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 |
|---|---|---|---|---|---|---|
| March 02, 2007 Filed Mar 5, 2007 19:12 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantStock Appreciation Rights · Derivative | 125,884 | $0.00 Strike: $63.04 | $0.00 |
DisclosureSEC source: 0000018230-07-000110 · edgar.xml · derivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 125,884 Underlying: Common · 125,884 shares Expires 2017-03-02 F2 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 2, 2010. Read SEC document |
| February 23, 2007 Filed Feb 26, 2007 19:58 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 1,709 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000057 · edgar.xml · derivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 1,709 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or other termination of service. F3 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or other termination of service. Read SEC document |
| December 21, 2006 Filed Dec 22, 2006 14:21 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 3,868 | $0.00 Strike: $25.83 | $0.00 |
DisclosureSEC source: 0000018230-06-000492 · edgar.xml · derivative · entry 3 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 3,868 shares Expires 2007-06-10 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: (Right to buy) with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| December 21, 2006 Filed Dec 22, 2006 14:21 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,638 | $60.96 | $99,852.48 |
DisclosureSEC source: 0000018230-06-000492 · edgar.xml · nonDerivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,345 F1 · balance_after: This amount includes 22,542 shares in 401K, 9808 shares in SEIP and 1587 shares in dividend reinvestment. Read SEC document |
| December 21, 2006 Filed Dec 22, 2006 14:21 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 3,868 | $25.83 | $99,903.09 |
DisclosureSEC source: 0000018230-06-000492 · edgar.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,983 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 04, 2006 Filed Dec 6, 2006 15:17 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 600 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-06-000473 · edgar.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,115 F1 · balance_after: This amount includes 22,542 shares in 401K, 9808 shares in SEIP and 1587 shares in dividend reinvestment. Read SEC document |
| November 21, 2006 Filed Nov 21, 2006 14:23 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 1,300 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-06-000465 · edgar.xml · nonDerivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,715 F1 · balance_after: This amount includes 22,542 shares in 401K, 9808 shares in SEIP and 1587 shares in dividend reinvestment. Read SEC document |
| November 16, 2006 Filed Nov 21, 2006 14:23 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 700 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-06-000465 · edgar.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,015 Read SEC document |
| March 03, 2006 Filed Mar 6, 2006 15:41 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 1,263 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-06-000172 · edgar.xml · derivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 1,263 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or other termination of service. F3 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or other termination of service. Read SEC document |
| March 01, 2006 Filed Mar 3, 2006 14:36 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 920 | $73.95 | $68,029.40 |
DisclosureSEC source: 0000018230-06-000164 · edgar.xml · nonDerivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,260 F3 · kind: Amount reflects shares sold to satisfy tax withholding requirements upon the vesting of previously restricted stock. F1 · balance_after: This amount includes 21,851 shares in 401K, 9094 shares in SEIP and 1537 shares in dividend reinvestment. Read SEC document |
| March 01, 2006 Filed Mar 3, 2006 14:36 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon | 1,000 | $73.95 | $73,945.00 |
DisclosureSEC source: 0000018230-06-000164 · edgar.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,180 F2 · kind: Restricted stock awarded pursuant to Caterpillar Inc. 1996 Stock Option and Long-Term Incentive Plan. Read SEC document |
| February 24, 2006 Filed Feb 27, 2006 18:56 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 1,505 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-06-000145 · edgar.xml · derivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 1,505 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or other termination of service. F3 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or other termination of service. Read SEC document |
| February 17, 2006 Filed Feb 21, 2006 14:18 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantStock Appreciation Right · Derivative | 110,000 | $0.00 Strike: $72.05 | $0.00 |
DisclosureSEC source: 0000018230-06-000131 · edgar.xml · derivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 110,000 Underlying: Common · 110,000 shares Expires 2016-02-17 Read SEC document |
| February 06, 2006 Filed Feb 7, 2006 13:51 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 11,974 | $0.00 Strike: $16.45 | $0.00 |
DisclosureSEC source: 0000018230-06-000109 · edgar.xml · derivative · entry 3 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 11,974 shares Expires 2006-06-11 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: (Right to buy) with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| February 06, 2006 Filed Feb 7, 2006 13:51 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 5,590 | $68.41 | $382,411.90 |
DisclosureSEC source: 0000018230-06-000109 · edgar.xml · nonDerivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,180 F1 · balance_after: This amount includes 21,851 shares in 401K, 9094 shares in SEIP and 1537 shares in dividend reinvestment. Read SEC document |
| February 06, 2006 Filed Feb 7, 2006 13:51 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 11,974 | $16.45 | $197,009.42 |
DisclosureSEC source: 0000018230-06-000109 · edgar.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,770 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 07, 2005 Filed Dec 7, 2005 17:31 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 4,500 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000780 · edgar.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,706 F1 · balance_after: This amount includes 21,724 shares in 401K, 8298 shares in SEIP and 1370 shares in dividend reinvestment. F2 · balance_after: On July 14, 2005, the common stock of Caterpillar Inc. split 2-for-1, resulting in the reporting person's acquisition of 17,907 additional shares of common stock. Read SEC document |
