Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CATERPILLAR INCCAT · Entity 2808 | Group President | January 05, 2015 | January 07, 2015 |
| KENNAMETAL INCKMT · Entity 1346 | Director | August 26, 2025 | August 28, 2025 |
| SHERWIN WILLIAMS COSHW · Entity 2948 | Director | April 10, 2023 | April 12, 2023 |
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.
CATERPILLAR INC
Report date January 05, 2015 · Filed January 07, 2015
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Employee Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $88.51 · Expires 2020-02-01 | Direct | 241,985 |
Reported balance
After 2015-01-05 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2015-01-05 · Grant · Acquired 241,985 · Balance 241,985 |
KENNAMETAL INC
Report date August 26, 2025 · Filed August 28, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 91,227 |
Reported balance
After 2025-08-26 transaction · row 1
1 source rowRow 1 · 2025-08-26 · Grant · Acquired 1,164 · Balance 91,227 |
SHERWIN WILLIAMS CO
Report date April 10, 2023 · Filed April 12, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectDeferred Plan | 7,735.26 |
Reported balance
After 2023-04-10 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2023-04-10 · Grant · Acquired 36.48 · Balance 7,735.26 F1: Represents the number of phantom stock units acquired by the reporting person (in an exempt transaction) under the 2005 Director Deferred Fee Plan. Each phantom stock unit is the economic equivalent of one share of common stock. The phantom stock units become payable solely in stock generally upon the reporting person's retirement. F2: Phantom stock units listed are held pursuant to the 2005 Director Deferred Fee Plan, which includes phantom stock units acquired pursuant to the dividend reinvestment feature of such plan. |
| Common StockSEC Table I · non-derivative | Direct | 9,382 |
Reported balance
Holding disclosure · report date 2023-04-10 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 9,382 F3: Of shares listed, 1,282 are restricted stock units. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents the number of phantom stock units acquired by the reporting person (in an exempt transaction) under the 2005 Director Deferred Fee Plan. Each phantom stock unit is the economic equivalent of one share of common stock. The phantom stock units become payable solely in stock generally upon the reporting person's retirement.
F2: Phantom stock units listed are held pursuant to the 2005 Director Deferred Fee Plan, which includes phantom stock units acquired pursuant to the dividend reinvestment feature of such plan.
F3: Of shares listed, 1,282 are restricted stock units.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Summit Materials, Inc.
Report date February 10, 2025 · Filed February 10, 2025
Section 16 reporting ended · disclosed 2025-02-10. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2025-02-10 transaction · row 1
1 source rowRow 1 · 2025-02-10 · Disposition to issuer · Disposed 39,013 · Balance 0 F1: At or immediately prior to the effective time of the transactions contemplated by the Agreement and Plan of Merger, dated November 24, 2024, by and among Summit Materials, Inc., Quikrete Holdings, Inc., and Soar Subsidiary, Inc., (i) each share of Class A common stock of the issuer held by the reporting person was canceled, retired and converted into the right to receive $52.50 in cash (the "Merger Consideration") and (ii) each restricted stock unit held by the reporting person was fully vested, canceled and converted into the right to receive the Merger Consideration. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2025-02-10 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2025-02-10 · Disposition to issuer · Disposed 3,341 · Balance 0 F1: At or immediately prior to the effective time of the transactions contemplated by the Agreement and Plan of Merger, dated November 24, 2024, by and among Summit Materials, Inc., Quikrete Holdings, Inc., and Soar Subsidiary, Inc., (i) each share of Class A common stock of the issuer held by the reporting person was canceled, retired and converted into the right to receive $52.50 in cash (the "Merger Consideration") and (ii) each restricted stock unit held by the reporting person was fully vested, canceled and converted into the right to receive the Merger Consideration. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2025-02-10 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2025-02-10 · Disposition to issuer · Disposed 2,547 · Balance 0 F1: At or immediately prior to the effective time of the transactions contemplated by the Agreement and Plan of Merger, dated November 24, 2024, by and among Summit Materials, Inc., Quikrete Holdings, Inc., and Soar Subsidiary, Inc., (i) each share of Class A common stock of the issuer held by the reporting person was canceled, retired and converted into the right to receive $52.50 in cash (the "Merger Consideration") and (ii) each restricted stock unit held by the reporting person was fully vested, canceled and converted into the right to receive the Merger Consideration. |
Filing footnotes · ownership attribution and instrument terms
F1: At or immediately prior to the effective time of the transactions contemplated by the Agreement and Plan of Merger, dated November 24, 2024, by and among Summit Materials, Inc., Quikrete Holdings, Inc., and Soar Subsidiary, Inc., (i) each share of Class A common stock of the issuer held by the reporting person was canceled, retired and converted into the right to receive $52.50 in cash (the "Merger Consideration") and (ii) each restricted stock unit held by the reporting person was fully vested, canceled and converted into the right to receive the Merger Consideration.
