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 |
|---|---|---|---|---|---|---|
| April 29, 2014 Filed May 1, 2014 21:59 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 11,000 | $45.64 | $502,067.50 |
DisclosureSEC source: 0000018230-14-000157 · edgar.xml · nonDerivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,835 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 |
| March 03, 2014 Filed Mar 5, 2014 19:41 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Options · Derivative | 81,061 | $0.00 Strike: $96.31 | $0.00 |
DisclosureSEC source: 0000018230-14-000096 · edgar.xml · derivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 81,061 Underlying: Common Stock · 81,061 shares Expires 2024-03-03 Read SEC document |
| December 31, 2013 Filed Jan 3, 2014 16:26 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 55 | $90.81 | $4,994.55 |
DisclosureSEC source: 0000018230-14-000026 · edgar.xml · derivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,945 Underlying: Common Stock · 55 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 37 phantom stock units which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $90.81 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 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 are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| November 29, 2013 Filed Dec 3, 2013 20:51 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 59 | $84.60 | $4,991.40 |
DisclosureSEC source: 0000018230-13-000505 · edgar.xml · derivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,890 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 phantom stock units which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $84.60 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 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 are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| November 01, 2013 Filed Nov 4, 2013 19:58 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherCommon Stock | 1,615 | $83.59 | $134,997.85 |
DisclosureSEC source: 0000018230-13-000471 · 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 |
| October 31, 2013 Filed Nov 4, 2013 19:58 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 60 | $83.36 | $5,001.60 |
DisclosureSEC source: 0000018230-13-000471 · edgar.xml · derivative · entry 3 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,831 Underlying: Common Stock · 60 shares Expires not disclosed F2 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F3 · shares: This total includes 40 phantom stock units which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $83.36 and 20 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 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 are to be settled 100% in cash upon the reporting person's retirement or separation from service. F5 · balance_after: Includes phantom stock units acquired under Tax-Conditioned Plan. Read SEC document |
| September 30, 2013 Filed Oct 2, 2013 15:42 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 60 | $83.40 | $5,004.00 |
DisclosureSEC source: 0000018230-13-000424 · edgar.xml · derivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,649 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 phantom stock units which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $83.40 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 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 are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| September 17, 2013 Filed Nov 4, 2013 19:58 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon Stock | 150 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000471 · edgar.xml · nonDerivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,220 F1 · balance_after: Includes adjustments for dividends accrued and shares acquired under Caterpillar Inc.'s 401(k) plan. Read SEC document |
| August 30, 2013 Filed Sep 3, 2013 19:53 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 60 | $82.54 | $4,952.40 |
DisclosureSEC source: 0000018230-13-000376 · edgar.xml · derivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,589 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 phantom stock units which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $82.54 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 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 are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| July 31, 2013 Filed Aug 2, 2013 14:18 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 60 | $82.06 | $4,923.60 |
DisclosureSEC source: 0000018230-13-000337 · edgar.xml · derivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,529 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 phantom stock units which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $82.06 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 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 are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| June 28, 2013 Filed Jul 2, 2013 18:11 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 60 | $82.49 | $4,949.40 |
DisclosureSEC source: 0000018230-13-000327 · edgar.xml · derivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,469 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 phantom stock units which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $82.49 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 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 are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| May 31, 2013 Filed Jun 4, 2013 20:55 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 22 | $85.80 | $1,887.60 |
DisclosureSEC source: 0000018230-13-000276 · edgar.xml · derivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,409 Underlying: Common Stock · 22 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 15 shares which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $85.80 and 7 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 will 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 will 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 |
