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 |
|---|---|---|---|---|---|---|
| February 07, 2011 Filed Feb 8, 2011 19:54 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 27,405 | $100.15 | $2,744,610.75 |
DisclosureSEC source: 0000018230-11-000065 · 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: 101,800 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 / conversionCommon | 48,000 | $26.77 | $1,284,720.00 |
DisclosureSEC source: 0000018230-11-000065 · 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: 129,205 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| December 17, 2010 Filed Dec 17, 2010 22:31 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 54 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000576 · 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: 81,129 F1 · balance_after: This amount includes 28,170 shares in 401K and 7748 shares in dividend reinvestment. Read SEC document |
| December 08, 2010 Filed Dec 9, 2010 18:37 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 124 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000563 · 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: 42,398 Underlying: Common · 124 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 |
| December 08, 2010 Filed Dec 9, 2010 18:37 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 2,470 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000563 · 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: 81,183 F1 · balance_after: This amount includes 28,170 shares in 401K and 7748 shares in dividend reinvestment. Read SEC document |
| November 30, 2010 Filed Dec 1, 2010 15:12 UTC | ELI LILLY & Co LLY · Entity 2794 | GrantCommon Stock | 4,187 | $34.63 | $144,995.81 |
DisclosureSEC source: 0001209191-10-057440 · doc4.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,396 Read SEC document |
| September 03, 2010 Filed Sep 7, 2010 15:36 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 150 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000445 · edgar.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 84,568 F1 · balance_after: This amount includes 28,088 shares in 401K and 8745 shares in dividend reinvestment. Read SEC document |
| April 30, 2010 Filed May 3, 2010 17:45 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 343 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000225 · edgar.xml · derivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Vice Chairman & CEO-Elect 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,090 Underlying: Common · 343 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 02, 2010 Filed Mar 3, 2010 21:14 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 2,601 | $0.00 Strike: $19.20 | $0.00 |
DisclosureSEC source: 0000018230-10-000134 · edgar.xml · derivative · entry 11 OBERHELMAN DOUGLAS R · CIK 0001171770 · Vice Chairman & CEO-Elect 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 2,601 shares Expires 2010-06-12 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F7 · security: (Right to buy) with tandem tax withholding rights. F8 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| March 02, 2010 Filed Mar 3, 2010 21:14 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 42,798 | $0.00 Strike: $19.20 | $0.00 |
DisclosureSEC source: 0000018230-10-000134 · edgar.xml · derivative · entry 10 OBERHELMAN DOUGLAS R · CIK 0001171770 · Vice Chairman & CEO-Elect 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 42,798 shares Expires 2010-06-12 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F7 · security: (Right to buy) with tandem tax withholding rights. F8 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| March 02, 2010 Filed Mar 3, 2010 21:14 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 854 | $58.42 | $49,890.68 |
DisclosureSEC source: 0000018230-10-000134 · edgar.xml · nonDerivative · entry 6 OBERHELMAN DOUGLAS R · CIK 0001171770 · Vice Chairman & CEO-Elect 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,029 F1 · balance_after: This amount includes 27,094 shares in 401K and 7975 shares in dividend reinvestment. Read SEC document |
| March 02, 2010 Filed Mar 3, 2010 21:14 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 2,601 | $19.20 | $49,947.52 |
DisclosureSEC source: 0000018230-10-000134 · edgar.xml · nonDerivative · entry 5 OBERHELMAN DOUGLAS R · CIK 0001171770 · Vice Chairman & CEO-Elect 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,883 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| March 02, 2010 Filed Mar 3, 2010 21:14 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 25,401 | $58.42 | $1,483,926.42 |
DisclosureSEC source: 0000018230-10-000134 · edgar.xml · nonDerivative · entry 4 OBERHELMAN DOUGLAS R · CIK 0001171770 · Vice Chairman & CEO-Elect 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 78,282 Read SEC document |
| March 02, 2010 Filed Mar 3, 2010 21:14 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 42,798 | $19.20 | $821,858.55 |
DisclosureSEC source: 0000018230-10-000134 · edgar.xml · nonDerivative · entry 3 OBERHELMAN DOUGLAS R · CIK 0001171770 · Vice Chairman & CEO-Elect 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 103,683 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| March 02, 2010 Filed Mar 4, 2010 18:52 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionRestricted Stock Units · Derivative | 4,832 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-10-000153 · edgar.xml · derivative · entry 4 OBERHELMAN DOUGLAS R · CIK 0001171770 · Vice Chairman & CEO-Elect 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 4,832 shares Expires 2010-03-02 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: Each restricted stock unit represents the equivalent of one share of Caterpillar common stock. On March 2, 2010, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar common stock. F4 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar common stock. On March 2, 2010, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar common stock. Read SEC document |
| March 02, 2010 Filed Mar 4, 2010 18:52 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,907 | $58.42 | $111,406.94 |
DisclosureSEC source: 0000018230-10-000153 · edgar.xml · nonDerivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Vice Chairman & CEO-Elect 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,954 F5 · kind: Amount reflects shares surrendered to satisfy tax withholding requirements upon the vesting of restricted stock units. F1 · balance_after: This amount includes 27,094 shares in 401K and 7975 shares in dividend reinvestment. Read SEC document |
