Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| TEXAS INSTRUMENTS INCTXN · Entity 2834 | Director | January 27, 2011 | January 31, 2011 |
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.
TEXAS INSTRUMENTS INC
Report date January 27, 2011 · Filed January 31, 2011
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 26,519 |
Reported balance
After 2011-01-27 transaction · row 1
1 source rowRow 1 · 2011-01-27 · Grant · Acquired 2,887 · Balance 26,519 F1: Award of restricted stock units granted under the Texas Instruments 2009 Director Compensation Plan. |
| NQ Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $34.63 · Expires 2021-01-27 | Direct | 10,002 |
Reported balance
After 2011-01-27 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2011-01-27 · Grant · Acquired 10,002 · Balance 10,002 F3: The option becomes exercisable in four equal annual installments beginning on January 27, 2012. |
| Common StockSEC Table I · non-derivative | IndirectBy Spouse | 1,600 |
Reported balance
Holding disclosure · report date 2011-01-27 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 1,600 F2: Beneficial ownership by reporting person disclaimed. |
Filing footnotes · ownership attribution and instrument terms
F1: Award of restricted stock units granted under the Texas Instruments 2009 Director Compensation Plan.
F2: Beneficial ownership by reporting person disclaimed.
F3: The option becomes exercisable in four equal annual installments beginning on January 27, 2012.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
CATERPILLAR INC
Report date December 31, 2013 · Filed January 02, 2014
Section 16 reporting ended · disclosed 2014-01-02. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Phantom Stock UnitsSEC Table II · derivative / convertible security | Direct | 57,573 |
Reported balance
After 2013-12-31 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2013-12-31 · Grant · Acquired 167 · Balance 57,573 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 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 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 |
|---|---|---|---|---|---|---|
| December 31, 2013 Filed Jan 2, 2014 21:17 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 167 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000018 · edgar.xml · derivative · entry 1 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,573 Underlying: Common Stock · 167 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: 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 from service. F3 · derivative.expiration_date: 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 from service. Read SEC document |
| November 29, 2013 Filed Dec 2, 2013 20:21 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 167 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000490 · edgar.xml · derivative · entry 1 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,406 Underlying: Common Stock · 167 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: 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. F3 · derivative.expiration_date: 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. F4 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| October 31, 2013 Filed Nov 4, 2013 16:00 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 169 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000451 · edgar.xml · derivative · entry 1 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,829 Underlying: Common Stock · 169 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: 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. F3 · derivative.expiration_date: 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. Read SEC document |
| September 30, 2013 Filed Oct 2, 2013 15:24 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 170 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000410 · edgar.xml · derivative · entry 1 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,660 Underlying: Common Stock · 170 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: 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. F3 · derivative.expiration_date: 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. Read SEC document |
| August 30, 2013 Filed Sep 3, 2013 20:43 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 172 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000394 · edgar.xml · derivative · entry 1 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,490 Underlying: Common Stock · 172 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: 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. F3 · derivative.expiration_date: 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. F4 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| July 31, 2013 Filed Aug 2, 2013 14:47 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 170 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000347 · edgar.xml · derivative · entry 1 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,919 Underlying: Common Stock · 170 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: 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. F3 · derivative.expiration_date: 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. Read SEC document |
| June 28, 2013 Filed Jul 2, 2013 15:36 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 171 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000305 · edgar.xml · derivative · entry 1 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,749 Underlying: Common Stock · 171 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: 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. F3 · derivative.expiration_date: 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. Read SEC document |
| May 31, 2013 Filed Jun 3, 2013 20:54 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 164 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000260 · edgar.xml · derivative · entry 1 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,578 Underlying: Common Stock · 164 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: 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. F3 · derivative.expiration_date: 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. F4 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| April 30, 2013 Filed May 2, 2013 15:20 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 168 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000221 · edgar.xml · derivative · entry 1 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,090 Underlying: Common Stock · 168 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: 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. F3 · derivative.expiration_date: 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. Read SEC document |
| March 28, 2013 Filed Apr 1, 2013 19:02 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 162 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000185 · edgar.xml · derivative · entry 1 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,922 Underlying: Common Stock · 162 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: 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. F3 · derivative.expiration_date: 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. Read SEC document |
