Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ELI LILLY & CoLLY · Entity 2794 | Director | November 28, 2014 | December 02, 2014 |
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.
ELI LILLY & Co
Report date November 28, 2014 · Filed December 02, 2014
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 22,675 |
Reported balance
After 2014-11-28 transaction · row 1
1 source rowRow 1 · 2014-11-28 · Grant · Acquired 2,155 · Balance 22,675 |
Past disclosures · reporting ended (2)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
CATERPILLAR INC
Report date March 31, 2017 · Filed April 03, 2017
Section 16 reporting ended · disclosed 2017-04-03. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Phantom Stock UnitsSEC Table II · derivative / convertible security | Direct | 72,355 |
Reported balance
After 2017-03-31 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2017-03-31 · Grant · Acquired 126 · Balance 72,355 F1: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2: This total includes 84 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $92.76 and 42 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3: The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirment or separation from service. |
Filing footnotes · ownership attribution and instrument terms
F1: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock.
F2: This total includes 84 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $92.76 and 42 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.
F3: The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirment or separation from service.
EXXON MOBIL CORP
Report date June 21, 2021 · Filed June 23, 2021
Section 16 reporting ended · disclosed 2021-06-23. Current position is not established by this disclosure.
No balance rows disclosed in this filing.
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 |
|---|---|---|---|---|---|---|
| August 31, 2015 Filed Sep 2, 2015 20:36 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 157 | $76.44 | $12,001.08 |
DisclosureSEC source: 0000018230-15-000295 · edgar.xml · derivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,571 Underlying: Common Stock · 157 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 105 shares that were credited to the reporting person's account under the Caterpillar Inc. Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $76.44 and 52 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| July 31, 2015 Filed Aug 4, 2015 19:37 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 153 | $78.63 | $12,030.39 |
DisclosureSEC source: 0000018230-15-000272 · edgar.xml · derivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,414 Underlying: Common Stock · 153 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 102 shares that were credited to the reporting person's account under the Caterpillar Inc. Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $78.63 and 51shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| June 30, 2015 Filed Jul 2, 2015 21:18 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 141 | $84.82 | $11,959.62 |
DisclosureSEC source: 0000018230-15-000248 · edgar.xml · derivative · entry 4 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,261 Underlying: Common Stock · 141 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 94 shares that were credited to the reporting person's account under the Caterpillar Inc. Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $84.82 and 47 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F4 · derivative.exercise_date: The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · derivative.expiration_date: The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| June 25, 2015 Filed Jul 2, 2015 21:18 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon Stock | 827 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-15-000248 · edgar.xml · nonDerivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 193,797 Read SEC document |
| June 24, 2015 Filed Jul 2, 2015 21:18 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon Stock | 627 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-15-000248 · edgar.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 194,624 Read SEC document |
| May 29, 2015 Filed Jun 2, 2015 21:45 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 141 | $85.32 | $12,030.12 |
DisclosureSEC source: 0000018230-15-000199 · edgar.xml · derivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,120 Underlying: Common Stock · 141 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 94 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $85.32 and 47 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| April 30, 2015 Filed May 4, 2015 20:02 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 138 | $86.88 | $11,989.44 |
DisclosureSEC source: 0000018230-15-000163 · edgar.xml · derivative · entry 3 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,979 Underlying: Common Stock · 138 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 92 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $86.88 and 46 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F4 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and 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 |
| April 24, 2015 Filed May 4, 2015 20:02 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon Stock | 2,700 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-15-000163 · edgar.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 195,251 Read SEC document |
| March 31, 2015 Filed Apr 2, 2015 15:40 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 150 | $80.03 | $12,004.50 |
DisclosureSEC source: 0000018230-15-000141 · edgar.xml · derivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,908 Underlying: Common Stock · 150 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 100 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $80.03 and 50 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| March 11, 2015 Filed Mar 12, 2015 15:44 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 4,517 | $79.70 | $360,004.90 |
