Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CATERPILLAR INCCAT · Entity 2808 | Director | December 31, 2014 | January 05, 2015 |
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 December 31, 2014 · Filed January 05, 2015
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Phantom Stock UnitsSEC Table II · derivative / convertible security | Direct | 32,380 |
Reported balance
After 2014-12-31 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2014-12-31 · Grant · Acquired 135 · Balance 32,380 F1: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2: Phantom stock units awarded or acquired in lieu of director cash compensation. F3: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement 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: Phantom stock units awarded or acquired in lieu of director cash compensation.
F3: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service.
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 |
|---|---|---|---|---|---|---|
| January 31, 2006 Filed Feb 1, 2006 19:42 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 111 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-06-000075 · edgar.xml · derivative · entry 3 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 111 shares Expires not disclosed F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F4 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in January 2006 at a price of $67.405 per share. F4 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in January 2006 at a price of $67.405 per share. Read SEC document |
| December 30, 2005 Filed Jan 3, 2006 16:17 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 144 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-06-000009 · edgar.xml · derivative · entry 3 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 144 shares Expires not disclosed F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F4 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in December 2005 at a price between $57.835 and $58.61 per share. F4 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in December 2005 at a price between $57.835 and $58.61 per share. Read SEC document |
| November 30, 2005 Filed Dec 1, 2005 16:43 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 135 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000761 · edgar.xml · derivative · entry 3 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 135 shares Expires not disclosed F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F4 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in November 2005 at a price between $57.25 and $57.595. F4 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in November 2005 at a price between $57.25 and $57.595. Read SEC document |
| October 31, 2005 Filed Oct 31, 2005 22:22 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 157 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000695 · edgar.xml · derivative · entry 3 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 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 phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in October 2005 at a price between $52.415 and $56.02. F4 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in October 2005 at a price between $52.415 and $56.02. Read SEC document |
| October 28, 2005 Filed Oct 31, 2005 22:22 UTC | CATERPILLAR INC CAT · Entity 2808 | PurchaseCommon | 70,000 | $50.77 | $3,554,180.00 |
DisclosureSEC source: 0000018230-05-000695 · edgar.xml · nonDerivative · entry 1 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 206,584 F1 · balance_after: This amount includes 1738 dividend reinvestment shares. Read SEC document |
| October 27, 2005 Filed Oct 28, 2005 17:18 UTC | CATERPILLAR INC CAT · Entity 2808 | PurchaseCommon | 70,000 | $49.97 | $3,497,613.00 |
DisclosureSEC source: 0000018230-05-000677 · edgar.xml · nonDerivative · entry 2 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 136,584 F1 · balance_after: This amount includes 1738 dividend reinvestment shares. Read SEC document |
| October 26, 2005 Filed Oct 28, 2005 17:18 UTC | CATERPILLAR INC CAT · Entity 2808 | PurchaseCommon | 10,000 | $50.93 | $509,303.00 |
DisclosureSEC source: 0000018230-05-000677 · edgar.xml · nonDerivative · entry 1 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,584 Read SEC document |
| September 30, 2005 Filed Oct 3, 2005 22:45 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 92 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000636 · edgar.xml · derivative · entry 3 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 92 shares Expires not disclosed F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F4 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in September 2005 at a price of $58.575 per share. F4 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in September 2005 at a price of $58.575 per share. Read SEC document |
| August 31, 2005 Filed Sep 1, 2005 16:03 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 159 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000592 · edgar.xml · derivative · entry 3 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 159 shares Expires not disclosed F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F4 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in August 2005 at a price between $53.87 and $54.765 per share. F4 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in August 2005 at a price between $53.87 and $54.765 per share. Read SEC document |
| July 29, 2005 Filed Aug 1, 2005 16:16 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 100 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000529 · edgar.xml · derivative · entry 3 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 100 shares Expires not disclosed F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F4 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in July 2005 at a price of $53.845 per share. F4 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in July 2005 at a price of $53.845 per share. Read SEC document |
| June 30, 2005 Filed Jul 1, 2005 19:17 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 87 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000468 · edgar.xml · derivative · entry 3 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 87 shares Expires not disclosed F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F4 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in June 2005 at a price between $94.995 and $96.205 per share. F4 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in June 2005 at a price between $94.995 and $96.205 per share. Read SEC document |
| May 31, 2005 Filed Jun 2, 2005 15:07 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 76 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000417 · edgar.xml · derivative · entry 3 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 76 shares Expires not disclosed F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F4 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in May 2005 at a price between $93.275 and $94.26 per share. F4 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in May 2005 at a price between $93.275 and $94.26 per share. Read SEC document |