| March 04, 2013 Filed Mar 5, 2013 22:25 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 1,115 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000116 · edgar.xml · nonDerivative · entry 1 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,526 F1 · kind: Restricted stock awarded pursuant to the Caterpillar Inc. 2006 Long -Term Incentive Plan. F2 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| February 28, 2013 Filed Mar 4, 2013 20:15 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 153 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000096 · edgar.xml · derivative · entry 1 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,760 Underlying: Common Stock · 153 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · 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. F3 · 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. Read SEC document |
| January 31, 2013 Filed Feb 4, 2013 20:52 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 144 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000062 · edgar.xml · derivative · entry 1 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,607 Underlying: Common Stock · 144 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · 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. F3 · 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. Read SEC document |
| December 31, 2012 Filed Jan 3, 2013 19:22 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 161 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000006 · edgar.xml · derivative · entry 3 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,463 Underlying: Common Stock · 161 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · 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. F3 · 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. F4 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| November 30, 2012 Filed Dec 4, 2012 22:13 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 499 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000566 · edgar.xml · derivative · entry 3 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,984 Underlying: Common · 499 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F3 · price: The units were valued in November 2012 on the basis of the issuer's common stock price, 166 units at a price of $85.66 and 333 units at $83.18.. F2 · 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. F2 · 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. Read SEC document |
| November 01, 2012 Filed Feb 7, 2013 20:48 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon Stock | 8,295 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000070 · edgar.xml · nonDerivative · entry 2 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,335 Read SEC document |
| October 31, 2012 Filed Nov 2, 2012 20:37 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 166 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000516 · edgar.xml · derivative · entry 3 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,485 Underlying: Common · 166 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F3 · price: The units were valued in October 2012 on the basis of the issuer's common stock price, 166 units at a price of $85.19. F2 · 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. F2 · 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. Read SEC document |
| October 31, 2012 Filed Feb 7, 2013 20:48 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon Stock | 8,303 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000070 · edgar.xml · nonDerivative · entry 1 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,630 F1 · balance_after: The post-transaction ownership totals included on the Form 4s filed by the reporting person on December 4, 2012 and January 3, 2013 did not take into account the effect of the gift transactions reported on this Form 5. Read SEC document |
| September 28, 2012 Filed Oct 2, 2012 14:44 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 165 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000457 · edgar.xml · derivative · entry 3 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,319 Underlying: Common · 165 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F3 · price: The units were valued in September 2012 on the basis of the issuer's common stock price, 165 units at a price of $86.02. F2 · 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. F2 · 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. Read SEC document |
| August 31, 2012 Filed Sep 5, 2012 18:42 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 470 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000431 · edgar.xml · derivative · entry 3 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,154 Underlying: Common · 470 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F3 · price: The units were valued in August 2012 on the basis of the issuer's common stock price, 304 units at a price of $89.86 and 166 units at a price of $85.10. F2 · 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. F2 · 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. Read SEC document |
| July 31, 2012 Filed Aug 1, 2012 19:44 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 166 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000382 · edgar.xml · derivative · entry 3 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,684 Underlying: Common · 166 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F3 · price: The units were valued in July 2012 on the basis of the issuer's common stock price, 166 units at a price of $85.25. F2 · 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. F2 · 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. Read SEC document |
| June 29, 2012 Filed Jul 3, 2012 17:18 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 168 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000360 · edgar.xml · derivative · entry 3 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,518 Underlying: Common · 168 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F3 · price: The units were valued in June 2012 on the basis of the issuer's common stock price, 168 units at a price of $84.38. F2 · 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. F2 · 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. Read SEC document |
| May 31, 2012 Filed Jun 4, 2012 19:11 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 425 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000305 · edgar.xml · derivative · entry 3 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,350 Underlying: Common · 425 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F3 · price: The units were valued in May 2012 on the basis of the issuer's common stock price, 163 units at a price of $87.26 and 262 units at a price of $90.81. F2 · 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. F2 · 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. Read SEC document |
