Reported relationships
Latest disclosed role at each company.
No relationships currently tracked through insider filings.
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.
No balances currently tracked through insider filings.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
CATERPILLAR INC
Report date May 01, 2017 · Filed May 03, 2017
Section 16 reporting ended · disclosed 2017-05-03. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 43,290 |
Reported balance
After 2017-05-01 transaction · row 1
1 source rowRow 1 · 2017-05-01 · Tax withholding · Disposed 519 · Balance 43,290 F1: Represents shares withheld from the reporting person solely to satisfy tax obligations arising from the vesting of restricted stock units granted on 5/01/12, of which one-third vested on 05/01/2017. |
| Common StockSEC Table I · non-derivative | IndirectHeld by 401(k) Plan | 2,206 |
Reported balance
Holding disclosure · report date 2017-05-01 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 2,206 F2: The information in this report is based on a 401(k) Plan statement dated as of 03/31/2017. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares withheld from the reporting person solely to satisfy tax obligations arising from the vesting of restricted stock units granted on 5/01/12, of which one-third vested on 05/01/2017.
F2: The information in this report is based on a 401(k) Plan statement dated as of 03/31/2017.
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 02, 2007 Filed Apr 3, 2007 17:46 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 197 | $66.59 | $13,117.25 |
DisclosureSEC source: 0000018230-07-000263 · edgar.xml · nonDerivative · entry 1 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,008 F4 · kind: Amount reflects shares sold to satisfy tax withholding requirements upon the vesting of previously restricted stock. F1 · balance_after: This amount includes 12,001 shares in 401K and 1795 shares in dividend reinvestment. F5 · balance_after: The SEIP shares previously reported under Table I are now reported under Table II as derivative securities. Read SEC document |
| March 02, 2007 Filed Mar 5, 2007 19:14 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 962 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000111 · edgar.xml · derivative · entry 4 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 962 Underlying: Common · 962 shares Expires not disclosed F4 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F5 · 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 other termination of service. F5 · 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 other termination of service. Read SEC document |
| March 02, 2007 Filed Mar 5, 2007 19:14 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantRestricted Stock Units · Derivative | 2,594 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000111 · edgar.xml · derivative · entry 3 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,594 Underlying: Common · 2,594 shares Expires not disclosed F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Caterpillar common stock. F2 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 2, 2010. F2 · derivative.expiration_date: The restricted stock units and stock appreciation rights vest on March 2, 2010. Read SEC document |
| March 02, 2007 Filed Mar 5, 2007 19:14 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantStock Appreciation Right · Derivative | 47,342 | $0.00 Strike: $63.04 | $0.00 |
DisclosureSEC source: 0000018230-07-000111 · edgar.xml · derivative · entry 2 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,342 Underlying: Common · 47,342 shares Expires 2017-03-02 F2 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 2, 2010. Read SEC document |
| October 16, 2006 Filed Oct 18, 2006 18:06 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 3,868 | $0.00 Strike: $25.83 | $0.00 |
DisclosureSEC source: 0000018230-06-000432 · edgar.xml · derivative · entry 9 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 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 |
| October 16, 2006 Filed Oct 18, 2006 18:06 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 3,590 | $0.00 Strike: $27.84 | $0.00 |
DisclosureSEC source: 0000018230-06-000432 · edgar.xml · derivative · entry 8 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 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 |
| October 16, 2006 Filed Oct 18, 2006 18:06 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 3,208 | $0.00 Strike: $31.17 | $0.00 |
DisclosureSEC source: 0000018230-06-000432 · edgar.xml · derivative · entry 7 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 3,208 shares Expires 2009-06-08 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. 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 16, 2006 Filed Oct 18, 2006 18:06 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,434 | $69.63 | $99,842.25 |
DisclosureSEC source: 0000018230-06-000432 · edgar.xml · nonDerivative · entry 6 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,246 F1 · balance_after: This amount includes 11,939 shares in 401K, 3247 shares in SEIP and 1651 shares in dividend reinvestment. Read SEC document |
| October 16, 2006 Filed Oct 18, 2006 18:06 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 3,868 | $25.83 | $99,903.09 |
DisclosureSEC source: 0000018230-06-000432 · edgar.xml · nonDerivative · entry 5 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,680 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 16, 2006 Filed Oct 18, 2006 18:06 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,435 | $69.63 | $99,911.88 |
DisclosureSEC source: 0000018230-06-000432 · edgar.xml · nonDerivative · entry 4 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,812 Read SEC document |
| October 16, 2006 Filed Oct 18, 2006 18:06 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 3,590 | $27.84 | $99,959.24 |