| March 04, 2013 Filed Mar 5, 2013 22:12 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Option (right to buy) · Derivative | 79,976 | $0.00 Strike: $89.75 | $0.00 |
DisclosureSEC source: 0000018230-13-000104 · edgar.xml · derivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 79,976 Underlying: Common Stock · 79,976 shares Expires 2023-03-04 Read SEC document |
| March 04, 2013 Filed Mar 7, 2013 00:46 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 216 | $91.05 | $19,665.72 |
DisclosureSEC source: 0000018230-13-000149 · edgar.xml · nonDerivative · entry 2 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,206 Read SEC document |
| March 01, 2013 Filed Mar 7, 2013 00:46 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionRestricted Stock Units · Derivative | 458 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-13-000149 · edgar.xml · derivative · entry 3 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 458 shares Expires 2013-03-01 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. F1 · derivative.exercise_price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 1, 2013, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar Inc. common stock. F1 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 1, 2013, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar Inc. common stock. Read SEC document |
| March 01, 2013 Filed Mar 7, 2013 00:46 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 458 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-13-000149 · edgar.xml · nonDerivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,422 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 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 1, 2013, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar Inc. common stock. Read SEC document |
| February 05, 2013 Filed Feb 7, 2013 20:45 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 10,000 | $0.00 Strike: $45.64 | $0.00 |
DisclosureSEC source: 0000018230-13-000068 · edgar.xml · derivative · entry 3 Halverson Bradley M · CIK 0001307061 · Group President/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,000 Underlying: Common Stock · 10,000 shares Expires 2005-02-18 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. Read SEC document |
| February 05, 2013 Filed Feb 7, 2013 20:45 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 10,000 | $98.90 | $988,964.00 |
DisclosureSEC source: 0000018230-13-000068 · edgar.xml · nonDerivative · entry 2 Halverson Bradley M · CIK 0001307061 · Group President/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,964 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $98.89 to $98.92, inclusive. Read SEC document |
| February 05, 2013 Filed Feb 7, 2013 20:45 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 10,000 | $45.64 | $456,425.00 |
DisclosureSEC source: 0000018230-13-000068 · edgar.xml · nonDerivative · entry 1 Halverson Bradley M · CIK 0001307061 · Group President/CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,964 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 03, 2013 Filed Jan 7, 2013 20:08 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 44 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000028 · edgar.xml · derivative · entry 1 Halverson Bradley M · CIK 0001307061 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,775 Underlying: Common · 44 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 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled 100% in cash upon the reporting person's retirement or separation from service. F2 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| May 05, 2011 Filed May 9, 2011 15:09 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 3,901 | $0.00 Strike: $38.63 | $0.00 |
DisclosureSEC source: 0000018230-11-000293 · edgar.xml · derivative · entry 5 Halverson Bradley M · CIK 0001307061 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 3,901 shares Expires 2014-06-08 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. F5 · security: Right to buy with tandem tax withholding rights. F6 · derivative.exercise_date: Exercisable in thirds - 1/3 after one year; 1/3 after two years; 1/3 after three years. Read SEC document |
| May 05, 2011 Filed May 9, 2011 15:09 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 3,901 | $111.00 | $433,011.00 |
DisclosureSEC source: 0000018230-11-000293 · edgar.xml · nonDerivative · entry 2 Halverson Bradley M · CIK 0001307061 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,686 F1 · balance_after: This amount includes 11,968 shares in 401K and 4 shares in dividend reinvestment. Read SEC document |
| May 05, 2011 Filed May 9, 2011 15:09 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 3,901 | $38.63 | $150,685.88 |
DisclosureSEC source: 0000018230-11-000293 · edgar.xml · nonDerivative · entry 1 Halverson Bradley M · CIK 0001307061 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,615 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, 2011 Filed May 2, 2011 21:07 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 8,880 | $0.00 Strike: $25.36 | $0.00 |
DisclosureSEC source: 0000018230-11-000267 · edgar.xml · derivative · entry 5 Halverson Bradley M · CIK 0001307061 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 8,880 shares Expires 2012-06-11 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · security: Right to buy with tandem tax withholding rights. F6 · derivative.exercise_date: Exercisable in thirds - 1/3 after one year; 1/3 after two years; 1/3 after three years. Read SEC document |
| April 29, 2011 Filed May 2, 2011 21:07 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 8,880 | $115.49 | $1,025,551.20 |
DisclosureSEC source: 0000018230-11-000267 · edgar.xml · nonDerivative · entry 2 Halverson Bradley M · CIK 0001307061 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,686 F1 · balance_after: This amount includes 11,968 shares in 401K and 4 shares in dividend reinvestment. Read SEC document |
| April 29, 2011 Filed May 2, 2011 21:07 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 8,880 | $25.36 | $225,174.60 |
