document |
| September 30, 2016 Filed Oct 3, 2016 21:17 UTC | SYSCO CORP SYY · Entity 2003 | GrantCommon Stock | 254 | $49.03 | $12,453.62 |
DisclosureSEC source: 0000096021-16-000298 · edgar.xml · nonDerivative · entry 1 Halverson Bradley M · CIK 0001307061 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 254 F1 · shares: Represents shares elected to be received in lieu of a portion of non-employee director annual cash retainer fees pursuant to the 2009 Non-Employee Directors Stock Plan. Read SEC document |
| September 30, 2016 Filed Oct 4, 2016 21:58 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 66 | $88.77 | $5,858.82 |
DisclosureSEC source: 0000018230-16-000679 · edgar.xml · derivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,415 Underlying: Common Stock · 66 shares Expires not disclosed F1 · derivative.exercise_price: Each phatom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 44 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $88.77 and 22 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| August 31, 2016 Filed Sep 2, 2016 15:35 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 72 | $81.95 | $5,900.40 |
DisclosureSEC source: 0000018230-16-000644 · edgar.xml · derivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,349 Underlying: Common Stock · 72 shares Expires not disclosed F1 · derivative.exercise_price: Each phatom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 48 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $81.95 and 24 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| July 29, 2016 Filed Aug 1, 2016 21:17 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 72 | $82.76 | $5,958.72 |
DisclosureSEC source: 0000018230-16-000613 · edgar.xml · derivative · entry 7 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,277 Underlying: Common Stock · 72 shares Expires not disclosed F3 · derivative.exercise_price: Each phatom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F4 · shares: This total includes 48 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $82.76 and 24 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F5 · derivative.exercise_date: The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F5 · derivative.expiration_date: The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| July 28, 2016 Filed Aug 1, 2016 21:17 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionStock Appreciation Right · Derivative | 9,449 | $0.00 Strike: $57.85 | $0.00 |
DisclosureSEC source: 0000018230-16-000613 · edgar.xml · derivative · entry 6 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 9,449 shares Expires 2020-03-01 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 28, 2016 Filed Aug 1, 2016 21:17 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 2,841 | $82.73 | $235,035.93 |
DisclosureSEC source: 0000018230-16-000613 · edgar.xml · nonDerivative · entry 3 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,783 F1 · price: The sale price reported in Column 4 is a weighted average sale price. The corresponding shares were sold in multiple transactions at prices ranging from $82.73 to $82.736, inclusive. The reporting person undertakes to provide to Caterpillar Inc., any security holder of Caterpillar Inc., or the staff of Securities and Exchange Commission, upon request, full information. Read SEC document |
| July 28, 2016 Filed Aug 1, 2016 21:17 UTC | CATERPILLAR INC CAT · Entity 2808 | Disposition to issuerCommon Stock | 6,608 | $82.71 | $546,547.68 |
DisclosureSEC source: 0000018230-16-000613 · edgar.xml · nonDerivative · entry 2 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,624 Read SEC document |
| July 28, 2016 Filed Aug 1, 2016 21:17 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 9,449 | $57.85 | $546,624.65 |
DisclosureSEC source: 0000018230-16-000613 · edgar.xml · nonDerivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,232 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 30, 2016 Filed Jul 1, 2016 20:51 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 78 | $75.81 | $5,913.18 |
DisclosureSEC source: 0000018230-16-000581 · edgar.xml · derivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,205 Underlying: Common Stock · 78 shares Expires not disclosed F1 · derivative.exercise_price: Each phatom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 52 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $75.81and 26 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| May 31, 2016 Filed Jun 2, 2016 20:46 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 78 | $72.51 | $5,655.78 |
DisclosureSEC source: 0000018230-16-000536 · edgar.xml · derivative · entry 4 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,127 Underlying: Common Stock · 78 shares Expires not disclosed F2 · derivative.exercise_price: Each phatom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F3 · shares: This total includes 52 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $72.51and 26 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F4 · derivative.exercise_date: The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · derivative.expiration_date: The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| May 31, 2016 Filed Jun 2, 2016 20:46 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 574 | $72.58 | $41,660.92 |
DisclosureSEC source: 0000018230-16-000536 · edgar.xml · nonDerivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,783 Read SEC document |