DisclosureSEC source: 0000018230-15-000119 · edgar.xml · derivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,758 Underlying: Common Stock · 4,517 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 3011 shares which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $79.70 and 1506 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| March 02, 2015 Filed Mar 4, 2015 20:36 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Option · Derivative | 413,776 | $0.00 Strike: $83.00 | $0.00 |
DisclosureSEC source: 0000018230-15-000073 · edgar.xml · derivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 413,776 Underlying: Common Stock · 413,776 shares Expires 2025-03-02 F1 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan and vest equally in 1/3 increments beginning on the first anniversary of the grant date. Read SEC document |
| February 27, 2015 Filed Mar 3, 2015 19:42 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 2 | $82.90 | $165.80 |
DisclosureSEC source: 0000018230-15-000069 · edgar.xml · derivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,241 Underlying: Common Stock · 2 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 1 share which was credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $82.90 and 1 share that was contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| December 31, 2014 Filed Jan 5, 2015 19:30 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 130 | $92.59 | $12,036.70 |
DisclosureSEC source: 0000018230-15-000010 · edgar.xml · derivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,239 Underlying: Common Stock · 130 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 87 shares which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $92.59 and 43 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| November 28, 2014 Filed Dec 2, 2014 20:03 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 119 | $100.60 | $11,971.40 |
DisclosureSEC source: 0000018230-14-000419 · edgar.xml · derivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,109 Underlying: Common Stock · 119 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 79 shares which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $100.60 and 40 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| November 28, 2014 Filed Dec 2, 2014 21:01 UTC | ELI LILLY & Co LLY · Entity 2794 | GrantCommon Stock | 2,155 | $67.29 | $145,009.95 |
DisclosureSEC source: 0000059478-14-000210 · wf-form4_141755410104755.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,675 Read SEC document |
| November 24, 2014 Filed Nov 25, 2014 19:28 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 70,000 | $0.00 Strike: $45.64 | $0.00 |
DisclosureSEC source: 0000018230-14-000417 · edgar.xml · derivative · entry 4 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 70,000 shares Expires 2015-02-18 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 24, 2014 Filed Nov 25, 2014 19:28 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon Stock | 6,099 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000417 · edgar.xml · nonDerivative · entry 3 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 229,894 Read SEC document |
| November 24, 2014 Filed Nov 25, 2014 19:28 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 48,888 | $105.78 | $5,171,538.86 |
DisclosureSEC source: 0000018230-14-000417 · edgar.xml · nonDerivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 235,993 Read SEC document |
| November 24, 2014 Filed Nov 25, 2014 19:28 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 70,000 | $45.64 | $3,194,975.00 |
DisclosureSEC source: 0000018230-14-000417 · edgar.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 284,881 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 31, 2014 Filed Nov 3, 2014 20:18 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 118 | $101.41 | $11,966.38 |
DisclosureSEC source: 0000018230-14-000388 · edgar.xml · derivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,990 Underlying: Common Stock · 118 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 79 shares which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $101.41 and 39 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| October 24, 2014 Filed Oct 28, 2014 16:23 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 70,000 | $0.00 Strike: $45.64 | $0.00 |
DisclosureSEC source: 0000018230-14-000383 · edgar.xml · derivative · entry 4 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,000 Underlying: Common Stock · 70,000 shares Expires 2015-02-18 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| October 24, 2014 Filed Oct 28, 2014 16:23 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 49,982 | $99.03 | $4,949,467.55 |
DisclosureSEC source: 0000018230-14-000383 · edgar.xml · nonDerivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 225,847 Read SEC document |
| October 24, 2014 Filed Oct 28, 2014 16:23 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 70,000 | $45.64 | $3,194,975.00 |
DisclosureSEC source: 0000018230-14-000383 · edgar.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 275,829 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 |
| September 30, 2014 Filed Oct 2, 2014 19:10 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 121 | $99.03 | $11,982.63 |
DisclosureSEC source: 0000018230-14-000368 · edgar.xml · derivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,872 Underlying: Common Stock · 121 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 81 shares which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $99.03 and 40 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| August 29, 2014 Filed Sep 3, 2014 18:18 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 110 | $109.07 | $11,997.70 |