| April 29, 2005 Filed May 2, 2005 15:12 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 84 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000367 · edgar.xml · derivative · entry 3 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 84 shares Expires not disclosed F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F4 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in April 2005 at a price between $87.14 and $90.33 per share. F4 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in April 2005 at a price between $87.14 and $90.33 per share. Read SEC document |
| April 13, 2005 Filed Apr 15, 2005 15:40 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherOption (NQ) · Derivative | 4,000 | $0.00 Strike: $89.79 | $0.00 |
DisclosureSEC source: 0000018230-05-000340 · edgar.xml · derivative · entry 3 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,000 Underlying: Common · 4,000 shares Expires 2015-04-13 F3 · security: This option was granted with attached tax withholding rights. F4 · kind: Grant to reporting person of option to buy 4,000 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. F4 · price: Grant to reporting person of option to buy 4,000 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. F4 · derivative.exercise_date: Grant to reporting person of option to buy 4,000 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 |
| April 07, 2005 Filed Apr 11, 2005 18:02 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 4,000 | $0.00 Strike: $27.91 | $0.00 |
DisclosureSEC source: 0000018230-05-000314 · edgar.xml · derivative · entry 4 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 4,000 shares Expires 2005-04-12 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. F3 · security: (Right to buy) with tandem tax withholding rights. F4 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| April 07, 2005 Filed Apr 11, 2005 18:02 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,221 | $91.38 | $111,574.98 |
DisclosureSEC source: 0000018230-05-000314 · edgar.xml · nonDerivative · entry 2 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,849 F1 · balance_after: This amount includes 826 dividend reinvestment shares. Read SEC document |
| April 07, 2005 Filed Apr 11, 2005 18:02 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 4,000 | $27.91 | $111,624.80 |
DisclosureSEC source: 0000018230-05-000314 · edgar.xml · nonDerivative · entry 1 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,070 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| March 31, 2005 Filed Apr 4, 2005 15:16 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 59 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0000018230-05-000309 · edgar.xml · derivative · entry 3 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 59 shares Expires not disclosed F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F4 · price: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in March 2005 at a price of $91.355 per share. F4 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in March 2005 at a price of $91.355 per share. F4 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in March 2005 at a price of $91.355 per share. Read SEC document |
| February 28, 2005 Filed Mar 1, 2005 20:07 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 86 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0000018230-05-000235 · edgar.xml · derivative · entry 3 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 86 shares Expires not disclosed F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F4 · price: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in February 2005 at a price between $90.415 and $95.055 per share. F4 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in February 2005 at a price between $90.415 and $95.055 per share. F4 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in February 2005 at a price between $90.415 and $95.055 per share. Read SEC document |
| January 31, 2005 Filed Feb 1, 2005 21:09 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 61 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0000018230-05-000058 · edgar.xml · derivative · entry 3 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 61 shares Expires not disclosed F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F4 · price: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in January 2005 at a price of $88.655 per share. F4 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in January 2005 at a price of $88.655 per share. F4 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in January 2005 at a price of $88.655 per share. Read SEC document |
| December 31, 2004 Filed Jan 4, 2005 14:52 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 88 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0000018230-05-000011 · edgar.xml · derivative · entry 3 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 88 shares Expires not disclosed F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F4 · price: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in December 2004 at a price between $90.54 and $97.585 per share. F4 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in December 2004 at a price between $90.54 and $97.585 per share. F4 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in December 2004 at a price between $90.54 and $97.585 per share. Read SEC document |
| November 30, 2004 Filed Dec 2, 2004 14:55 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 76 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0000018230-04-000681 · edgar.xml · derivative · entry 3 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 76 shares Expires not disclosed F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F4 · price: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in November 2004 at a price between $90.27 and $90.99 per share. F4 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in November 2004 at a price between $90.27 and $90.99 per share. F4 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in November 2004 at a price between $90.27 and $90.99 per share. Read SEC document |
| October 29, 2004 Filed Nov 1, 2004 16:17 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 105 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0000018230-04-000599 · edgar.xml · derivative · entry 3 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 105 shares Expires not disclosed F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F4 · price: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in October 2004 at a price between $78.90 and $80.135 per share. F4 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in October 2004 at a price between $78.90 and $80.135 per share. F4 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in October 2004 at a price between $78.90 and $80.135 per share. Read SEC document |
| September 30, 2004 Filed Oct 4, 2004 13:55 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 67 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0000018230-04-000550 · edgar.xml · derivative · entry 3 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 67 shares Expires not disclosed F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F4 · price: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in September 2004 at a price of $80.575 per share. F4 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in September 2004 at a price of $80.575 per share. F4 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in September 2004 at a price of $80.575 per share. Read SEC document |