| May 03, 2016 Filed May 3, 2016 23:24 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 694 | $76.53 | $53,111.82 |
DisclosureSEC source: 0000018230-16-000514 · edgar.xml · nonDerivative · entry 3 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,357 Read SEC document |
| May 01, 2016 Filed May 3, 2016 23:24 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 260 | $77.35 | $20,111.00 |
DisclosureSEC source: 0000018230-16-000514 · edgar.xml · nonDerivative · entry 2 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,051 F1 · shares: Represents shares withheld from the reporting person solely to satisfy tax obligations arising from the vesting of restricted stock units granted on 05/01/2012, of which one-third vested on 05/01/2016. Read SEC document |
| April 29, 2016 Filed May 3, 2016 23:24 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 184 | $78.08 | $14,366.72 |
DisclosureSEC source: 0000018230-16-000514 · edgar.xml · nonDerivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Mindy Halverson Trust Disclosed balance after: 17,296 Read SEC document |
| March 07, 2016 Filed Mar 9, 2016 19:06 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Option · Derivative | 105,602 | $0.00 Strike: $74.77 | $0.00 |
DisclosureSEC source: 0000018230-16-000428 · edgar.xml · derivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 105,602 Underlying: Common Stock · 105,602 shares Expires 2026-03-07 F1 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan and vest equally in 1/3 increments beginning on the first anniversary of the grant date. Read SEC document |
| December 31, 2015 Filed Jan 5, 2016 21:18 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 87 | $67.96 | $5,912.52 |
DisclosureSEC source: 0000018230-16-000381 · edgar.xml · derivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,049 Underlying: Common Stock · 87 shares Expires not disclosed F1 · derivative.exercise_price: Each phatom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 58 shares that were credited to the reporting person's account under the Caterpillar Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $67.96 and 29 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| November 30, 2015 Filed Dec 2, 2015 22:21 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 81 | $72.65 | $5,884.65 |
DisclosureSEC source: 0000018230-15-000354 · edgar.xml · derivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,962 Underlying: Common Stock · 81 shares Expires not disclosed F1 · derivative.exercise_price: Each phatom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 54 shares that were credited to the reporting person's account under the Caterpillar Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $72.65 and 27 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| October 30, 2015 Filed Nov 3, 2015 19:23 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 81 | $72.99 | $5,912.19 |
DisclosureSEC source: 0000018230-15-000326 · edgar.xml · derivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,881 Underlying: Common Stock · 81 shares Expires not disclosed F1 · derivative.exercise_price: Each phatom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 54 shares that were credited to the reporting person's account under the Caterpillar Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $72.99 and 27 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| September 30, 2015 Filed Oct 2, 2015 19:41 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 90 | $65.36 | $5,882.40 |
DisclosureSEC source: 0000018230-15-000316 · edgar.xml · derivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,800 Underlying: Common Stock · 90 shares Expires not disclosed F1 · derivative.exercise_price: Each phatom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 60 shares that were credited to the reporting person's account under the Caterpillar Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $65.36 and 30 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| August 31, 2015 Filed Sep 2, 2015 20:04 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 77 | $76.44 | $5,885.88 |
DisclosureSEC source: 0000018230-15-000287 · edgar.xml · derivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,710 Underlying: Common Stock · 77 shares Expires not disclosed F1 · derivative.exercise_price: Each phatom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 51 shares that were credited to the reporting person's account under the Caterpillar Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $76.44 and 26 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| July 31, 2015 Filed Aug 4, 2015 19:45 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 75 | $78.63 | $5,897.25 |
DisclosureSEC source: 0000018230-15-000274 · edgar.xml · derivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,633 Underlying: Common Stock · 75 shares Expires not disclosed F1 · derivative.exercise_price: Each phatom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 50 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") at a price per share of $78.63 and 25 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| July 29, 2015 Filed Jul 31, 2015 18:45 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionStock Appreciation Right · Derivative | 14,092 | $0.00 Strike: $22.17 | $0.00 |
DisclosureSEC source: 0000018230-15-000268 · edgar.xml · derivative · entry 10 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 14,092 shares Expires 2019-03-02 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. Read SEC document |