DisclosureSEC source: 0000018230-06-000432 · edgar.xml · nonDerivative · entry 3 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,247 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 16, 2006 Filed Oct 18, 2006 18:06 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,436 | $69.63 | $99,981.50 |
DisclosureSEC source: 0000018230-06-000432 · edgar.xml · nonDerivative · entry 2 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,657 Read SEC document |
| October 16, 2006 Filed Oct 18, 2006 18:06 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 3,208 | $31.17 | $99,999.46 |
DisclosureSEC source: 0000018230-06-000432 · edgar.xml · nonDerivative · entry 1 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,093 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, 2006 Filed Mar 6, 2006 15:35 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 588 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-06-000169 · edgar.xml · derivative · entry 2 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 588 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or other termination of service. F3 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or other termination of service. Read SEC document |
| February 17, 2006 Filed Feb 21, 2006 14:01 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantStock Appreciation Right · Derivative | 48,000 | $0.00 Strike: $72.05 | $0.00 |
DisclosureSEC source: 0000018230-06-000128 · edgar.xml · derivative · entry 2 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,000 Underlying: Common · 48,000 shares Expires 2016-02-17 Read SEC document |
| October 27, 2005 Filed Oct 28, 2005 18:59 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherCommon | 332 | $49.90 | $16,566.80 |
DisclosureSEC source: 0000018230-05-000685 · edgar.xml · nonDerivative · entry 1 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,186 F1 · balance_after: This amount includes 11,300 shares in 401K, 2420 shares in SEIP and 1418 shares in dividend reinvestment. Read SEC document |
| July 26, 2005 Filed Jul 28, 2005 16:08 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 9,750 | $0.00 Strike: $26.77 | $0.00 |
DisclosureSEC source: 0000018230-05-000500 · edgar.xml · derivative · entry 9 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 9,750 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. F3 · security: (Right to buy) with tandem tax withholding rights. F4 · 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 26, 2005 Filed Jul 28, 2005 16:08 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 10,392 | $0.00 Strike: $31.17 | $0.00 |
DisclosureSEC source: 0000018230-05-000500 · edgar.xml · derivative · entry 8 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 10,392 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. F3 · security: (Right to buy) with tandem tax withholding rights. F4 · 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 26, 2005 Filed Jul 28, 2005 16:08 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 10,410 | $0.00 Strike: $27.84 | $0.00 |
DisclosureSEC source: 0000018230-05-000500 · edgar.xml · derivative · entry 7 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 10,410 shares Expires 2008-06-09 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · security: (Right to buy) with tandem tax withholding rights. F4 · 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 26, 2005 Filed Jul 28, 2005 16:08 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 4,212 | $0.00 Strike: $25.83 | $0.00 |
DisclosureSEC source: 0000018230-05-000500 · edgar.xml · derivative · entry 6 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 4,212 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. F3 · security: (Right to buy) with tandem tax withholding rights. F4 · 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 26, 2005 Filed Jul 28, 2005 16:08 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 34,764 | $51.87 | $1,803,069.62 |
DisclosureSEC source: 0000018230-05-000500 · edgar.xml · nonDerivative · entry 5 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,854 F1 · balance_after: This amount includes 10,968 shares in 401K, 2420 shares in SEIP and 1418 shares in dividend reinvestment. F2 · balance_after: On July 14, 2005, the common stock of Caterpillar Inc. split 2-for-1, resulting in the reporting person's acquisition of 6524 additional shares of common stock. Read SEC document |
| July 26, 2005 Filed Jul 28, 2005 16:08 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 9,750 | $26.77 | $260,958.75 |
DisclosureSEC source: 0000018230-05-000500 · edgar.xml · nonDerivative · entry 4 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,618 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 26, 2005 Filed Jul 28, 2005 16:08 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 10,392 | $31.17 | $323,938.38 |
DisclosureSEC source: 0000018230-05-000500 · edgar.xml · nonDerivative · entry 3 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,868 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 26, 2005 Filed Jul 28, 2005 16:08 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 10,410 | $27.84 | $289,853.96 |
DisclosureSEC source: 0000018230-05-000500 · edgar.xml · nonDerivative · entry 2 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,476 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 26, 2005 Filed Jul 28, 2005 16:08 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 4,212 | $25.83 | $108,787.96 |
DisclosureSEC source: 0000018230-05-000500 · edgar.xml · nonDerivative · entry 1 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,066 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 04, 2005 Filed Mar 8, 2005 16:49 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 533 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000282 · edgar.xml · derivative · entry 2 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 533 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or other termination of service. F3 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or other termination of service. Read SEC document |