DisclosureSEC source: 0000018230-11-000267 · edgar.xml · nonDerivative · entry 1 Halverson Bradley M · CIK 0001307061 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,566 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 07, 2011 Filed Mar 8, 2011 20:35 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantStock Appreciation Rights · Derivative | 22,696 | $0.00 Strike: $102.13 | $0.00 |
DisclosureSEC source: 0000018230-11-000186 · edgar.xml · derivative · entry 4 Halverson Bradley M · CIK 0001307061 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,696 Underlying: Common · 22,696 shares Expires 2021-03-07 F5 · derivative.exercise_date: The stock appreciation rights vest on March 7, 2014. Read SEC document |
| March 04, 2011 Filed Mar 7, 2011 19:08 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 622 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000139 · edgar.xml · derivative · entry 3 Halverson Bradley M · CIK 0001307061 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,693 Underlying: Common · 622 shares Expires not disclosed F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F4 · 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. F4 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| March 03, 2011 Filed Mar 4, 2011 21:06 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionRestricted Stock Units · Derivative | 776 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-11-000101 · edgar.xml · derivative · entry 5 Halverson Bradley M · CIK 0001307061 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 776 shares Expires 2011-03-03 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_price: Each restricted stock unit represents the equivalent of one share of Caterpillar common stock. On March 3, 2011, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar common stock. F5 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar common stock. On March 3, 2011, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar common stock. Read SEC document |
| March 03, 2011 Filed Mar 4, 2011 21:06 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 245 | $103.22 | $25,287.68 |
DisclosureSEC source: 0000018230-11-000101 · edgar.xml · nonDerivative · entry 2 Halverson Bradley M · CIK 0001307061 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,612 F6 · kind: Amount reflects shares surrendered to satisfy tax withholding requirements upon the vesting of restricted stock. F1 · balance_after: This amount includes 11,894 shares in 401K and 4 shares in dividend reinvestment. Read SEC document |
| March 03, 2011 Filed Mar 4, 2011 21:06 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 776 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-11-000101 · edgar.xml · nonDerivative · entry 1 Halverson Bradley M · CIK 0001307061 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,857 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar common stock. On March 3, 2011, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar common stock. Read SEC document |
| February 04, 2011 Filed Feb 7, 2011 19:22 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 924 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000061 · edgar.xml · derivative · entry 3 Halverson Bradley M · CIK 0001307061 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,071 Underlying: Common · 924 shares Expires not disclosed F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F4 · 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. F4 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| December 16, 2010 Filed Dec 17, 2010 14:19 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 12 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000574 · edgar.xml · derivative · entry 3 Halverson Bradley M · CIK 0001307061 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,147 Underlying: Common · 12 shares Expires not disclosed F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F4 · 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. F4 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| December 16, 2010 Filed Dec 17, 2010 14:19 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 250 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000574 · edgar.xml · nonDerivative · entry 1 Halverson Bradley M · CIK 0001307061 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,050 F1 · balance_after: This amount includes 11,863 shares in 401K and 4 shares in dividend reinvestment. Read SEC document |
| September 30, 2010 Filed Oct 1, 2010 16:29 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 27 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000472 · edgar.xml · derivative · entry 3 Halverson Bradley M · CIK 0001307061 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,135 Underlying: Common · 27 shares Expires not disclosed F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F4 · 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. F4 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| August 31, 2010 Filed Sep 1, 2010 17:51 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 12 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000424 · edgar.xml · derivative · entry 3 Halverson Bradley M · CIK 0001307061 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,108 Underlying: Common · 12 shares Expires not disclosed F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F4 · 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. F4 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| August 04, 2010 Filed Aug 5, 2010 15:33 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 5,000 | $0.00 Strike: $25.36 | $0.00 |
DisclosureSEC source: 0000018230-10-000390 · edgar.xml · derivative · entry 5 Halverson Bradley M · CIK 0001307061 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 5,000 shares Expires 2012-06-11 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · security: (Right to buy) with tandem tax withholding rights. F6 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| August 04, 2010 Filed Aug 5, 2010 15:33 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 5,000 | $71.12 | $355,617.00 |