| July 29, 2015 Filed Jul 31, 2015 18:45 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionStock Appreciation Right · Derivative | 9,935 | $0.00 Strike: $63.04 | $0.00 |
DisclosureSEC source: 0000018230-15-000268 · edgar.xml · derivative · entry 9 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 9,935 shares Expires 2017-03-02 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. Read SEC document |
| July 29, 2015 Filed Jul 31, 2015 18:45 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 10,045 | $77.11 | $774,569.95 |
DisclosureSEC source: 0000018230-15-000268 · edgar.xml · nonDerivative · entry 6 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,311 Read SEC document |
| July 29, 2015 Filed Jul 31, 2015 18:45 UTC | CATERPILLAR INC CAT · Entity 2808 | Disposition to issuerCommon Stock | 4,047 | $77.19 | $312,387.93 |
DisclosureSEC source: 0000018230-15-000268 · edgar.xml · nonDerivative · entry 5 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,356 Read SEC document |
| July 29, 2015 Filed Jul 31, 2015 18:45 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 14,092 | $22.17 | $312,419.64 |
DisclosureSEC source: 0000018230-15-000268 · edgar.xml · nonDerivative · entry 4 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,403 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 29, 2015 Filed Jul 31, 2015 18:45 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 1,822 | $77.11 | $140,494.42 |
DisclosureSEC source: 0000018230-15-000268 · edgar.xml · nonDerivative · entry 3 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,311 Read SEC document |
| July 29, 2015 Filed Jul 31, 2015 18:45 UTC | CATERPILLAR INC CAT · Entity 2808 | Disposition to issuerCommon Stock | 8,113 | $77.19 | $626,242.47 |
DisclosureSEC source: 0000018230-15-000268 · edgar.xml · nonDerivative · entry 2 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,133 Read SEC document |
| July 29, 2015 Filed Jul 31, 2015 18:45 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 9,935 | $63.04 | $626,302.40 |
DisclosureSEC source: 0000018230-15-000268 · edgar.xml · nonDerivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,246 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 30, 2015 Filed Jul 2, 2015 21:11 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 69 | $84.82 | $5,852.58 |
DisclosureSEC source: 0000018230-15-000246 · edgar.xml · derivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,558 Underlying: Common Stock · 69 shares Expires not disclosed F1 · derivative.exercise_price: Each phatom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 46 shares that were credited to the reporting person's account under the Caterpillar Inc. Supplemental Deferred Compensation Plan ("the Plan") at a price per share of $84.82 and 23 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| May 29, 2015 Filed Jun 2, 2015 21:51 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 66 | $85.32 | $5,631.12 |
DisclosureSEC source: 0000018230-15-000201 · edgar.xml · derivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,489 Underlying: Common Stock · 66 shares Expires not disclosed F1 · derivative.exercise_price: Each phatom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 44 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") at a price per share of $85.32 and 22 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| May 01, 2015 Filed May 5, 2015 21:50 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 382 | $87.52 | $33,432.64 |
DisclosureSEC source: 0000018230-15-000177 · edgar.xml · nonDerivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,311 Read SEC document |
| March 06, 2015 Filed Mar 10, 2015 21:40 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 1,434 | $80.06 | $114,806.04 |
DisclosureSEC source: 0000018230-15-000111 · edgar.xml · derivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,423 Underlying: Common stock · 1,434 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 956 shares where was credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $80.06 and 478 shares that was contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| March 02, 2015 Filed Mar 4, 2015 20:39 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Option · Derivative | 153,954 | $0.00 Strike: $83.00 | $0.00 |
DisclosureSEC source: 0000018230-15-000075 · edgar.xml · derivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 153,954 Underlying: Common stock · 153,954 shares Expires 2025-03-02 F1 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan and vest equally in 1/3 increments beginning on the first anniversary of the grant date. Read SEC document |
| December 31, 2014 Filed Jan 5, 2015 19:28 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 64 | $92.59 | $5,925.76 |
DisclosureSEC source: 0000018230-15-000008 · edgar.xml · derivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,989 Underlying: Common stock · 64 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 43 shares which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $92.59 and 21 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| November 28, 2014 Filed Dec 2, 2014 20:20 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 59 | $100.60 | $5,935.40 |