| April 30, 2012 Filed May 2, 2012 14:23 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 137 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000243 · edgar.xml · derivative · entry 3 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,925 Underlying: Common · 137 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F3 · price: The units were valued in April 2012 on the basis of the issuer's common stock price, 137 units at a price of $103.33. F2 · 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. F2 · 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. Read SEC document |
| March 30, 2012 Filed Apr 3, 2012 16:40 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 134 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000182 · edgar.xml · derivative · entry 3 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,788 Underlying: Common · 134 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F3 · price: The units were valued in March 2012 on the basis of the issuer's common stock price, 134 units at a price of $106.27. F2 · 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. F2 · 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. Read SEC document |
| March 05, 2012 Filed Mar 7, 2012 20:59 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon | 909 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000145 · edgar.xml · nonDerivative · entry 1 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,933 F3 · kind: Restricted stock awarded pursuant to Caterpillar Inc. 2006 Long-Term Incentive Plan. Read SEC document |
| February 29, 2012 Filed Mar 2, 2012 19:43 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 327 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000087 · edgar.xml · derivative · entry 3 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,654 Underlying: Common · 327 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F3 · price: The units were valued in February 2012 on the basis of the issuer's common stock price, 204 units at a price of $115.41 and 123 units at a price of $115.04, per unit. F2 · 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. F2 · 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. Read SEC document |
| January 31, 2012 Filed Feb 1, 2012 21:59 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 128 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000050 · edgar.xml · derivative · entry 3 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,327 Underlying: Common · 128 shares Expires not disclosed F1 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · 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 2012 at a price of $110.36 per share. F2 · 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 2012 at a price of $110.36 per share. Read SEC document |
| December 30, 2011 Filed Jan 3, 2012 21:21 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 156 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000016 · edgar.xml · derivative · entry 3 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,199 Underlying: Common · 156 shares Expires not disclosed F1 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · 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 2011 at a price of $90.905 per share. F2 · 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 2011 at a price of $90.905 per share. Read SEC document |
| November 30, 2011 Filed Dec 2, 2011 20:18 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 403 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000536 · edgar.xml · derivative · entry 3 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,043 Underlying: Common · 403 shares Expires not disclosed F1 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · 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 2011, 147 at a price of $96.435 per share and 256 at a price of $90.79 per share. F2 · 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 2011, 147 at a price of $96.435 per share and 256 at a price of $90.79 per share. Read SEC document |
| October 31, 2011 Filed Nov 2, 2011 20:02 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 149 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000497 · edgar.xml · derivative · entry 3 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,640 Underlying: Common · 149 shares Expires not disclosed F1 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · 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 2011 at a price of $94.74 per share. F2 · 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 2011 at a price of $94.74 per share. Read SEC document |
| October 27, 2011 Filed Oct 31, 2011 20:52 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 8,000 | $0.00 Strike: $29.43 | $0.00 |
DisclosureSEC source: 0000018230-11-000491 · edgar.xml · derivative · entry 7 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 8,000 shares Expires 2012-04-10 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: Right to buy with tandem tax withholding rights. F2 · derivative.exercise_date: Exercisable in thirds - 1/3 after one year; 1/3 after two years; 1/3 after three years. Read SEC document |
| October 27, 2011 Filed Oct 31, 2011 20:52 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 8,000 | $0.00 Strike: $26.03 | $0.00 |
DisclosureSEC source: 0000018230-11-000491 · edgar.xml · derivative · entry 6 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 8,000 shares Expires 2013-04-09 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: Right to buy with tandem tax withholding rights. F2 · derivative.exercise_date: Exercisable in thirds - 1/3 after one year; 1/3 after two years; 1/3 after three years. Read SEC document |
| October 27, 2011 Filed Oct 31, 2011 20:52 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 2,448 | $96.17 | $235,424.16 |
DisclosureSEC source: 0000018230-11-000491 · edgar.xml · nonDerivative · entry 4 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,024 Read SEC document |
| October 27, 2011 Filed Oct 31, 2011 20:52 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 8,000 | $29.43 | $235,460.00 |
DisclosureSEC source: 0000018230-11-000491 · edgar.xml · nonDerivative · entry 3 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,472 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 |
| October 27, 2011 Filed Oct 31, 2011 20:52 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 2,165 | $96.17 | $208,208.05 |
DisclosureSEC source: 0000018230-11-000491 · edgar.xml · nonDerivative · entry 2 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,472 Read SEC document |
| October 27, 2011 Filed Oct 31, 2011 20:52 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 8,000 | $26.03 | $208,240.00 |
DisclosureSEC source: 0000018230-11-000491 · edgar.xml · nonDerivative · entry 1 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,637 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| September 30, 2011 Filed Oct 3, 2011 18:59 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 190 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000465 · edgar.xml · derivative · entry 3 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,491 Underlying: Common · 190 shares Expires not disclosed F1 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · 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 2011 at a price of $74.56 per share. F2 · 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 2011 at a price of $74.56 per share. Read SEC document |
