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 |
|---|---|---|---|---|---|---|
| May 02, 2005 Filed May 4, 2005 16:42 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 100 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000375 · edgar.xml · nonDerivative · entry 1 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,124 F1 · balance_after: This amount includes 10,708 shares in 401K, 2529 shares in SEIP, and 339 shares in dividend reinvestment. Read SEC document |
| March 01, 2005 Filed Mar 3, 2005 15:39 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 344 | $96.02 | $33,030.88 |
DisclosureSEC source: 0000018230-05-000259 · edgar.xml · nonDerivative · entry 1 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,073 F4 · kind: Amount reflects shares sold to satisfy tax withholding requirements upon the vesting of previously restricted stock. F1 · balance_after: This amount includes 10,570 shares in 401K, 2516 shares in SEIP, and 339 shares in dividend reinvestment. Read SEC document |
| February 18, 2005 Filed Feb 22, 2005 19:01 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherOption (NQ) · Derivative | 65,000 | $0.00 Strike: $91.29 | $0.00 |
DisclosureSEC source: 0000018230-05-000195 · edgar.xml · derivative · entry 3 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,000 Underlying: Common · 65,000 shares Expires 2015-02-18 F4 · security: This option was granted with attached tax withholding rights. F5 · kind: Grant to reporting person of option to buy 65,000 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. F5 · price: Grant to reporting person of option to buy 65,000 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. F5 · derivative.exercise_date: Grant to reporting person of option to buy 65,000 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 31, 2005 Filed Feb 1, 2005 21:28 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 33 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000064 · edgar.xml · derivative · entry 3 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 33 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 other termination of 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 other termination of service. Read SEC document |
| December 31, 2004 Filed Jan 4, 2005 15:09 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 30 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000016 · edgar.xml · derivative · entry 3 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 30 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 other termination of 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 other termination of service. Read SEC document |
| November 30, 2004 Filed Dec 1, 2004 19:25 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 32 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000674 · edgar.xml · derivative · entry 3 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 32 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 other termination of 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 other termination of service. Read SEC document |
| October 29, 2004 Filed Nov 2, 2004 15:21 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 36 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000606 · edgar.xml · derivative · entry 3 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 36 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 other termination of 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 other termination of service. Read SEC document |
| September 30, 2004 Filed Oct 1, 2004 15:14 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 36 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000536 · edgar.xml · derivative · entry 3 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 36 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 other termination of 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 other termination of service. Read SEC document |
| August 31, 2004 Filed Sep 2, 2004 13:56 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 40 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000509 · edgar.xml · derivative · entry 3 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 40 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 other termination of 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 other termination of service. Read SEC document |
| July 30, 2004 Filed Aug 2, 2004 19:26 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 40 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000484 · edgar.xml · derivative · entry 3 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 40 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 other termination of 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 other termination of service. Read SEC document |
| June 30, 2004 Filed Jul 1, 2004 19:55 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 37 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000453 · edgar.xml · derivative · entry 3 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 37 shares Expires 1988-08-08 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 other termination of 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 other termination of service. Read SEC document |
| June 08, 2004 Filed Jun 9, 2004 21:01 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherOption (NQ) · Derivative | 63,000 | $0.00 Strike: $77.26 | $0.00 |
DisclosureSEC source: 0000018230-04-000365 · edgar.xml · derivative · entry 3 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,000 Underlying: Common · 63,000 shares Expires 2014-06-08 F3 · security: This option was granted with attached tax withholding rights. F4 · kind: Grant to reporting person of option to buy 63,000 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. F4 · price: Grant to reporting person of option to buy 63,000 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. F4 · derivative.exercise_date: Grant to reporting person of option to buy 63,000 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 |