| March 02, 2010 Filed Mar 4, 2010 18:52 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 4,832 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-10-000153 · edgar.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Vice Chairman & CEO-Elect 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 84,861 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 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar common stock. On March 2, 2010, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar common stock. Read SEC document |
| March 01, 2010 Filed Mar 3, 2010 21:14 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantRestricted Stock Units · Derivative | 9,271 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000134 · edgar.xml · derivative · entry 9 OBERHELMAN DOUGLAS R · CIK 0001171770 · Vice Chairman & CEO-Elect 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,271 Underlying: Common · 9,271 shares Expires not disclosed F5 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Caterpillar common stock. F4 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 1, 2013. F4 · derivative.expiration_date: The restricted stock units and stock appreciation rights vest on March 1, 2013. Read SEC document |
| March 01, 2010 Filed Mar 3, 2010 21:14 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantStock Appreciation Rights · Derivative | 272,282 | $0.00 Strike: $57.85 | $0.00 |
DisclosureSEC source: 0000018230-10-000134 · edgar.xml · derivative · entry 8 OBERHELMAN DOUGLAS R · CIK 0001171770 · Vice Chairman & CEO-Elect 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 272,282 Underlying: Common · 272,282 shares Expires 2020-03-01 F4 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 1, 2013. Read SEC document |
| March 01, 2010 Filed Mar 3, 2010 21:14 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 196 | $57.82 | $11,331.74 |
DisclosureSEC source: 0000018230-10-000134 · edgar.xml · nonDerivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Vice Chairman & CEO-Elect 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,885 F6 · kind: Amount reflects shares surrendered to satisfy tax withholding requirements upon the vesting of restricted stock units. Read SEC document |
| March 01, 2010 Filed Mar 3, 2010 21:14 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 99 | $57.82 | $5,723.69 |
DisclosureSEC source: 0000018230-10-000134 · edgar.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Vice Chairman & CEO-Elect 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,081 F6 · kind: Amount reflects shares surrendered to satisfy tax withholding requirements upon the vesting of restricted stock units. Read SEC document |
| February 05, 2010 Filed Feb 8, 2010 14:24 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 9,123 | $51.60 | $470,711.22 |
DisclosureSEC source: 0000018230-10-000073 · edgar.xml · nonDerivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Vice Chairman & CEO-Elect 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,180 F1 · balance_after: This amount includes 27,094 shares in 401K and 7975 shares in dividend reinvestment. Read SEC document |
| February 05, 2010 Filed Feb 8, 2010 14:24 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 10,699 | $51.47 | $550,671.11 |
DisclosureSEC source: 0000018230-10-000073 · edgar.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Vice Chairman & CEO-Elect 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,303 Read SEC document |
| December 31, 2009 Filed Jan 4, 2010 21:47 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 364 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000029 · edgar.xml · derivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Vice Chairman & CEO-Elect 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,747 Underlying: Common · 364 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 |
| December 21, 2009 Filed Dec 21, 2009 20:58 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 3,369 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000559 · edgar.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Vice Chairman & CEO-Elect 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,848 F1 · balance_after: This amount includes 26,940 shares in 401K and 7975 shares in dividend reinvestment. Read SEC document |
| November 30, 2009 Filed Dec 1, 2009 17:31 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 125 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000543 · edgar.xml · derivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Vice Chairman & CEO-Elect 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,383 Underlying: Common · 125 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 |
| November 30, 2009 Filed Dec 1, 2009 21:20 UTC | ELI LILLY & Co LLY · Entity 2794 | GrantCommon Stock | 4,040 | $35.89 | $144,995.60 |
DisclosureSEC source: 0001209191-09-054812 · doc4.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,040 Read SEC document |
| October 30, 2009 Filed Nov 2, 2009 19:43 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 305 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000492 · edgar.xml · derivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,258 Underlying: Common · 305 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 |
| September 30, 2009 Filed Oct 1, 2009 19:36 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 142 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000411 · edgar.xml · derivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,953 Underlying: Common · 142 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 |
| August 31, 2009 Filed Sep 1, 2009 18:45 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 161 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000365 · edgar.xml · derivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,811 Underlying: Common · 161 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 |
| August 04, 2009 Filed Aug 5, 2009 15:59 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 2,601 | $0.00 Strike: $19.20 | $0.00 |
DisclosureSEC source: 0000018230-09-000316 · edgar.xml · derivative · entry 4 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 2,601 shares Expires 2010-06-12 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. 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 |
| August 04, 2009 Filed Aug 5, 2009 15:59 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,069 | $46.68 | $49,900.92 |
DisclosureSEC source: 0000018230-09-000316 · edgar.xml · nonDerivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 81,684 F1 · balance_after: This amount includes 26,826 shares in 401K and 5556 shares in dividend reinvestment. Read SEC document |
| August 04, 2009 Filed Aug 5, 2009 15:59 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 2,601 | $19.20 | $49,947.52 |
