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 |
|---|---|---|---|---|---|---|
| April 26, 2013 Filed Jun 4, 2013 20:53 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon Stock | 180 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000272 · 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: 182,307 Read SEC document |
| March 28, 2013 Filed Apr 1, 2013 22:02 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 138 | $86.97 | $12,001.86 |
DisclosureSEC source: 0000018230-13-000191 · 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: 55,123 Underlying: Common Stock · 138 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 92 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 $86.97 and 46 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 598 phantom stock units acquired under Tax-Conditioned Plans. Read SEC document |
| March 04, 2013 Filed Mar 5, 2013 22:22 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Options (right to buy) · Derivative | 281,090 | $0.00 Strike: $89.75 | $0.00 |
DisclosureSEC source: 0000018230-13-000114 · 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: 281,090 Underlying: Common Stock · 281,090 shares Expires 2023-03-04 Read SEC document |
| March 04, 2013 Filed Mar 7, 2013 00:52 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 4,353 | $91.05 | $396,318.89 |
DisclosureSEC source: 0000018230-13-000157 · 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: 182,487 Read SEC document |
| March 01, 2013 Filed Mar 7, 2013 00:52 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionRestricted Stock Units · Derivative | 9,271 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-13-000157 · 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 · 9,271 shares Expires 2013-03-01 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 1, 2013, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar Inc. common stock. F1 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 1, 2013, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar Inc. common stock. Read SEC document |
| March 01, 2013 Filed Mar 7, 2013 00:52 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 9,271 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-13-000157 · 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: 186,840 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 1, 2013, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar Inc. common stock. F2 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| January 03, 2013 Filed Jan 7, 2013 19:21 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 138 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000022 · 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: 54,387 Underlying: Common Stock · 138 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled 100% in cash upon the reporting person's retirement or separation from service. F2 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled 100% in cash upon the reporting person's retirement or separation from service. Read SEC document |
| December 18, 2012 Filed Dec 18, 2012 21:46 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 140,000 | $0.00 Strike: $27.14 | $0.00 |
DisclosureSEC source: 0000018230-12-000581 · 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 · 140,000 shares Expires 2013-06-10 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 · derivative.exercise_date: Exercisable in thirds beginning 1 year after the initial grant date of June 10, 2003. (1/3 after one year; 1/3 after two years; 1/3 after 3 years). Read SEC document |
| December 18, 2012 Filed Dec 18, 2012 21:46 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 82,943 | $89.30 | $7,406,809.90 |
DisclosureSEC source: 0000018230-12-000581 · 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: 175,993 F1 · balance_after: This amount includes 29842 shares in 401K and 9256 shares in dividend reinvestment. Read SEC document |
| December 18, 2012 Filed Dec 18, 2012 21:46 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 140,000 | $27.14 | $3,799,600.00 |
DisclosureSEC source: 0000018230-12-000581 · 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: 258,936 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. F1 · balance_after: This amount includes 29842 shares in 401K and 9256 shares in dividend reinvestment. Read SEC document |
| December 07, 2012 Filed Dec 18, 2012 21:46 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 120 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000581 · 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: 118,936 F1 · balance_after: This amount includes 29842 shares in 401K and 9256 shares in dividend reinvestment. Read SEC document |
| November 30, 2012 Filed Dec 3, 2012 19:38 UTC | ELI LILLY & Co LLY · Entity 2794 | GrantCommon Stock | 3,083 | $47.03 | $144,993.49 |
DisclosureSEC source: 0001209191-12-055289 · doc4.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,427 Read SEC document |
| November 30, 2012 Filed Dec 4, 2012 21:17 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 141 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000542 · 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: 54,249 Underlying: Common · 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 · 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 |
| November 27, 2012 Filed Dec 4, 2012 21:17 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 3,857 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000542 · 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: 119,056 F1 · balance_after: This amount includes 29842 shares in 401K and 9256 shares in dividend reinvestment. Read SEC document |
| October 31, 2012 Filed Nov 2, 2012 20:32 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 426 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000514 · 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: 54,108 Underlying: Common · 426 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 · 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 |
| October 02, 2012 Filed Nov 2, 2012 20:32 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 21,071 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000514 · 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: 122,913 F1 · balance_after: This amount includes 29842 shares in 401K and 9256 shares in dividend reinvestment. Read SEC document |
| September 28, 2012 Filed Oct 2, 2012 15:35 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 139 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000479 · 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: 53,682 Underlying: Common · 139 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 · 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 |
| August 31, 2012 Filed Sep 5, 2012 18:08 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 141 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000421 · 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: 53,543 Underlying: Common · 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 · 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 412 units acquired under Tax-Conditioned Plans. Read SEC document |
