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 |
|---|---|---|---|---|---|---|
| October 20, 2009 Filed Oct 21, 2009 18:15 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,670 | $59.79 | $99,849.30 |
DisclosureSEC source: 0000018230-09-000449 · edgar.xml · nonDerivative · entry 2 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,917 F1 · balance_after: This amount includes 11,068 shares in 401K. Read SEC document |
| October 20, 2009 Filed Oct 21, 2009 18:15 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 5,202 | $19.20 | $99,895.05 |
DisclosureSEC source: 0000018230-09-000449 · edgar.xml · nonDerivative · entry 1 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,587 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 |
| October 19, 2009 Filed Oct 21, 2009 18:15 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 3,300 | $55.00 | $181,500.00 |
DisclosureSEC source: 0000018230-09-000449 · edgar.xml · nonDerivative · entry 3 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Indirect · Owned by Wife's Trust Disclosed balance after: 5,262 F2 · ownership.nature: Beneficial ownership denied. Read SEC document |
| September 30, 2009 Filed Oct 1, 2009 19:38 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 30 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000413 · edgar.xml · derivative · entry 3 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,908 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 |
| May 04, 2009 Filed May 5, 2009 18:25 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 1,708 | $0.00 Strike: $31.17 | $0.00 |
DisclosureSEC source: 0000018230-09-000179 · edgar.xml · derivative · entry 5 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 1,708 shares Expires 2009-06-08 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. 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 |
| May 04, 2009 Filed May 5, 2009 18:25 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,391 | $38.26 | $53,219.66 |
DisclosureSEC source: 0000018230-09-000179 · edgar.xml · nonDerivative · entry 2 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,622 F1 · balance_after: This amount includes 10,305 shares in 401K. Read SEC document |
| May 04, 2009 Filed May 5, 2009 18:25 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 1,708 | $31.17 | $53,241.61 |
DisclosureSEC source: 0000018230-09-000179 · edgar.xml · nonDerivative · entry 1 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,013 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, 2009 Filed Mar 4, 2009 18:16 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantRestricted Stock Units · Derivative | 1,174 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000094 · edgar.xml · derivative · entry 5 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,174 Underlying: Common · 1,174 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 2, 2012. F5 · derivative.expiration_date: The restricted stock units and stock appreciation rights vest on March 2, 2012. Read SEC document |
| March 02, 2009 Filed Mar 4, 2009 18:16 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantStock Appreciation Rights · Derivative | 14,092 | $0.00 Strike: $22.17 | $0.00 |
DisclosureSEC source: 0000018230-09-000094 · edgar.xml · derivative · entry 4 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,092 Underlying: Common · 14,092 shares Expires 2019-03-02 F5 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 2, 2012. Read SEC document |
| October 24, 2008 Filed Oct 28, 2008 14:29 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherPhantom Stock Units · Derivative | 3,003 | $0.00 Strike: $33.30 | $0.00 |
DisclosureSEC source: 0000018230-08-000363 · edgar.xml · derivative · entry 3 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,772 Underlying: Common · 3,772 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 |
| July 30, 2008 Filed Jul 31, 2008 13:30 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 2,500 | $71.34 | $178,355.00 |
DisclosureSEC source: 0000018230-08-000271 · 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: 8,068 F5 · price: Sale prices range from $71.34 to $71.3428. F2 · ownership.nature: Beneficial ownership denied. Read SEC document |
| May 07, 2008 Filed May 7, 2008 18:32 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 200 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000191 · 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: 10,568 F2 · ownership.nature: Beneficial ownership denied. Read SEC document |
| March 03, 2008 Filed Mar 4, 2008 20:46 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantRestricted Stock Units · Derivative | 776 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000104 · edgar.xml · derivative · entry 5 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 776 Underlying: Common · 776 shares Expires not disclosed F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Caterpillar common stock. F3 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 3, 2011. F3 · derivative.expiration_date: The restricted stock units and stock appreciation rights vest on March 3, 2011. Read SEC document |
| March 03, 2008 Filed Mar 4, 2008 20:46 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantStock Appreciation Rights · Derivative | 9,306 | $0.00 Strike: $73.20 | $0.00 |
DisclosureSEC source: 0000018230-08-000104 · edgar.xml · derivative · entry 4 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,306 Underlying: Common · 9,306 shares Expires 2018-03-03 F3 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 3, 2011. Read SEC document |
| July 31, 2007 Filed Jan 3, 2008 20:38 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 1,500 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000018 · 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: 10,768 F2 · ownership.nature: Beneficial ownership denied. Read SEC document |
| July 31, 2007 Filed Jan 3, 2008 20:38 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 1,500 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000018 · edgar.xml · nonDerivative · entry 1 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,074 F1 · balance_after: This amount includes 9,074 shares in 401K. Read SEC document |
| July 25, 2007 Filed Jul 26, 2007 13:22 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 1,500 | $0.00 Strike: $31.17 | $0.00 |
DisclosureSEC source: 0000018230-07-000385 · edgar.xml · derivative · entry 3 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 1,500 shares Expires 2009-06-08 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · security: (Right to buy) with tandem tax withholding rights. F5 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| July 25, 2007 Filed Jul 26, 2007 13:22 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 1,500 | $80.18 | $120,262.95 |