| May 28, 2004 Filed Jun 1, 2004 20:11 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 39 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000334 · edgar.xml · derivative · entry 3 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 39 shares Expires 1988-08-08 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 other termination of 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 other termination of service. Read SEC document |
| April 30, 2004 Filed May 4, 2004 20:44 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 37 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000292 · edgar.xml · derivative · entry 3 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 37 shares Expires 1988-08-08 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 other termination of 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 other termination of service. Read SEC document |
| March 31, 2004 Filed Apr 2, 2004 16:59 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 35 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000213 · edgar.xml · derivative · entry 3 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 35 shares Expires 1988-08-08 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 other termination of 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 other termination of service. Read SEC document |
| March 31, 2004 Filed Apr 19, 2004 18:44 UTC Amendment | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 751 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000259 · edgar.xml · derivative · entry 3 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 751 shares Expires 1988-08-08 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 other termination of 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 other termination of service. Read SEC document |
| March 01, 2004 Filed Mar 22, 2004 18:50 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 344 | $76.73 | $26,395.12 |
DisclosureSEC source: 0000018230-04-000173 · edgar.xml · nonDerivative · entry 1 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,084 F3 · kind: Amount reflects shares automatically sold to satisfy tax withholding requirements upon the vesting of previously restricted stock. F1 · balance_after: This amount includes 10,026 shares in 401K, 1952 shares in SEIP, and 114 shares in dividend reinvestment. Read SEC document |
| February 27, 2004 Filed Mar 2, 2004 14:28 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 37 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000149 · edgar.xml · derivative · entry 3 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 37 shares Expires 1988-08-08 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 other termination of 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 other termination of service. Read SEC document |
| January 30, 2004 Filed Feb 3, 2004 23:15 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 36 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000126 · edgar.xml · derivative · entry 3 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 36 shares Expires 1988-08-08 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 other termination of 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 other termination of service. Read SEC document |
| January 20, 2004 Filed Jan 20, 2004 19:27 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 262 | $83.11 | $21,774.82 |
DisclosureSEC source: 0000018230-04-000086 · edgar.xml · nonDerivative · entry 1 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,428 F1 · balance_after: This amount includes 10,026 shares in 401K, 1952 shares in SEIP, and 114 shares in dividend reinvestment. Read SEC document |
| December 31, 2003 Filed Jan 5, 2004 21:04 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 21 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000011 · edgar.xml · derivative · entry 3 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 21 shares Expires 1988-08-08 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 other termination of 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 other termination of service. Read SEC document |
| November 30, 2003 Filed Dec 2, 2003 20:42 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 23 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-03-000512 · edgar.xml · derivative · entry 3 WUNNING STEVEN H · CIK 0001171788 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 23 shares Expires 1988-08-08 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 other termination of 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 other termination of service. Read SEC document |
| October 31, 2003 Filed Nov 4, 2003 14:38 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 24 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-03-000489 · edgar.xml · derivative · entry 3 WUNNING STEVEN H · CIK 0001171788 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 24 shares Expires 1988-08-08 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 other termination of 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 other termination of service. Read SEC document |
| September 30, 2003 Filed Oct 6, 2003 13:55 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 25 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-03-000462 · edgar.xml · derivative · entry 3 WUNNING STEVEN H · CIK 0001171788 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 25 shares Expires 1988-08-08 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 other termination of 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 other termination of service. Read SEC document |
| August 29, 2003 Filed Sep 3, 2003 19:13 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 24 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-03-000438 · edgar.xml · derivative · entry 3 WUNNING STEVEN H · CIK 0001171788 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 24 shares Expires 1988-08-08 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 other termination of 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 other termination of service. Read SEC document |