DisclosureSEC source: 0000018230-09-000316 · edgar.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,753 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| July 31, 2009 Filed Aug 3, 2009 19:41 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 165 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000304 · edgar.xml · derivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,650 Underlying: Common · 165 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 |
| June 30, 2009 Filed Jul 1, 2009 21:19 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 488 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000255 · edgar.xml · derivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,485 Underlying: Common · 488 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 |
| May 29, 2009 Filed Jun 1, 2009 20:02 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 200 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000214 · edgar.xml · derivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,997 Underlying: Common · 200 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 |
| April 01, 2009 Filed Apr 2, 2009 16:10 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 789 | $28.50 | $22,486.50 |
DisclosureSEC source: 0000018230-09-000130 · edgar.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 78,819 F4 · kind: Amount reflects shares sold to satisfy tax withholding requirements upon the vesting of previously restricted stock. F1 · balance_after: This amount includes 26,488 shares in 401K and 4561 shares in dividend reinvestment. Read SEC document |
| March 06, 2009 Filed Mar 10, 2009 15:51 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 3,649 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000105 · edgar.xml · derivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,053 Underlying: Common · 3,649 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 02, 2009 Filed Mar 4, 2009 18:14 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantRestricted Stock Units · Derivative | 7,335 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000090 · edgar.xml · derivative · entry 5 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,335 Underlying: Common · 7,335 shares Expires not disclosed F5 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Caterpillar common stock. F4 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 2, 2012. F4 · derivative.expiration_date: The restricted stock units and stock appreciation rights vest on March 2, 2012. Read SEC document |
| March 02, 2009 Filed Mar 4, 2009 18:14 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantStock Appreciation Rights · Derivative | 166,252 | $0.00 Strike: $22.17 | $0.00 |
DisclosureSEC source: 0000018230-09-000090 · edgar.xml · derivative · entry 4 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 166,252 Underlying: Common · 166,252 shares Expires 2019-03-02 F4 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 2, 2012. Read SEC document |
| March 02, 2009 Filed Mar 4, 2009 18:14 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 132 | $23.09 | $3,047.88 |
DisclosureSEC source: 0000018230-09-000090 · edgar.xml · nonDerivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,953 F6 · kind: Amount reflects shares sold to satisfy tax withholding requirements upon the vesting of previously restricted stock. F1 · balance_after: This amount includes 24,833 shares in 401K and 4561 shares in dividend reinvestment. Read SEC document |
| March 02, 2009 Filed Mar 4, 2009 18:14 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 264 | $23.09 | $6,095.76 |
DisclosureSEC source: 0000018230-09-000090 · edgar.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 78,085 F6 · kind: Amount reflects shares sold to satisfy tax withholding requirements upon the vesting of previously restricted stock. Read SEC document |
| December 31, 2008 Filed Jan 5, 2009 17:28 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 761 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000019 · edgar.xml · derivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,404 Underlying: Common · 761 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 |
| December 15, 2008 Filed Dec 16, 2008 16:18 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 448 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000436 · edgar.xml · nonDerivative · entry 3 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,638 F1 · balance_after: This amount includes 24,408 shares in 401K and 3275 shares in dividend reinvestment. Read SEC document |
| December 12, 2008 Filed Dec 16, 2008 16:18 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 1,106 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000436 · edgar.xml · nonDerivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,086 Read SEC document |
| December 10, 2008 Filed Dec 11, 2008 20:59 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 38,792 | $0.00 Strike: $31.17 | $0.00 |
DisclosureSEC source: 0000018230-08-000433 · edgar.xml · derivative · entry 7 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 38,792 shares Expires 2009-06-08 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · security: (Right to buy) with tandem tax withholding rights. F5 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| December 10, 2008 Filed Dec 11, 2008 20:59 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 3,208 | $0.00 Strike: $31.17 | $0.00 |
DisclosureSEC source: 0000018230-08-000433 · edgar.xml · derivative · entry 6 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 3,208 shares Expires 2009-06-08 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. 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 |
| December 10, 2008 Filed Dec 11, 2008 20:59 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 31,972 | $43.93 | $1,404,370.10 |
DisclosureSEC source: 0000018230-08-000433 · edgar.xml · nonDerivative · entry 4 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,385 F1 · balance_after: This amount includes 24,408 shares in 401K and 3275 shares in dividend reinvestment. Read SEC document |
| December 10, 2008 Filed Dec 11, 2008 20:59 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 38,792 | $31.17 | $1,209,220.34 |
DisclosureSEC source: 0000018230-08-000433 · edgar.xml · nonDerivative · entry 3 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 112,357 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| December 10, 2008 Filed Dec 11, 2008 20:59 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 2,276 | $43.93 | $99,973.30 |
DisclosureSEC source: 0000018230-08-000433 · edgar.xml · nonDerivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,565 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.