Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| BEST BUY CO INCBBY · Entity 3305 | Director | March 02, 2018 | March 05, 2018 |
| CATERPILLAR INCCAT · Entity 2808 | Group President | March 01, 2013 | March 07, 2013 |
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.
BEST BUY CO INC
Report date March 02, 2018 · Filed March 05, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 27,694 |
Ending reported balance
After 2018-03-02 transaction · row 4
4 source rows · reconciled sequenceRow 1 · 2018-03-02 · Exercise / conversion · Acquired 10,000 · Balance 40,128 Row 2 · 2018-03-02 · Exercise / conversion · Acquired 7,500 · Balance 47,628 Row 3 · 2018-03-02 · Exercise / conversion · Acquired 3,750 · Balance 51,378 Row 4 · 2018-03-02 · Sale · Disposed 23,684 · Balance 27,694 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $73.8599 to $74.183, inclusive. The reporting person undertakes to provide to BBY, any security holder of BBY, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $38.13 · Expires 2019-04-06 | Direct | 0 |
Reported balance
After 2018-03-02 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2018-03-02 · Exercise / conversion · Disposed 7,500 · Balance 0 |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $44.20 · Expires 2020-04-06 | Direct | 0 |
Reported balance
After 2018-03-02 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2018-03-02 · Exercise / conversion · Disposed 10,000 · Balance 0 |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $26.88 · Expires 2018-10-30 | Direct | 0 |
Reported balance
After 2018-03-02 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2018-03-02 · Exercise / conversion · Disposed 3,750 · Balance 0 |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $73.8599 to $74.183, inclusive. The reporting person undertakes to provide to BBY, any security holder of BBY, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
CATERPILLAR INC
Report date March 01, 2013 · Filed March 07, 2013
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 128,883 |
Reported balance
After 2013-03-01 transaction · row 1
1 source rowRow 1 · 2013-03-01 · Exercise / conversion · Acquired 3,257 · Balance 128,883 F1: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 1, 2013, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar Inc. common stock. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Expires 2013-03-01 | Direct | 0 |
Reported balance
After 2013-03-01 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2013-03-01 · Exercise / conversion · Disposed 3,257 · Balance 0 F1: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 1, 2013, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar Inc. common stock. |
Filing footnotes · ownership attribution and instrument terms
F1: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 1, 2013, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar Inc. common stock.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| March 02, 2018 Filed Mar 5, 2018 22:10 UTC | BEST BUY CO INC BBY · Entity 3305 | Exercise / conversionStock Option (Right to Buy) · Derivative | 3,750 | $26.88 Strike: $26.88 | $100,800.00 |
DisclosureSEC source: 0001225208-18-005286 · doc4.xml · derivative · entry 7 VITTECOQ GERARD R · CIK 0001171778 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,750 shares Expires 2018-10-30 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 02, 2018 Filed Mar 5, 2018 22:10 UTC | BEST BUY CO INC BBY · Entity 3305 | Exercise / conversionStock Option (Right to Buy) · Derivative | 10,000 | $44.20 Strike: $44.20 | $442,000.00 |
DisclosureSEC source: 0001225208-18-005286 · doc4.xml · derivative · entry 6 VITTECOQ GERARD R · CIK 0001171778 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,000 shares Expires 2020-04-06 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| March 02, 2018 Filed Mar 5, 2018 22:10 UTC | BEST BUY CO INC BBY · Entity 3305 | Exercise / conversionStock Option (Right to Buy) · Derivative | 7,500 | $38.13 Strike: $38.13 | $285,975.00 |
DisclosureSEC source: 0001225208-18-005286 · doc4.xml · derivative · entry 5 VITTECOQ GERARD R · CIK 0001171778 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,500 shares Expires 2019-04-06 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| March 02, 2018 Filed Mar 5, 2018 22:10 UTC | BEST BUY CO INC BBY · Entity 3305 | SaleCommon Stock | 23,684 | $74.12 | $1,755,524.40 |
DisclosureSEC source: 0001225208-18-005286 · doc4.xml · nonDerivative · entry 4 VITTECOQ GERARD R · CIK 0001171778 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,694 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $73.8599 to $74.183, inclusive. The reporting person undertakes to provide to BBY, any security holder of BBY, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| March 02, 2018 Filed Mar 5, 2018 22:10 UTC | BEST BUY CO INC BBY · Entity 3305 | Exercise / conversionCommon Stock | 3,750 | $26.88 | $100,800.00 |
DisclosureSEC source: 0001225208-18-005286 · doc4.xml · nonDerivative · entry 3 VITTECOQ GERARD R · CIK 0001171778 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,378 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 02, 2018 Filed Mar 5, 2018 22:10 UTC | BEST BUY CO INC BBY · Entity 3305 | Exercise / conversionCommon Stock | 7,500 | $38.13 | $285,975.00 |