DisclosureSEC source: 0000018230-14-000332 · edgar.xml · derivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,751 Underlying: Common Stock · 110 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 73 shares which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $109.07 and 37 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| July 31, 2014 Filed Aug 4, 2014 18:45 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 119 | $108.67 | $12,931.73 |
DisclosureSEC source: 0000018230-14-000307 · edgar.xml · derivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,641 Underlying: Common Stock · 119 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 79 shares which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $100.75 and 40 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| June 30, 2014 Filed Jul 2, 2014 20:53 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 110 | $108.67 | $11,953.70 |
DisclosureSEC source: 0000018230-14-000275 · edgar.xml · derivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,522 Underlying: Common Stock · 110 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 73 shares which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $108.67 and 37 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| June 06, 2014 Filed Oct 28, 2014 16:23 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon Stock | 12,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000383 · edgar.xml · nonDerivative · entry 3 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 214,881 F1 · balance_after: Includes adjustments for dividends accrued and shares acquired under Caterpillar Inc.'s 401(k) plan. Read SEC document |
| May 30, 2014 Filed Jun 3, 2014 20:23 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 117 | $102.23 | $11,960.91 |
DisclosureSEC source: 0000018230-14-000217 · edgar.xml · derivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,412 Underlying: Common Stock · 117 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 78 shares which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $102.23 and 39 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes phantom stock units acquired under Tax-Conditioned Plan. Read SEC document |
| April 30, 2014 Filed May 1, 2014 21:56 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 114 | $105.40 | $12,015.60 |
DisclosureSEC source: 0000018230-14-000155 · edgar.xml · derivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,258 Underlying: Common Stock · 114 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 76 shares which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $105.40 and 38 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| April 11, 2014 Filed May 1, 2014 21:56 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon Stock | 1,046 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000155 · edgar.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 205,829 Read SEC document |
| March 31, 2014 Filed Apr 2, 2014 16:03 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 121 | $99.37 | $12,023.77 |
DisclosureSEC source: 0000018230-14-000122 · edgar.xml · derivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,144 Underlying: Common Stock · 121 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 81 shares which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $99.37 and 40 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| March 03, 2014 Filed Mar 5, 2014 19:51 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Option · Derivative | 283,790 | $0.00 Strike: $96.31 | $0.00 |
DisclosureSEC source: 0000018230-14-000110 · edgar.xml · derivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 283,790 Underlying: Common Stock · 283,790 shares Expires 2024-03-03 Read SEC document |
| February 28, 2014 Filed Mar 4, 2014 21:18 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 6 | $96.97 | $581.82 |
DisclosureSEC source: 0000018230-14-000088 · edgar.xml · derivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,023 Underlying: Common Stock · 6 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 4 shares which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $96.97 and 2 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. Read SEC document |
| January 31, 2014 Filed Feb 4, 2014 19:16 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 140,000 | $0.00 Strike: $38.63 | $0.00 |
DisclosureSEC source: 0000018230-14-000041 · edgar.xml · derivative · entry 3 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 140,000 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. F1 · shares: This option was previously reported as covering 70,000 shares at an exercise price of $77.255 per share, but was adjusted to reflect the two for one stock split that occured on June 22, 2005. Read SEC document |
| January 31, 2014 Filed Feb 4, 2014 19:16 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 94,892 | $93.35 | $8,858,168.20 |
DisclosureSEC source: 0000018230-14-000041 · edgar.xml · nonDerivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 206,875 Read SEC document |
| January 31, 2014 Filed Feb 4, 2014 19:16 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 140,000 | $38.63 | $5,407,850.00 |
DisclosureSEC source: 0000018230-14-000041 · edgar.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 301,767 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 · shares: This option was previously reported as covering 70,000 shares at an exercise price of $77.255 per share, but was adjusted to reflect the two for one stock split that occured on June 22, 2005. Read SEC document |
| December 31, 2013 Filed Jan 3, 2014 16:27 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 132 | $90.81 | $11,986.92 |