| July 31, 2003 Filed Aug 1, 2003 19:24 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 26 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-03-000372 · edgar.xml · derivative · entry 3 WUNNING STEVEN H · CIK 0001171788 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 26 shares Expires 1988-08-08 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 other termination of 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 other termination of service. Read SEC document |
| July 25, 2003 Filed Jul 28, 2003 20:59 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 734 | $64.66 | $47,460.44 |
DisclosureSEC source: 0000018230-03-000343 · edgar.xml · nonDerivative · entry 1 WUNNING STEVEN H · CIK 0001171788 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,209 F1 · balance_after: This amount includes 7492 shares in EIP-1, 2363 shares in 401K, and 1756 shares in SEIP. Read SEC document |
| July 22, 2003 Filed Jul 24, 2003 15:38 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 2,684 | $0.00 Strike: $30.16 | $0.00 |
DisclosureSEC source: 0000018230-03-000321 · edgar.xml · derivative · entry 6 WUNNING STEVEN H · CIK 0001171788 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 2,684 shares Expires 2005-06-06 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 |
| July 22, 2003 Filed Jul 24, 2003 15:38 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 3,316 | $0.00 Strike: $30.16 | $0.00 |
DisclosureSEC source: 0000018230-03-000321 · edgar.xml · derivative · entry 5 WUNNING STEVEN H · CIK 0001171788 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 3,316 shares Expires 2005-06-06 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 |
| July 22, 2003 Filed Jul 24, 2003 15:38 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,676 | $64.41 | $107,942.78 |
DisclosureSEC source: 0000018230-03-000321 · edgar.xml · nonDerivative · entry 4 WUNNING STEVEN H · CIK 0001171788 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,943 F1 · balance_after: This amount includes 7492 shares in EIP-1, 2363 shares in 401K, and 1756 shares in SEIP. Indirectly held shares by wife are 33 shares that includes 1 share in dividend reinvestment. Read SEC document |
| July 22, 2003 Filed Jul 24, 2003 15:38 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 2,684 | $30.16 | $80,939.24 |
DisclosureSEC source: 0000018230-03-000321 · edgar.xml · nonDerivative · entry 3 WUNNING STEVEN H · CIK 0001171788 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,619 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 22, 2003 Filed Jul 24, 2003 15:38 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,552 | $64.41 | $99,956.56 |
DisclosureSEC source: 0000018230-03-000321 · edgar.xml · nonDerivative · entry 2 WUNNING STEVEN H · CIK 0001171788 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,935 Read SEC document |
| July 22, 2003 Filed Jul 24, 2003 15:38 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 3,316 | $30.16 | $99,997.96 |
DisclosureSEC source: 0000018230-03-000321 · edgar.xml · nonDerivative · entry 1 WUNNING STEVEN H · CIK 0001171788 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,487 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 22, 2003 Filed Jul 24, 2003 14:55 UTC Amendment | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 1,966 | $64.26 | $126,335.16 |
DisclosureSEC source: 0000018230-03-000319 · edgar.xml · nonDerivative · entry 1 WUNNING STEVEN H · CIK 0001171788 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,171 F1 · balance_after: This amount includes 7492 shares in EIP-1, 2363 shares in 401K, and 1756 shares in SEIP. Indirectly held shares by wife are 33 shares that includes 1 share in dividend reinvestment. Read SEC document |
| July 22, 2003 Filed Jul 23, 2003 22:04 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 1,966 | $64.26 | $126,335.16 |
DisclosureSEC source: 0000018230-03-000317 · edgar.xml · nonDerivative · entry 1 WUNNING STEVEN H · CIK 0001171788 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,811 F1 · balance_after: This amount includes 7492 shares in EIP-1, 2363 shares in 401K, 1756 shares in SEIP and 640 shares in dividend reinvestment. Indirectly held shares by wife are 33 shares that includes 1 share in dividend reinvestment. Read SEC document |
| June 30, 2003 Filed Jul 10, 2003 16:11 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 31 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-03-000279 · edgar.xml · derivative · entry 1 WUNNING STEVEN H · CIK 0001171788 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 31 shares Expires 1988-08-08 F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · 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. F2 · 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. F1 · balance_after: Directly held shares from Table I are 22,973 that includes 7492 shares in EIP-1, 2363 shares in 401K, 1756 shares in SEIP and 640 shares in dividend reinvestment. Indirectly held shares by wife are 33 shares that includes 1 share in dividend reinvestment. Read SEC document |
| May 30, 2003 Filed Jun 2, 2003 21:57 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 34 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-03-000227 · edgar.xml · derivative · entry 1 WUNNING STEVEN H · CIK 0001171788 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 34 shares Expires 1988-08-08 F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · 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. F2 · 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. F1 · balance_after: Directly held shares from Table I are 22,455 that includes 7385 shares in EIP-1, 1966 shares in 401K, 1742 shares in SEIP and 640 shares in dividend reinvestment. Indirectly held shares by wife are 33 shares that includes 1 share 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.