| August 31, 2004 Filed Sep 1, 2004 17:45 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 108 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0000018230-04-000504 · edgar.xml · derivative · entry 3 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 108 shares Expires not disclosed F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F4 · price: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in August 2004 at a price between $71.35 and $72.51 per share. F4 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in August 2004 at a price between $71.35 and $72.51 per share. F4 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in August 2004 at a price between $71.35 and $72.51 per share. Read SEC document |
| July 30, 2004 Filed Aug 2, 2004 14:32 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 73 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0000018230-04-000478 · edgar.xml · derivative · entry 3 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 73 shares Expires not disclosed F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F4 · price: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in July 2004 at a price of $73.61 per share. F4 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in July 2004 at a price of $73.61 per share. F4 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in July 2004 at a price of $73.61 per share. Read SEC document |
| June 30, 2004 Filed Jul 1, 2004 17:48 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 68 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000445 · edgar.xml · derivative · entry 3 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 68 shares Expires 1988-08-08 F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F4 · price: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in June 2004 at a price of $78.80 per share. F4 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in June 2004 at a price of $78.80 per share. F4 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in June 2004 at a price of $78.80 per share. Read SEC document |
| May 28, 2004 Filed Jun 1, 2004 14:57 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 88 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000329 · edgar.xml · derivative · entry 3 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 88 shares Expires 1988-08-08 F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F4 · price: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in May 2004 at a price between $72.955 and $75.37 per share. F4 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in May 2004 at a price between $72.955 and $75.37 per share. F4 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in May 2004 at a price between $72.955 and $75.37 per share. Read SEC document |
| April 30, 2004 Filed May 3, 2004 13:47 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 93 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000286 · edgar.xml · derivative · entry 3 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 93 shares Expires 1988-08-08 F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F4 · price: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in April 2004 at a price between $78.04 and $82.775 per share. F4 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in April 2004 at a price between $78.04 and $82.775 per share. F4 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in April 2004 at a price between $78.04 and $82.775 per share. Read SEC document |
| April 14, 2004 Filed Apr 15, 2004 15:46 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherOption (NQ) · Derivative | 4,000 | $0.00 Strike: $81.27 | $0.00 |
DisclosureSEC source: 0000018230-04-000243 · edgar.xml · derivative · entry 3 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,000 Underlying: Common · 4,000 shares Expires 2014-04-14 F3 · security: This option was granted with attached tax withholding rights. F4 · kind: Grant to reporting person of option to buy 4000 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 4000 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 4000 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 08, 2004 Filed Apr 12, 2004 14:24 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 4,000 | $0.00 Strike: $28.34 | $0.00 |
DisclosureSEC source: 0000018230-04-000215 · edgar.xml · derivative · entry 4 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 4,000 shares Expires 2004-04-13 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: This option was granted with attached tax withholding rights. F4 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| April 08, 2004 Filed Apr 12, 2004 14:24 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,374 | $82.50 | $113,348.13 |
DisclosureSEC source: 0000018230-04-000215 · edgar.xml · nonDerivative · entry 2 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,848 F1 · balance_after: This amount includes 604 dividend reinvestment shares. Read SEC document |
| April 08, 2004 Filed Apr 12, 2004 14:24 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 4,000 | $28.34 | $113,374.80 |
DisclosureSEC source: 0000018230-04-000215 · edgar.xml · nonDerivative · entry 1 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,222 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| March 31, 2004 Filed Apr 1, 2004 20:01 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 68 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000194 · edgar.xml · derivative · entry 3 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 68 shares Expires 1988-08-08 F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · price: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in March 2004 at a price of $79.36 per share. F2 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in March 2004 at a price of $79.36 per share. F2 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in March 2004 at a price of $79.36 per share. Read SEC document |
| February 27, 2004 Filed Mar 1, 2004 16:53 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 124 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000146 · edgar.xml · derivative · entry 3 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 124 shares Expires 1988-08-08 F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · price: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in February 2004 at a price between $76.70 and $77.49 per share. F2 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in February 2004 at a price between $76.70 and $77.49 per share. F2 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in February 2004 at a price between $76.70 and $77.49 per share. Read SEC document |
| January 30, 2004 Filed Feb 2, 2004 17:02 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 69 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000113 · edgar.xml · derivative · entry 3 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 69 shares Expires 1988-08-08 F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · price: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in January 2004 at a price of $77.73 per share. F2 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in January 2004 at a price of $77.73 per share. F2 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in January 2004 at a price of $77.73 per share. Read SEC document |