DisclosureSEC source: 0000018230-14-000028 · edgar.xml · derivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,017 Underlying: Common Stock · 132 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 88 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 44 phantom stock units 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 tol be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units are tol 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 20:39 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 142 | $84.60 | $12,013.20 |
DisclosureSEC source: 0000018230-13-000499 · edgar.xml · derivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,885 Underlying: Common Stock · 142 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 95 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 47 phantom stock units 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 tol be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units are tol 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 20:35 UTC | ELI LILLY & Co LLY · Entity 2794 | GrantCommon Stock | 2,841 | $51.03 | $144,976.23 |
DisclosureSEC source: 0000059478-13-000110 · wf-form4_138610290276430.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,861 Read SEC document |
| November 13, 2013 Filed Dec 3, 2013 20:39 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon Stock | 97 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000499 · edgar.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 161,767 Read SEC document |
| October 31, 2013 Filed Nov 4, 2013 18:22 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 144 | $83.36 | $12,003.84 |
DisclosureSEC source: 0000018230-13-000465 · edgar.xml · derivative · entry 3 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,743 Underlying: Common Stock · 144 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 96 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 48 phantom stock units 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 tol be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · derivative.expiration_date: The phantom stock units are tol 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 |
| October 21, 2013 Filed Nov 4, 2013 18:22 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon Stock | 20,223 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000465 · edgar.xml · nonDerivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 161,864 F1 · balance_after: Includes adjustments for dividends accrued and shares acquired under Caterpillar Inc.'s 401(k) plan. Read SEC document |
| September 30, 2013 Filed Oct 2, 2013 15:44 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 144 | $83.40 | $12,009.60 |
DisclosureSEC source: 0000018230-13-000426 · edgar.xml · derivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,992 Underlying: Common Stock · 144 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 96 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 48 phantom stock units 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 tol be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units are tol be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| September 11, 2013 Filed Nov 4, 2013 18:22 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon Stock | 1,848 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000465 · edgar.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 180,459 Read SEC document |
| August 30, 2013 Filed Sep 3, 2013 19:50 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 145 | $82.54 | $11,968.30 |
DisclosureSEC source: 0000018230-13-000372 · edgar.xml · derivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,848 Underlying: Common Stock · 145 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 97 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 48 phantom stock units 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 tol be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units are tol be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| July 26, 2013 Filed Aug 2, 2013 16:20 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 146 | $82.06 | $11,980.76 |
DisclosureSEC source: 0000018230-13-000361 · edgar.xml · derivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,703 Underlying: Common Stock · 146 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 97 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 49 phantom stock units 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 tol be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units are tol 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 17:59 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 145 | $82.49 | $11,961.05 |
DisclosureSEC source: 0000018230-13-000325 · edgar.xml · derivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,557 Underlying: Common Stock · 145 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 97 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 48 phantom stock units 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 tol be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units are tol 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 20:53 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 140 | $85.80 | $12,012.00 |
DisclosureSEC source: 0000018230-13-000272 · edgar.xml · derivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,412 Underlying: Common Stock · 140 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: Includes 93 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 $85.80 and 47 phantom stock units 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 |
| April 30, 2013 Filed May 2, 2013 15:41 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 141 | $84.67 | $11,938.47 |
DisclosureSEC source: 0000018230-13-000233 · edgar.xml · derivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,264 Underlying: Common Stock · 141 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: Includes 94 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 $84.67 and 47 phantom stock units 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. 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.