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 05, 2012 Filed Mar 7, 2012 21:42 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Option (right to buy) · Derivative | 60,515 | $0.00 Strike: $110.09 | $0.00 |
DisclosureSEC source: 0000018230-12-000157 · edgar.xml · derivative · entry 3 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,515 Underlying: Common · 60,515 shares Expires 2022-03-05 Read SEC document |
| March 02, 2012 Filed Mar 6, 2012 22:06 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionRestricted Stock Units · Derivative | 6,561 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000103 · edgar.xml · derivative · entry 4 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 6,561 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 settled 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 settled for an equal number of shares of Caterpillar Inc. common stock. Read SEC document |
| March 02, 2012 Filed Mar 6, 2012 22:06 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 2,720 | $112.87 | $307,006.40 |
DisclosureSEC source: 0000018230-12-000103 · edgar.xml · nonDerivative · entry 2 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 79,213 F5 · kind: Amount reflects shares surrendered to satisfy tax withholding requirements upon the vesting of restricted stock units. F3 · balance_after: This amount includes 25152 shares in 401K. Read SEC document |
| March 02, 2012 Filed Mar 6, 2012 22:06 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 6,561 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000103 · edgar.xml · nonDerivative · entry 1 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 81,933 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 settled for an equal number of shares of Caterpillar Inc. common stock. F3 · balance_after: This amount includes 25152 shares in 401K. Read SEC document |
| February 27, 2012 Filed Mar 1, 2012 16:01 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 210 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000075 · edgar.xml · nonDerivative · entry 2 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Indirect · Owned by Wife Disclosed balance after: 1,161 F2 · kind: This transaction involved a gift of securities by the reporting person. F3 · ownership.nature: Reporting person disclaims beneficial ownership. Read SEC document |
| February 27, 2012 Filed Mar 1, 2012 16:01 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 945 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000075 · edgar.xml · nonDerivative · entry 1 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,372 F1 · balance_after: This amount includes 25152 shares in 401K. Read SEC document |
| January 31, 2012 Filed Feb 2, 2012 14:54 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 126,000 | $0.00 Strike: $38.63 | $0.00 |
DisclosureSEC source: 0000018230-12-000060 · edgar.xml · derivative · entry 4 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 126,000 shares Expires 2014-06-08 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · security: Right to buy with tandem tax withholding rights. F4 · 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 14:54 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 126,000 | $111.09 | $13,997,881.80 |
DisclosureSEC source: 0000018230-12-000060 · edgar.xml · nonDerivative · entry 2 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,863 F1 · balance_after: This amount includes 24,698 shares in 401K. Read SEC document |
| January 31, 2012 Filed Feb 2, 2012 14:54 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 126,000 | $38.63 | $4,867,065.00 |
DisclosureSEC source: 0000018230-12-000060 · edgar.xml · nonDerivative · entry 1 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 201,863 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 24,698 shares in 401K. Read SEC document |
| May 02, 2011 Filed May 4, 2011 20:55 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantRestricted Stock Units · Derivative | 750 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000285 · edgar.xml · derivative · entry 4 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 750 Underlying: Common · 750 shares Expires not disclosed F5 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Caterpillar common stock. F6 · derivative.exercise_date: The restricted stock units vest on May 2, 2016. F6 · derivative.expiration_date: The restricted stock units vest on May 2, 2016. Read SEC document |
| May 02, 2011 Filed May 4, 2011 20:55 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 47 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000285 · edgar.xml · derivative · entry 3 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,449 Underlying: Common · 47 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 |
| April 25, 2011 Filed Apr 28, 2011 15:53 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 48 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000249 · edgar.xml · nonDerivative · entry 1 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,812 F1 · balance_after: This amount includes 24,647 shares in 401K. Read SEC document |
| March 07, 2011 Filed Mar 8, 2011 20:35 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantStock Appreciation Rights · Derivative | 58,788 | $0.00 Strike: $102.13 | $0.00 |
DisclosureSEC source: 0000018230-11-000187 · edgar.xml · derivative · entry 4 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,788 Underlying: Common · 58,788 shares Expires 2021-03-07 F6 · derivative.exercise_date: The stock appreciation rights vest on March 7, 2014. Read SEC document |
| March 03, 2011 Filed Mar 4, 2011 21:26 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionRestricted Stock Units · Derivative | 4,109 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-11-000112 · edgar.xml · derivative · entry 6 WUNNING STEVEN H · CIK 0001171788 · Group President 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 21:26 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,704 | $103.22 | $175,878.36 |
DisclosureSEC source: 0000018230-11-000112 · edgar.xml · nonDerivative · entry 2 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,860 F6 · kind: Amount reflects shares surrendered to satisfy tax withholding requirements upon the vesting of restricted stock. F1 · balance_after: This amount includes 24,647 shares in 401K. Read SEC document |