DisclosureSEC source: 0000018230-07-000385 · 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: 9,049 F2 · ownership.nature: Beneficial ownership denied. Read SEC document |
| July 25, 2007 Filed Jul 26, 2007 13:22 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 1,500 | $31.17 | $46,757.85 |
DisclosureSEC source: 0000018230-07-000385 · edgar.xml · nonDerivative · entry 1 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,383 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 · balance_after: This amount includes 8883 shares in 401K. Read SEC document |
| March 02, 2007 Filed Mar 5, 2007 18:42 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantRestricted Stock Units · Derivative | 828 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000104 · edgar.xml · derivative · entry 4 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 828 Underlying: Common · 828 shares Expires not disclosed F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Caterpillar common stock. F3 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 2, 2010. F3 · derivative.expiration_date: The restricted stock units and stock appreciation rights vest on March 2, 2010. Read SEC document |
| March 02, 2007 Filed Mar 5, 2007 18:42 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantStock Appreciation Right · Derivative | 9,935 | $0.00 Strike: $63.04 | $0.00 |
DisclosureSEC source: 0000018230-07-000104 · edgar.xml · derivative · entry 3 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,935 Underlying: Common · 9,935 shares Expires 2017-03-02 F3 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 2, 2010. Read SEC document |
| October 12, 2006 Filed Jan 11, 2007 15:57 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 12,874 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000015 · 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: 12,937 F2 · ownership.nature: Beneficial ownership denied. Read SEC document |
| October 12, 2006 Filed Jan 11, 2007 15:57 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 12,874 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000015 · edgar.xml · nonDerivative · entry 1 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,572 F1 · balance_after: This amount includes 8,535 shares in 401K and 37 shares in SEIP. Read SEC document |
| August 01, 2006 Filed Aug 1, 2006 15:56 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 200 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-06-000376 · edgar.xml · nonDerivative · entry 1 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,107 F1 · balance_after: This amount includes 8317 shares in 401K, 36 shares in SEIP and 92 shares in dividend reinvestment. Read SEC document |
| August 01, 2006 Filed Aug 1, 2006 16:40 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 200 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-06-000379 · edgar.xml · nonDerivative · entry 1 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,107 F1 · balance_after: This amount includes 8317 shares in 401K, 36 shares in SEIP and 92 shares in dividend reinvestment. Read SEC document |
| February 17, 2006 Filed Feb 21, 2006 14:02 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantStock Appreciation Right · Derivative | 17,000 | $0.00 Strike: $72.05 | $0.00 |
DisclosureSEC source: 0000018230-06-000130 · edgar.xml · derivative · entry 2 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,000 Underlying: Common · 17,000 shares Expires 2016-02-17 Read SEC document |
| January 31, 2006 Filed Feb 1, 2006 19:31 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 3,590 | $0.00 Strike: $27.84 | $0.00 |
DisclosureSEC source: 0000018230-06-000069 · edgar.xml · derivative · entry 9 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 3,590 shares Expires 2008-06-09 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: (Right to buy) with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| January 31, 2006 Filed Feb 1, 2006 19:31 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 3,868 | $0.00 Strike: $25.83 | $0.00 |
DisclosureSEC source: 0000018230-06-000069 · edgar.xml · derivative · entry 8 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 3,868 shares Expires 2007-06-10 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: (Right to buy) with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| January 31, 2006 Filed Feb 1, 2006 19:31 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 12,900 | $0.00 Strike: $26.77 | $0.00 |
DisclosureSEC source: 0000018230-06-000069 · edgar.xml · derivative · entry 7 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 12,900 shares Expires 2011-06-12 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: (Right to buy) with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| January 31, 2006 Filed Feb 1, 2006 19:31 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 9,392 | $0.00 Strike: $31.17 | $0.00 |
DisclosureSEC source: 0000018230-06-000069 · edgar.xml · derivative · entry 6 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 9,392 shares Expires 2009-06-08 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: (Right to buy) with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| January 31, 2006 Filed Feb 1, 2006 19:31 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 3,590 | $27.84 | $99,959.24 |
DisclosureSEC source: 0000018230-06-000069 · edgar.xml · nonDerivative · entry 5 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,002 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 · balance_after: This amount includes 8012 shares in 401K, 36 shares in SEIP and 566 shares in dividend reinvestment. Read SEC document |
| January 31, 2006 Filed Feb 1, 2006 19:31 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 3,868 | $25.83 | $99,903.09 |
DisclosureSEC source: 0000018230-06-000069 · edgar.xml · nonDerivative · entry 4 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,412 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 31, 2006 Filed Feb 1, 2006 19:31 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 22,292 | $67.00 | $1,493,564.00 |
DisclosureSEC source: 0000018230-06-000069 · edgar.xml · nonDerivative · entry 3 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,544 Read SEC document |
| January 31, 2006 Filed Feb 1, 2006 19:31 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 12,900 | $26.77 | $345,268.50 |