| July 31, 2012 Filed Aug 2, 2012 14:07 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 143 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000406 · 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: 53,402 Underlying: Common · 143 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 · 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 412 units acquired under Tax-Conditioned Plans. Read SEC document |
| June 29, 2012 Filed Jul 3, 2012 17:30 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 141 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000369 · 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: 52,847 Underlying: Common · 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 · 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 |
| May 31, 2012 Filed Jun 4, 2012 21:00 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 137 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000318 · 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: 52,706 Underlying: Common · 137 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 · 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 |
| May 07, 2012 Filed May 8, 2012 15:32 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 42,000 | $0.00 Strike: $25.36 | $0.00 |
DisclosureSEC source: 0000018230-12-000282 · 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 · 42,000 shares Expires 2012-06-12 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. F4 · security: Right to buy with tandem tax withholding rights. F5 · derivative.exercise_date: Exercisable in thirds beginning 1 year after the initial grant date. (1/3 after one year; 1/3 after two years; 1/3 after three years). Read SEC document |
| May 07, 2012 Filed May 8, 2012 15:32 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 23,796 | $97.62 | $2,322,846.54 |
DisclosureSEC source: 0000018230-12-000282 · 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: 143,594 F1 · balance_after: This amount includes 29452 shares in 401K and 9256 shares in dividend reinvestment. Read SEC document |
| May 07, 2012 Filed May 8, 2012 15:32 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 42,000 | $25.36 | $1,065,015.00 |
DisclosureSEC source: 0000018230-12-000282 · 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: 167,390 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 29452 shares in 401K and 9256 shares in dividend reinvestment. Read SEC document |
| April 30, 2012 Filed May 2, 2012 14:05 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 117 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000235 · 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: 52,569 Underlying: Common · 117 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 · 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 |
| March 30, 2012 Filed Apr 3, 2012 21:19 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 95 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000196 · 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: 52,452 Underlying: Common · 95 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 · 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 5529 units acquired under Tax-Conditioned Plans. Read SEC document |
| March 05, 2012 Filed Mar 7, 2012 21:48 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Option (right to buy) · Derivative | 275,000 | $0.00 Strike: $110.09 | $0.00 |
DisclosureSEC source: 0000018230-12-000161 · 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: 275,000 Underlying: Common · 275,000 shares Expires 2022-03-05 Read SEC document |
| March 02, 2012 Filed Mar 6, 2012 22:14 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionRestricted Stock Units · Derivative | 7,335 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000107 · 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 · 7,335 shares Expires 2012-03-02 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 2, 2012, the reporting person's restricted stock units were setted for an equal number of shares of Caterpillar Inc. common stock. F2 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 2, 2012, the reporting person's restricted stock units were setted for an equal number of shares of Caterpillar Inc. common stock. Read SEC document |
| March 02, 2012 Filed Mar 6, 2012 22:14 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 3,041 | $112.87 | $343,237.67 |
DisclosureSEC source: 0000018230-12-000107 · 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: 124,759 F4 · kind: Amount reflects shares surrendered to satisfy tax withholding requirements upon the vesting of restricted stock units. F3 · balance_after: This amount includes 29114 shares in 401K and 8963 shares in dividend reinvestment and 8 shares resulting from a calculation adjustment. Read SEC document |
| March 02, 2012 Filed Mar 6, 2012 22:14 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 7,335 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000107 · 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: 127,800 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 · kind: Represents the vesting of restricted stock units granted to the reporting person on March 2, 2009. F2 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 2, 2012, the reporting person's restricted stock units were setted for an equal number of shares of Caterpillar Inc. common stock. F3 · balance_after: This amount includes 29114 shares in 401K and 8963 shares in dividend reinvestment and 8 shares resulting from a calculation adjustment. Read SEC document |
| January 31, 2012 Filed Feb 2, 2012 14:41 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 40,000 | $0.00 Strike: $25.36 | $0.00 |
DisclosureSEC source: 0000018230-12-000056 · 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: 42,000 Underlying: Common · 40,000 shares Expires 2012-06-11 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: Right to buy with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds beginning 1 year after the initial grant date. (1/3 after one year; 1/3 after two years; 1/3 after three years). Read SEC document |
| January 31, 2012 Filed Feb 2, 2012 14:41 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 21,960 | $110.36 | $2,423,505.60 |
DisclosureSEC source: 0000018230-12-000056 · 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: 118,850 F1 · balance_after: This amount includes 28,722 shares in 401K and 7748 shares in dividend reinvestment. Read SEC document |
| January 31, 2012 Filed Feb 2, 2012 14:41 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 40,000 | $25.36 | $1,014,300.00 |
DisclosureSEC source: 0000018230-12-000056 · 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: 140,818 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 28,722 shares in 401K and 7748 shares in dividend reinvestment. Read SEC document |
| January 17, 2012 Filed Jan 19, 2012 21:14 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 40,000 | $0.00 Strike: $25.36 | $0.00 |