| August 31, 2011 Filed Sep 1, 2011 20:05 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 436 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000435 · edgar.xml · derivative · entry 3 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,301 Underlying: Common · 436 shares Expires not disclosed F1 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · 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 2011, 282 at a price of $81.30 per share and 154 at a price of $91.86 per share. F2 · 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 2011, 282 at a price of $81.30 per share and 154 at a price of $91.86 per share. Read SEC document |
| July 29, 2011 Filed Aug 1, 2011 21:04 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 143 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000404 · edgar.xml · derivative · entry 3 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,865 Underlying: Common · 143 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · 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 2011 at a price of $98.62 per share. F3 · 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 2011 at a price of $98.62 per share. Read SEC document |
| June 30, 2011 Filed Jul 1, 2011 19:52 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 135 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000370 · edgar.xml · derivative · entry 3 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,722 Underlying: Common · 135 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · 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 2011 at a price of $105.16 per share. F3 · 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 2011 at a price of $105.16 per share. Read SEC document |
| May 31, 2011 Filed Jun 1, 2011 20:13 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 341 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000319 · edgar.xml · derivative · entry 2 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,587 Underlying: Common · 341 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · 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 2011 at a price of $105.4150 per share. F3 · 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 2011 at a price of $105.4150 per share. Read SEC document |
| April 29, 2011 Filed May 2, 2011 19:07 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 123 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000253 · edgar.xml · derivative · entry 2 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,246 Underlying: Common · 123 shares Expires not disclosed F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · 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 2011 at a price of $115.4000 per share. F2 · 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 2011 at a price of $115.4000 per share. Read SEC document |
| March 31, 2011 Filed Apr 1, 2011 19:53 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 163 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000217 · edgar.xml · derivative · entry 2 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,123 Underlying: Common · 163 shares Expires not disclosed F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · 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 March 2011 at a price of $111.4250 per share. F2 · 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 March 2011 at a price of $111.4250 per share. Read SEC document |
| March 07, 2011 Filed Mar 8, 2011 19:12 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon | 980 | $102.13 | $100,087.40 |
DisclosureSEC source: 0000018230-11-000163 · edgar.xml · nonDerivative · entry 1 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,839 F4 · kind: Restricted stock awarded pursuant to Caterpillar Inc. 2006 Long-Term Incentive Plan. F1 · balance_after: Included in this amount are 5198 shares in dividend reinvestment. Read SEC document |
| March 03, 2011 Filed Mar 4, 2011 22:25 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionRestricted Stock Units · Derivative | 1,606 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-11-000128 · edgar.xml · derivative · entry 3 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 1,606 shares Expires 2011-03-03 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: Each restricted stock unit represents the equivalent of one share of Caterpillar common stock. On March 3, 2011, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar common stock. F4 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar common stock. On March 3, 2011, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar common stock. Read SEC document |
| March 03, 2011 Filed Mar 4, 2011 22:25 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 1,606 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-11-000128 · edgar.xml · nonDerivative · entry 1 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,859 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar common stock. On March 3, 2011, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar common stock. F1 · balance_after: Included in this amount are 5198 shares in dividend reinvestment. Read SEC document |
| February 28, 2011 Filed Mar 1, 2011 21:00 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 383 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000086 · edgar.xml · derivative · entry 2 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,960 Underlying: Common · 383 shares Expires not disclosed F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · 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 February 2011 at a price between $102.46 & $103.415 per share. F2 · 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 February 2011 at a price between $102.46 & $103.415 per share. Read SEC document |
| January 31, 2011 Filed Feb 1, 2011 16:51 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 188 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000041 · edgar.xml · derivative · entry 2 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,577 Underlying: Common · 188 shares Expires not disclosed F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · 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 2011 at a price of $96.535 per share. F2 · 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 2011 at a price of $96.535 per share. Read SEC document |
| January 27, 2011 Filed Jan 31, 2011 22:49 UTC | TEXAS INSTRUMENTS INC TXN · Entity 2834 | GrantNQ Stock Option (Right to Buy) · Derivative | 10,002 | $0.00 Strike: $34.63 | $0.00 |
DisclosureSEC source: 0001127602-11-003053 · form4.xml · derivative · entry 3 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,002 Underlying: Common Stock · 10,002 shares Expires 2021-01-27 F3 · derivative.exercise_date: The option becomes exercisable in four equal annual installments beginning on January 27, 2012. 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.