| December 31, 2003 Filed Jan 2, 2004 16:42 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 116 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000007 · edgar.xml · derivative · entry 3 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 116 shares Expires 1988-08-08 F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · price: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in December 2003 at a price between $76.16 and $83.71 per share. F2 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in December 2003 at a price between $76.16 and $83.71 per share. F2 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in December 2003 at a price between $76.16 and $83.71 per share. Read SEC document |
| December 29, 2003 Filed Aug 14, 2007 17:36 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 120 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000421 · edgar.xml · nonDerivative · entry 1 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,342 F2 · balance_after: Following this reported transaction, the reporting person held 21,342 shares. As of the date this report is being filed, taking into account the stock split in July 2005, the reporting person now owns 266,681 shares. Read SEC document |
| November 28, 2003 Filed Dec 1, 2003 15:24 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 85 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-03-000504 · edgar.xml · derivative · entry 3 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 85 shares Expires 1988-08-08 F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · price: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in November 2003 at a price between $72.985 and $75.715 per share. F2 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in November 2003 at a price between $72.985 and $75.715 per share. F2 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in November 2003 at a price between $72.985 and $75.715 per share. Read SEC document |
| October 31, 2003 Filed Nov 3, 2003 16:16 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 113 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-03-000484 · edgar.xml · derivative · entry 3 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 113 shares Expires 1988-08-08 F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · price: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in October 2003 at a price between $73.78 and $75.105 per share. F2 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in October 2003 at a price between $73.78 and $75.105 per share. F2 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in October 2003 at a price between $73.78 and $75.105 per share. Read SEC document |
| September 30, 2003 Filed Oct 1, 2003 20:32 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 116 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-03-000452 · edgar.xml · derivative · entry 3 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 116 shares Expires 1988-08-08 F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · price: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in September 2003 at a price of $68.695 per share. F2 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in September 2003 at a price of $68.695 per share. F2 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in September 2003 at a price of $68.695 per share. Read SEC document |
| September 30, 2003 Filed Oct 6, 2003 13:41 UTC Amendment | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 78 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-03-000459 · edgar.xml · derivative · entry 3 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 78 shares Expires 1988-08-08 F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · price: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in September 2003 at a price of $68.695 per share. F2 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in September 2003 at a price of $68.695 per share. F2 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in September 2003 at a price of $68.695 per share. Read SEC document |
| August 29, 2003 Filed Sep 2, 2003 14:56 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 116 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-03-000433 · edgar.xml · derivative · entry 3 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 116 shares Expires 1988-08-08 F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · price: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in August 2003 at a price between $69.23 and $72.115 per share. F2 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in August 2003 at a price between $69.23 and $72.115 per share. F2 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in August 2003 at a price between $69.23 and $72.115 per share. Read SEC document |
| July 31, 2003 Filed Aug 1, 2003 19:21 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 79 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-03-000370 · edgar.xml · derivative · entry 3 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 79 shares Expires 1988-08-08 F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · price: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in July 2003 at a price of $67.725 per share. F2 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in July 2003 at a price of $67.725 per share. F2 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in July 2003 at a price of $67.725 per share. Read SEC document |
| June 30, 2003 Filed Jul 1, 2003 19:37 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 169 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-03-000271 · edgar.xml · derivative · entry 1 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 169 shares Expires 1988-08-08 F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · price: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in June 2003 at a price between $54.285 and $55.82 per share. F2 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in June 2003 at a price between $54.285 and $55.82 per share. F2 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in June 2003 at a price between $54.285 and $55.82 per share. F1 · balance_after: Directly held shares from Table I are 21,068 that include 450 dividend reinvestment shares. Indirectly held shares by Trust from Table I are 1400 shares Read SEC document |
| May 30, 2003 Filed Jun 2, 2003 19:54 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 119 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-03-000224 · edgar.xml · derivative · entry 1 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 119 shares Expires 1988-08-08 F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · price: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in May 2003 at a price between $51.275 and $51.505 per share. F2 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in May 2003 at a price between $51.275 and $51.505 per share. F2 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. directors deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in May 2003 at a price between $51.275 and $51.505 per share. F1 · balance_after: Directly held shares from Table I are 21,068 that include 450 dividend reinvestment shares. Indirectly held shares by Trust from Table I are 1400 shares 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.