| February 18, 2005 Filed Feb 22, 2005 16:51 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherOption (NQ) · Derivative | 35,000 | $0.00 Strike: $91.29 | $0.00 |
DisclosureSEC source: 0000018230-05-000153 · edgar.xml · derivative · entry 2 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,000 Underlying: Common · 35,000 shares Expires 2015-02-18 F2 · security: This option was granted with attached tax withholding rights. F3 · kind: Grant to reporting person of option to buy 35,000 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable immediately. F3 · price: Grant to reporting person of option to buy 35,000 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable immediately. F3 · derivative.exercise_date: Grant to reporting person of option to buy 35,000 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable immediately. Read SEC document |
| November 05, 2004 Filed Nov 9, 2004 19:08 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 2,601 | $0.00 Strike: $38.41 | $0.00 |
DisclosureSEC source: 0000018230-04-000636 · edgar.xml · derivative · entry 3 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 2,601 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 |
| November 05, 2004 Filed Nov 9, 2004 19:08 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,149 | $86.89 | $99,836.61 |
DisclosureSEC source: 0000018230-04-000636 · edgar.xml · nonDerivative · entry 2 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,297 F1 · balance_after: This amount includes 5150 shares in 401K, 1036 shares in SEIP and 587 shares in dividend reinvestment. Read SEC document |
| November 05, 2004 Filed Nov 9, 2004 19:08 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 2,601 | $38.41 | $99,894.79 |
DisclosureSEC source: 0000018230-04-000636 · edgar.xml · nonDerivative · entry 1 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,446 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 08, 2004 Filed Jun 10, 2004 15:02 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherOption (NQ) · Derivative | 32,000 | $0.00 Strike: $77.26 | $0.00 |
DisclosureSEC source: 0000018230-04-000393 · edgar.xml · derivative · entry 2 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,000 Underlying: Common · 32,000 shares Expires 2014-06-08 F2 · security: This option was granted with attached tax withholding rights. F3 · kind: Grant to reporting person of option to buy 32,000 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. F3 · price: Grant to reporting person of option to buy 32,000 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. F3 · derivative.exercise_date: Grant to reporting person of option to buy 32,000 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| April 01, 2004 Filed Apr 2, 2004 14:41 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon | 1,000 | $79.27 | $79,270.00 |
DisclosureSEC source: 0000018230-04-000203 · edgar.xml · nonDerivative · entry 1 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,247 F2 · kind: Restricted stock awarded pursuant to Caterpillar Inc. 1996 Stock Option and Long-Term Incentive Plan. F1 · balance_after: This amount includes 4,840 shares in 401K, 798 shares in SEIP and 537 shares in dividend reinvestment. Read SEC document |
| March 31, 2004 Filed Apr 19, 2004 19:02 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 524 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000265 · edgar.xml · derivative · entry 2 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 524 shares Expires 1988-08-08 F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or other termination of service. F3 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or other termination of service. Read SEC document |
| January 20, 2004 Filed Jan 20, 2004 19:18 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 61 | $83.11 | $5,069.71 |
DisclosureSEC source: 0000018230-04-000079 · edgar.xml · nonDerivative · entry 1 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,247 F1 · balance_after: This amount includes 4,840 shares in 401K, 798 shares in SEIP and 537 shares in dividend reinvestment. Read SEC document |
| July 24, 2003 Filed Jul 25, 2003 12:40 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 4,494 | $0.00 Strike: $38.41 | $0.00 |
DisclosureSEC source: 0000018230-03-000333 · edgar.xml · derivative · entry 5 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 4,494 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 |
| July 24, 2003 Filed Jul 25, 2003 12:40 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 1,002 | $0.00 Strike: $32.91 | $0.00 |
DisclosureSEC source: 0000018230-03-000333 · edgar.xml · derivative · entry 4 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 1,002 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 |
| July 24, 2003 Filed Jul 25, 2003 12:40 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 4,494 | $38.41 | $172,597.91 |
DisclosureSEC source: 0000018230-03-000333 · edgar.xml · nonDerivative · entry 3 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,872 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 3083 shares in EIP-1, 1601 shares in 401K, 625 shares in SEIP and 430 shares in dividend reinvestment. Read SEC document |
| July 24, 2003 Filed Jul 25, 2003 12:40 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 1,002 | $32.91 | $32,972.01 |
DisclosureSEC source: 0000018230-03-000333 · edgar.xml · nonDerivative · entry 2 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,378 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 23, 2003 Filed Jul 25, 2003 12:40 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 5,496 | $64.06 | $352,073.76 |
DisclosureSEC source: 0000018230-03-000333 · edgar.xml · nonDerivative · entry 1 BUDA JAMES B · CIK 0001171771 · VP, General Counsel, Secy. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,376 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.