DisclosureSEC source: 0000018230-14-000425 · edgar.xml · derivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,925 Underlying: Common stock · 59 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 39 shares which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $100.60 and 20 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| October 31, 2014 Filed Nov 3, 2014 20:22 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 58 | $101.41 | $5,881.78 |
DisclosureSEC source: 0000018230-14-000392 · edgar.xml · derivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,866 Underlying: Common stock · 58 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 39 shares which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $101.41 and 19 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| September 30, 2014 Filed Oct 2, 2014 19:13 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 60 | $99.03 | $5,941.80 |
DisclosureSEC source: 0000018230-14-000370 · edgar.xml · derivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,808 Underlying: Common stock · 60 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 40 shares which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $99.03 and 20 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| August 29, 2014 Filed Sep 3, 2014 18:21 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 54 | $109.07 | $5,889.78 |
DisclosureSEC source: 0000018230-14-000336 · edgar.xml · derivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,748 Underlying: Common stock · 54 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 36 shares which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $109.07 and 18 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| July 31, 2014 Filed Aug 4, 2014 18:46 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 59 | $100.75 | $5,944.25 |
DisclosureSEC source: 0000018230-14-000309 · edgar.xml · derivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,694 Underlying: Common stock · 59 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 39 shares which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $100.75 and 20 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| June 30, 2014 Filed Jul 2, 2014 20:50 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 54 | $108.67 | $5,868.18 |
DisclosureSEC source: 0000018230-14-000271 · edgar.xml · derivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,636 Underlying: Common stock · 54 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 36 shares which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $108.67 and 18 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| May 30, 2014 Filed Jun 3, 2014 19:12 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 32 | $102.23 | $3,271.36 |
DisclosureSEC source: 0000018230-14-000211 · edgar.xml · derivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,582 Underlying: Common stock · 32 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 21 shares which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $102.23 and 11 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes phantom stock units acquired under Tax-Conditioned Plan. Read SEC document |
| April 29, 2014 Filed May 1, 2014 21:59 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionStock Aprreciation Right · Derivative | 17,000 | $0.00 Strike: $72.05 | $0.00 |
DisclosureSEC source: 0000018230-14-000157 · edgar.xml · derivative · entry 8 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common stock · 17,000 shares Expires 2016-02-17 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 29, 2014 Filed May 1, 2014 21:59 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 11,000 | $0.00 Strike: $45.64 | $0.00 |
DisclosureSEC source: 0000018230-14-000157 · edgar.xml · derivative · entry 7 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 11,000 shares Expires 2015-02-18 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: Exercisable in thirds beginning 1 year after the initial grant date. (1/3 after one year; 1/3 after two years; 1/3 after 3 years). Read SEC document |
| April 29, 2014 Filed May 1, 2014 21:59 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 3,355 | $104.80 | $351,604.00 |
DisclosureSEC source: 0000018230-14-000157 · edgar.xml · nonDerivative · entry 6 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Indirect · By Mindy Halverson Trust Disclosed balance after: 17,480 Read SEC document |
| April 29, 2014 Filed May 1, 2014 21:59 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 5,283 | $104.51 | $552,117.35 |
DisclosureSEC source: 0000018230-14-000157 · edgar.xml · nonDerivative · entry 5 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,835 Read SEC document |
| April 29, 2014 Filed May 1, 2014 21:59 UTC | CATERPILLAR INC CAT · Entity 2808 | Disposition to issuerCommon Stock | 11,717 | $104.51 | $1,224,523.75 |
DisclosureSEC source: 0000018230-14-000157 · edgar.xml · nonDerivative · entry 4 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,118 Read SEC document |
| April 29, 2014 Filed May 1, 2014 21:59 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 17,000 | $72.05 | $1,224,850.00 |
DisclosureSEC source: 0000018230-14-000157 · edgar.xml · nonDerivative · entry 3 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,835 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 29, 2014 Filed May 1, 2014 21:59 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 11,000 | $104.60 | $1,150,637.40 |
DisclosureSEC source: 0000018230-14-000157 · edgar.xml · nonDerivative · entry 2 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,835 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.