DisclosureSEC source: 0000018230-12-000028 · 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: 82,000 Underlying: Common · 40,000 shares Expires 2012-06-11 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: Right to buy with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds beginning 1 year after the initial grant date. (1/3 after one year; 1/3 after two years; 1/3 after three years). Read SEC document |
| January 17, 2012 Filed Jan 19, 2012 21:14 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 22,331 | $104.06 | $2,323,763.86 |
DisclosureSEC source: 0000018230-12-000028 · 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: 100,818 F1 · balance_after: This amount includes 28,722 shares in 401K and 7748 shares in dividend reinvestment. Read SEC document |
| January 17, 2012 Filed Jan 19, 2012 21:14 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 40,000 | $25.36 | $1,014,300.00 |
DisclosureSEC source: 0000018230-12-000028 · 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: 123,149 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 28,722 shares in 401K and 7748 shares in dividend reinvestment. Read SEC document |
| December 23, 2011 Filed Dec 27, 2011 19:53 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 545 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000554 · 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: 83,149 F1 · balance_after: This amount includes 28,722 shares in 401K and 7748 shares in dividend reinvestment. Read SEC document |
| December 22, 2011 Filed Dec 23, 2011 16:41 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 11,729 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000552 · 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: 83,694 F1 · balance_after: This amount includes 28,722 shares in 401K and 7748 shares in dividend reinvestment. Read SEC document |
| November 30, 2011 Filed Dec 1, 2011 18:49 UTC | ELI LILLY & Co LLY · Entity 2794 | GrantCommon Stock | 3,990 | $36.34 | $144,996.60 |
DisclosureSEC source: 0001209191-11-058682 · doc4.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,791 Read SEC document |
| September 01, 2011 Filed Sep 9, 2011 19:33 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 120 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000445 · 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: 95,423 F1 · balance_after: This amount includes 28,722 shares in 401K and 7748 shares in dividend reinvestment. Read SEC document |
| July 29, 2011 Filed Aug 2, 2011 20:53 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 292 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000411 · 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: 44,230 Underlying: Common · 292 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 29, 2011 Filed Aug 2, 2011 20:53 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 9,000 | $99.64 | $896,760.00 |
DisclosureSEC source: 0000018230-11-000411 · 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: 95,543 F1 · price: Consideration for shares consisted of equity interest in a privately-held limited liability company. F2 · balance_after: This amount includes 28,722 shares in 401K and 7748 shares in dividend reinvestment. Read SEC document |
| March 07, 2011 Filed Mar 8, 2011 20:34 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantStock Appreciation Rights · Derivative | 226,224 | $0.00 Strike: $102.13 | $0.00 |
DisclosureSEC source: 0000018230-11-000184 · 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: 226,224 Underlying: Common · 226,224 shares Expires 2021-03-07 F4 · derivative.exercise_date: The stock appreciation rights vest on March 7, 2014. Read SEC document |
| March 04, 2011 Filed Mar 7, 2011 19:07 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 1,426 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000138 · 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: 43,938 Underlying: Common · 1,426 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 separation from 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 separation from service. Read SEC document |
| March 03, 2011 Filed Mar 4, 2011 21:25 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionRestricted Stock Units · Derivative | 4,109 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-11-000110 · 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 · 4,109 shares Expires 2011-03-03 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_price: Each restricted stock unit represents the equivalent of one share of Caterpillar common stock. On March 3, 2011, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar common stock. F5 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar common stock. On March 3, 2011, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar common stock. Read SEC document |
| March 03, 2011 Filed Mar 4, 2011 21:25 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,704 | $103.22 | $175,878.36 |
DisclosureSEC source: 0000018230-11-000110 · 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: 104,067 F4 · kind: Amount reflects shares surrendered to satisfy tax withholding requirements upon the vesting of restricted stock. F1 · balance_after: This amount includes 28,246 shares in 401K and 7748 shares in dividend reinvestment. Read SEC document |
| March 03, 2011 Filed Mar 4, 2011 21:25 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 4,109 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-11-000110 · 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: 105,771 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar common stock. On March 3, 2011, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar common stock. Read SEC document |
| March 01, 2011 Filed Mar 2, 2011 22:13 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 138 | $101.47 | $14,002.86 |
DisclosureSEC source: 0000018230-11-000095 · 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: 101,662 F4 · kind: Amount reflects shares surrendered to satisfy tax withholding requirements upon the vesting of restricted stock. F1 · balance_after: This amount includes 28,246 shares in 401K and 7748 shares in dividend reinvestment. Read SEC document |
| February 07, 2011 Filed Feb 8, 2011 19:54 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 48,000 | $0.00 Strike: $26.77 | $0.00 |
DisclosureSEC source: 0000018230-11-000065 · 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 · 48,000 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. 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 |
| February 07, 2011 Filed Feb 8, 2011 19:54 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 114 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000065 · 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: 42,512 Underlying: Common · 114 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 separation from 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 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.