| March 04, 2005 Filed Mar 8, 2005 16:43 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 871 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000277 · edgar.xml · derivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 871 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or other termination of service. F3 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or other termination of service. Read SEC document |
| March 01, 2005 Filed Mar 3, 2005 15:46 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 461 | $96.02 | $44,265.22 |
DisclosureSEC source: 0000018230-05-000261 · edgar.xml · nonDerivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,846 F3 · kind: Amount reflects shares sold to satisfy tax withholding requirements upon the vesting of previously restricted stock. F1 · balance_after: This amount includes 10,431 shares in 401K, 3903 shares in SEIP and 605 shares in dividend reinvestment. Read SEC document |
| March 01, 2005 Filed Mar 3, 2005 15:46 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon | 1,000 | $96.02 | $96,020.00 |
DisclosureSEC source: 0000018230-05-000261 · edgar.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,307 F2 · kind: Restricted stock awarded pursuant to Caterpillar Inc. 1996 Stock Option and Long-Term Incentive Plan. Read SEC document |
| February 18, 2005 Filed Feb 22, 2005 19:32 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 780 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000204 · edgar.xml · derivative · entry 3 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 780 Underlying: Common · 780 shares Expires not disclosed F4 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F5 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or other termination of service. F5 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or other termination of service. Read SEC document |
| February 18, 2005 Filed Feb 22, 2005 19:32 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherOption (NQ) · Derivative | 70,000 | $0.00 Strike: $91.29 | $0.00 |
DisclosureSEC source: 0000018230-05-000204 · edgar.xml · derivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,000 Underlying: Common · 70,000 shares Expires 2015-02-18 F2 · security: This option was granted with attached tax withholding rights. F3 · kind: Grant to reporting person of option to buy 70,000 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable immediately. F3 · price: Grant to reporting person of option to buy 70,000 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable immediately. F3 · derivative.exercise_date: Grant to reporting person of option to buy 70,000 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable immediately. Read SEC document |
| January 13, 2005 Filed Jan 20, 2005 18:56 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 260 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000030 · edgar.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,307 F1 · balance_after: This amount includes 10,431 shares in 401K, 3903 shares in SEIP and 605 shares in dividend reinvestment. Read SEC document |
| June 08, 2004 Filed Jun 9, 2004 21:00 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherOption (NQ) · Derivative | 70,000 | $0.00 Strike: $77.26 | $0.00 |
DisclosureSEC source: 0000018230-04-000364 · edgar.xml · derivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,000 Underlying: Common · 70,000 shares Expires 2014-06-08 F2 · security: This option was granted with attached tax withholding rights. F3 · kind: Grant to reporting person of option to buy 70,000 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. F3 · price: Grant to reporting person of option to buy 70,000 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. F3 · derivative.exercise_date: Grant to reporting person of option to buy 70,000 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| April 01, 2004 Filed Apr 2, 2004 14:40 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon | 3,000 | $79.27 | $237,810.00 |
DisclosureSEC source: 0000018230-04-000202 · edgar.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,130 F2 · kind: Restricted stock awarded pursuant to Caterpillar Inc. 1996 Stock Option and Long-Term Incentive Plan. F1 · balance_after: This amount includes 9891 shares in 401K, 3168 shares in SEIP and 443 shares in dividend reinvestment. Read SEC document |
| March 31, 2004 Filed Apr 19, 2004 18:56 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 800 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000263 · edgar.xml · derivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 800 shares Expires 1988-08-08 F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or other termination of service. F3 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or other termination of service. Read SEC document |
| March 01, 2004 Filed Mar 22, 2004 18:52 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 344 | $76.73 | $26,395.12 |
DisclosureSEC source: 0000018230-04-000174 · edgar.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,130 F2 · kind: Amount reflects shares automatically sold to satisfy tax withholding requirements upon the vesting of previously restricted stock. F1 · balance_after: This amount includes 9891 shares in 401K, 3168 shares in SEIP and 443 shares in dividend reinvestment. Read SEC document |
| January 20, 2004 Filed Jan 20, 2004 19:16 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 341 | $83.11 | $28,340.51 |
DisclosureSEC source: 0000018230-04-000077 · edgar.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,474 F1 · balance_after: This amount includes 9891 shares in 401K, 3168 shares in SEIP and 443 shares in dividend reinvestment. Read SEC document |
| September 18, 2003 Filed Sep 19, 2003 15:23 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 484 | $0.00 Strike: $32.91 | $0.00 |
DisclosureSEC source: 0000018230-03-000445 · edgar.xml · derivative · entry 3 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 484 shares Expires 2006-06-11 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: (Right to Buy) with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| September 18, 2003 Filed Sep 19, 2003 15:23 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 224 | $70.87 | $15,873.76 |
DisclosureSEC source: 0000018230-03-000445 · edgar.xml · nonDerivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,442 F1 · balance_after: This amount includes 9894 shares in 401K, 2855 shares in SEIP and 380 shares in dividend reinvestment. Read SEC document |
| September 18, 2003 Filed Sep 19, 2003 15:23 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 484 | $32.91 | $15,926.60 |
DisclosureSEC source: 0000018230-03-000445 · edgar.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,666 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| June 30, 2003 Filed Jul 1, 2003 19:44 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 700 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-03-000273 · edgar.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,984 F1 · balance_after: This amount includes 4704 shares in EIP-1, 5143 shares in 401K, 2704 shares in SEIP and 380 shares in dividend reinvestment. 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.