| March 03, 2011 Filed Mar 4, 2011 21:26 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 4,109 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-11-000112 · edgar.xml · nonDerivative · entry 1 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,564 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 |
| February 24, 2011 Filed Feb 25, 2011 19:59 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 225 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000074 · edgar.xml · nonDerivative · entry 3 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Indirect · Owned by Son Disclosed balance after: 1,350 F2 · ownership.nature: Reporting person disclaims beneficial ownership. Read SEC document |
| February 24, 2011 Filed Feb 25, 2011 19:59 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 225 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000074 · edgar.xml · nonDerivative · entry 2 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Indirect · Owned by Wife Disclosed balance after: 951 F2 · ownership.nature: Reporting person disclaims beneficial ownership. Read SEC document |
| February 24, 2011 Filed Feb 25, 2011 19:59 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 975 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000074 · edgar.xml · nonDerivative · entry 1 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,455 F1 · balance_after: This amount includes 24,647 shares in 401K. Read SEC document |
| February 01, 2011 Filed Feb 1, 2011 18:39 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 54,000 | $0.00 Strike: $27.14 | $0.00 |
DisclosureSEC source: 0000018230-11-000053 · edgar.xml · derivative · entry 6 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 54,000 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. F5 · security: (Right to buy) with tandem tax withholding rights. F6 · 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 01, 2011 Filed Feb 1, 2011 18:39 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 125 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000053 · edgar.xml · derivative · entry 5 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,402 Underlying: Common · 125 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 |
| February 01, 2011 Filed Feb 1, 2011 18:39 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 54,000 | $96.97 | $5,236,498.80 |
DisclosureSEC source: 0000018230-11-000053 · edgar.xml · nonDerivative · entry 2 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,430 F1 · balance_after: This amount includes 24,647 shares in 401K. Read SEC document |
| February 01, 2011 Filed Feb 1, 2011 18:39 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 54,000 | $27.14 | $1,465,695.00 |
DisclosureSEC source: 0000018230-11-000053 · edgar.xml · nonDerivative · entry 1 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 128,430 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| September 30, 2010 Filed Oct 1, 2010 16:27 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 46 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000470 · edgar.xml · derivative · entry 4 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,277 Underlying: Common · 46 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 |
| August 31, 2010 Filed Sep 1, 2010 17:50 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 56 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000422 · edgar.xml · derivative · entry 4 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,231 Underlying: Common · 56 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 30, 2010 Filed Aug 2, 2010 17:52 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 52 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000364 · edgar.xml · derivative · entry 4 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,175 Underlying: Common · 52 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 27, 2010 Filed Jul 28, 2010 20:23 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 60,000 | $0.00 Strike: $25.36 | $0.00 |
DisclosureSEC source: 0000018230-10-000356 · edgar.xml · derivative · entry 6 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 60,000 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. F5 · security: (Right to buy) with tandem tax withholding rights. F6 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| July 27, 2010 Filed Jul 28, 2010 20:23 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 60,000 | $69.17 | $4,150,062.00 |
DisclosureSEC source: 0000018230-10-000356 · edgar.xml · nonDerivative · entry 2 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,292 F1 · balance_after: This amount includes 24,509 shares in 401K. Read SEC document |
| July 27, 2010 Filed Jul 28, 2010 20:23 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 60,000 | $25.36 | $1,521,450.00 |
DisclosureSEC source: 0000018230-10-000356 · edgar.xml · nonDerivative · entry 1 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 134,292 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, 2010 Filed Jul 2, 2010 14:59 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 60 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000325 · edgar.xml · derivative · entry 4 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,965 Underlying: Common · 60 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 |
| May 28, 2010 Filed Jun 1, 2010 18:45 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 176 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000290 · edgar.xml · derivative · entry 4 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,905 Underlying: Common · 176 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 |
| March 02, 2010 Filed Mar 4, 2010 18:57 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionRestricted Stock Units · Derivative | 4,832 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-10-000157 · edgar.xml · derivative · entry 6 WUNNING STEVEN H · CIK 0001171788 · Group President 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. F5 · 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. F5 · 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 18:57 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,424 | $58.42 | $83,190.08 |