DisclosureSEC source: 0000018230-10-000390 · edgar.xml · nonDerivative · entry 2 Halverson Bradley M · CIK 0001307061 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,146 F1 · balance_after: This amount includes 11,709 shares in 401K and 4 shares in dividend reinvestment. Read SEC document |
| August 04, 2010 Filed Aug 5, 2010 15:33 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 5,000 | $25.36 | $126,787.50 |
DisclosureSEC source: 0000018230-10-000390 · edgar.xml · nonDerivative · entry 1 Halverson Bradley M · CIK 0001307061 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,146 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, 2010 Filed Mar 4, 2010 18:59 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionRestricted Stock Units · Derivative | 828 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-10-000160 · edgar.xml · derivative · entry 5 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 828 shares Expires 2010-03-02 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_price: Each restricted stock unit represents the equivalent of one share of Caterpillar common stock. On March 2, 2010, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar common stock. F5 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar common stock. On March 2, 2010, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar common stock. Read SEC document |
| March 02, 2010 Filed Mar 4, 2010 18:59 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 244 | $58.42 | $14,254.48 |
DisclosureSEC source: 0000018230-10-000160 · edgar.xml · nonDerivative · entry 2 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,563 F6 · kind: Amount reflects shares surrendered to satisfy tax withholding requirements upon the vesting of restricted stock units. F1 · balance_after: This amount includes 11,130 shares in 401K. Read SEC document |
| March 02, 2010 Filed Mar 4, 2010 18:59 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 828 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-10-000160 · edgar.xml · nonDerivative · entry 1 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,807 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar common stock. On March 2, 2010, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar common stock. Read SEC document |
| March 01, 2010 Filed Mar 3, 2010 21:07 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantRestricted Stock Units · Derivative | 458 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000128 · edgar.xml · derivative · entry 5 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 458 Underlying: Common · 458 shares Expires not disclosed F6 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Caterpillar common stock. F5 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 1, 2013. F5 · derivative.expiration_date: The restricted stock units and stock appreciation rights vest on March 1, 2013. Read SEC document |
| March 01, 2010 Filed Mar 3, 2010 21:07 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantStock Appreciation Rights · Derivative | 9,449 | $0.00 Strike: $57.85 | $0.00 |
DisclosureSEC source: 0000018230-10-000128 · edgar.xml · derivative · entry 4 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,449 Underlying: Common · 9,449 shares Expires 2020-03-01 F5 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 1, 2013. Read SEC document |
| December 31, 2009 Filed Jan 4, 2010 21:48 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 56 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000031 · edgar.xml · derivative · entry 3 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,044 Underlying: Common · 56 shares Expires not disclosed F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F4 · 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. F4 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| November 30, 2009 Filed Dec 1, 2009 17:32 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 30 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000545 · edgar.xml · derivative · entry 3 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,988 Underlying: Common · 30 shares Expires not disclosed F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F4 · 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. F4 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| November 06, 2009 Filed Nov 6, 2009 19:42 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 200 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000508 · edgar.xml · nonDerivative · entry 2 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Indirect · Owned by Wife's Trust Disclosed balance after: 4,062 F2 · ownership.nature: Beneficial ownership denied. Read SEC document |
| October 30, 2009 Filed Nov 2, 2009 19:45 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 50 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000494 · edgar.xml · derivative · entry 3 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,958 Underlying: Common · 50 shares Expires not disclosed F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F4 · 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. F4 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| October 26, 2009 Filed Oct 27, 2009 19:37 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 1,000 | $59.00 | $59,000.00 |
DisclosureSEC source: 0000018230-09-000456 · edgar.xml · nonDerivative · entry 2 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Indirect · Owned by Wife's Trust Disclosed balance after: 4,262 F2 · ownership.nature: Beneficial ownership denied. Read SEC document |
| October 20, 2009 Filed Oct 21, 2009 18:15 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 5,202 | $0.00 Strike: $19.20 | $0.00 |
DisclosureSEC source: 0000018230-09-000449 · edgar.xml · derivative · entry 5 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 5,202 shares Expires 2010-06-12 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · security: (Right to buy) with tandem tax withholding rights. F6 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.