DisclosureSEC source: 0000018230-06-000069 · edgar.xml · nonDerivative · entry 2 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,836 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 31, 2006 Filed Feb 1, 2006 19:31 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 9,392 | $31.17 | $292,766.48 |
DisclosureSEC source: 0000018230-06-000069 · edgar.xml · nonDerivative · entry 1 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,936 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 |
| October 26, 2005 Filed Oct 28, 2005 18:26 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 800 | $0.00 Strike: $16.45 | $0.00 |
DisclosureSEC source: 0000018230-05-000682 · edgar.xml · derivative · entry 5 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 800 shares Expires 2006-06-11 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: (Right to buy) with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| October 26, 2005 Filed Oct 28, 2005 18:26 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 3,698 | $0.00 Strike: $19.20 | $0.00 |
DisclosureSEC source: 0000018230-05-000682 · edgar.xml · derivative · entry 4 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 3,698 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. F2 · security: (Right to buy) with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| October 26, 2005 Filed Oct 28, 2005 18:26 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 3,698 | $51.00 | $188,598.00 |
DisclosureSEC source: 0000018230-05-000682 · edgar.xml · nonDerivative · entry 3 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,296 F1 · balance_after: This amount includes 7780 shares in 401K, 36 shares in SEIP and 550 shares in dividend reinvestment. Read SEC document |
| October 26, 2005 Filed Oct 28, 2005 18:26 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 800 | $16.45 | $13,162.48 |
DisclosureSEC source: 0000018230-05-000682 · edgar.xml · nonDerivative · entry 2 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,994 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 |
| October 26, 2005 Filed Oct 28, 2005 18:26 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 3,698 | $19.20 | $71,013.43 |
DisclosureSEC source: 0000018230-05-000682 · edgar.xml · nonDerivative · entry 1 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,194 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| August 01, 2005 Filed Aug 2, 2005 15:43 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 300 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000536 · edgar.xml · nonDerivative · entry 1 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,496 F1 · balance_after: This amount includes 7780 shares in 401K, 36 shares in SEIP and 550 shares in dividend reinvestment. Read SEC document |
| February 18, 2005 Filed Feb 22, 2005 17:46 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherOption (NQ) · Derivative | 10,500 | $0.00 Strike: $91.29 | $0.00 |
DisclosureSEC source: 0000018230-05-000174 · edgar.xml · derivative · entry 2 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,500 Underlying: Common · 10,500 shares Expires 2015-02-18 F2 · security: This option was granted with attached tax withholding rights. F3 · kind: Grant to reporting person of option to buy 10,500 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable immediately. F3 · price: Grant to reporting person of option to buy 10,500 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable immediately. F3 · derivative.exercise_date: Grant to reporting person of option to buy 10,500 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable immediately. Read SEC document |
| December 20, 2004 Filed Dec 21, 2004 14:02 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 350 | $0.00 Strike: $32.91 | $0.00 |
DisclosureSEC source: 0000018230-04-000716 · edgar.xml · derivative · entry 2 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 350 shares Expires 2006-06-11 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: (Right to Buy) with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| December 20, 2004 Filed Dec 21, 2004 14:02 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 350 | $32.91 | $11,517.17 |
DisclosureSEC source: 0000018230-04-000716 · edgar.xml · nonDerivative · entry 1 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,063 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 · balance_after: This amount includes 3616 shares in 401K and 232 shares in dividend reinvestment. Read SEC document |
| December 16, 2004 Filed Dec 16, 2004 15:13 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 100 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000708 · edgar.xml · nonDerivative · entry 4 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,713 F1 · balance_after: This amount includes 3616 shares in 401K and 232 shares in dividend reinvestment. Read SEC document |
| December 15, 2004 Filed Dec 16, 2004 15:13 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 2,245 | $0.00 Strike: $55.69 | $0.00 |
DisclosureSEC source: 0000018230-04-000708 · edgar.xml · derivative · entry 6 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 2,245 shares Expires 2008-06-09 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: (Right to Buy) with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| December 15, 2004 Filed Dec 16, 2004 15:13 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 2,106 | $0.00 Strike: $51.66 | $0.00 |
DisclosureSEC source: 0000018230-04-000708 · edgar.xml · derivative · entry 5 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 2,106 shares Expires 2007-06-10 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: (Right to Buy) with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| December 15, 2004 Filed Dec 16, 2004 15:13 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 4,351 | $95.00 | $413,345.00 |
DisclosureSEC source: 0000018230-04-000708 · edgar.xml · nonDerivative · entry 3 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,813 Read SEC document |
| December 15, 2004 Filed Dec 16, 2004 15:13 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 2,245 | $55.69 | $125,018.44 |
DisclosureSEC source: 0000018230-04-000708 · edgar.xml · nonDerivative · entry 2 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,164 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| December 15, 2004 Filed Dec 16, 2004 15:13 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 2,106 | $51.66 | $108,787.96 |
DisclosureSEC source: 0000018230-04-000708 · edgar.xml · nonDerivative · entry 1 Halverson Bradley M · CIK 0001307061 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,919 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.