DisclosureSEC source: 0000018230-10-000157 · edgar.xml · nonDerivative · entry 2 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,741 F6 · kind: Amount reflects shares surrendered to satisfy tax withholding requirements upon the vesting of restricted stock units. F1 · balance_after: This amount includes 23,958 shares in 401K. Read SEC document |
| March 02, 2010 Filed Mar 4, 2010 18:57 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 4,832 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-10-000157 · edgar.xml · nonDerivative · entry 1 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,165 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 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 | 3,257 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000135 · edgar.xml · derivative · entry 6 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,257 Underlying: Common · 3,257 shares Expires not disclosed F6 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Caterpillar common stock. F5 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 1, 2013. F5 · 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 | 134,851 | $0.00 Strike: $57.85 | $0.00 |
DisclosureSEC source: 0000018230-10-000135 · edgar.xml · derivative · entry 5 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 134,851 Underlying: Common · 134,851 shares Expires 2020-03-01 F5 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 1, 2013. Read SEC document |
| February 09, 2010 Filed Feb 9, 2010 19:49 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 250 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000077 · edgar.xml · nonDerivative · entry 3 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Indirect · Owned by Son Disclosed balance after: 1,125 F2 · ownership.nature: Reporting person disclaims beneficial ownership. Read SEC document |
| February 09, 2010 Filed Feb 9, 2010 19:49 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 250 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000077 · edgar.xml · nonDerivative · entry 2 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Indirect · Owned by Wife Disclosed balance after: 726 F2 · ownership.nature: Reporting person disclaims beneficial ownership. Read SEC document |
| February 09, 2010 Filed Feb 9, 2010 19:49 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 1,090 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000077 · edgar.xml · nonDerivative · entry 1 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,333 F1 · balance_after: This amount includes 23,958 shares in 401K. Read SEC document |
| December 31, 2009 Filed Jan 4, 2010 21:45 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 186 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000027 · edgar.xml · derivative · entry 4 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,729 Underlying: Common · 186 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 |
| November 30, 2009 Filed Dec 1, 2009 17:30 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 62 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000541 · edgar.xml · derivative · entry 4 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,543 Underlying: Common · 62 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 |
| October 30, 2009 Filed Nov 2, 2009 19:23 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 157 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000483 · edgar.xml · derivative · entry 4 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,481 Underlying: Common · 157 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 |
| September 30, 2009 Filed Oct 1, 2009 19:35 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 71 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000409 · edgar.xml · derivative · entry 4 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,324 Underlying: Common · 71 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 |
| August 31, 2009 Filed Sep 1, 2009 18:44 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 80 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000363 · edgar.xml · derivative · entry 4 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,253 Underlying: Common · 80 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 |
| August 24, 2009 Filed Aug 25, 2009 14:54 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 48,000 | $0.00 Strike: $26.77 | $0.00 |
DisclosureSEC source: 0000018230-09-000336 · edgar.xml · derivative · entry 6 WUNNING STEVEN H · CIK 0001171788 · Group President 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. F5 · security: (Right to buy) with tandem tax withholding rights. F6 · 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 24, 2009 Filed Aug 25, 2009 14:54 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 35,097 | $48.13 | $1,689,218.61 |
DisclosureSEC source: 0000018230-09-000336 · edgar.xml · nonDerivative · entry 2 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,187 F1 · balance_after: This amount includes 23,722 shares in 401K. Read SEC document |
| August 24, 2009 Filed Aug 25, 2009 14:54 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 48,000 | $26.77 | $1,284,720.00 |
DisclosureSEC source: 0000018230-09-000336 · edgar.xml · nonDerivative · entry 1 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 106,284 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 19:39 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 82 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000302 · edgar.xml · derivative · entry 4 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,173 Underlying: Common · 82 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 |
| June 30, 2009 Filed Jul 1, 2009 21:17 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 685 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000253 · edgar.xml · derivative · entry 4 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,091 Underlying: Common · 685 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 |
| March 09, 2009 Filed Mar 10, 2009 15:50 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 200 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000104 · edgar.xml · nonDerivative · entry 3 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Indirect · Owned by Son Disclosed balance after: 875 F2 · ownership.nature: Reporting person disclaims beneficial ownership. 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.