DisclosureSEC source: 0001225208-18-005286 · doc4.xml · nonDerivative · entry 2 VITTECOQ GERARD R · CIK 0001171778 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,628 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 02, 2018 Filed Mar 5, 2018 22:10 UTC | BEST BUY CO INC BBY · Entity 3305 | Exercise / conversionCommon Stock | 10,000 | $44.20 | $442,000.00 |
DisclosureSEC source: 0001225208-18-005286 · doc4.xml · nonDerivative · entry 1 VITTECOQ GERARD R · CIK 0001171778 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,128 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| June 12, 2017 Filed Jun 13, 2017 20:17 UTC | BEST BUY CO INC BBY · Entity 3305 | GrantCommon Stock | 3,414 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-011241 · doc4.xml · nonDerivative · entry 1 VITTECOQ GERARD R · CIK 0001171778 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,128 F1 · shares: Shares were acquired pursuant to a grant of restricted stock units under the Issuer's Omnibus Incentive Plan. The award vests in full one year from the grant date. Read SEC document |
| March 04, 2013 Filed Mar 5, 2013 22:17 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Option (right to buy) · Derivative | 95,403 | $0.00 Strike: $89.75 | $0.00 |
DisclosureSEC source: 0000018230-13-000108 · edgar.xml · derivative · entry 1 VITTECOQ GERARD R · CIK 0001171778 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,403 Underlying: Common Stock · 95,403 shares Expires 2023-03-04 Read SEC document |
| March 01, 2013 Filed Mar 7, 2013 00:53 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionRestricted Stock Units · Derivative | 3,257 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-13-000159 · edgar.xml · derivative · entry 2 VITTECOQ GERARD R · CIK 0001171778 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,257 shares Expires 2013-03-01 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 · derivative.exercise_price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 1, 2013, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar Inc. common stock. F1 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 1, 2013, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar Inc. common stock. Read SEC document |
| March 01, 2013 Filed Mar 7, 2013 00:53 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 3,257 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-13-000159 · edgar.xml · nonDerivative · entry 1 VITTECOQ GERARD R · CIK 0001171778 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 128,883 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 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 1, 2013, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar Inc. common stock. Read SEC document |
| May 01, 2012 Filed May 3, 2012 16:19 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon | 2,500 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000269 · edgar.xml · nonDerivative · entry 1 VITTECOQ GERARD R · CIK 0001171778 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 125,626 F1 · shares: Represents restricted stock units (RSU) awarded pursuant to the Caterpillar Inc. 2006 Long -Term Incentive Plan. Each RSU represents the right to receive one share of Caterpillar Inc. common stock and vests in thirds beginning 2 years after the initial grant date (1/3 after three years; 1/3 after four years; 1/3 after five years). F2 · balance_after: Included in this amount are 42686 shares in EIP and 323 shares in dividend reinvestment. Read SEC document |
| March 05, 2012 Filed Mar 7, 2012 21:45 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Option (right to buy) · Derivative | 60,515 | $0.00 Strike: $110.09 | $0.00 |
DisclosureSEC source: 0000018230-12-000159 · edgar.xml · derivative · entry 2 VITTECOQ GERARD R · CIK 0001171778 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,515 Underlying: Common · 60,515 shares Expires 2022-03-05 Read SEC document |
| March 02, 2012 Filed Mar 6, 2012 22:32 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionRestricted Stock Units · Derivative | 6,925 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000117 · edgar.xml · derivative · entry 2 VITTECOQ GERARD R · CIK 0001171778 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 6,925 shares Expires 2012-03-02 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 2, 2012, the reporting person's restricted stock units were setted for an equal number of shares of Caterpillar Inc. common stock. F2 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 2, 2012, the reporting person's restricted stock units were setted for an equal number of shares of Caterpillar Inc. common stock. Read SEC document |
| March 02, 2012 Filed Mar 6, 2012 22:32 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 6,925 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000117 · edgar.xml · nonDerivative · entry 1 VITTECOQ GERARD R · CIK 0001171778 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 123,126 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Represents the vesting of restricted stock units granted to the reporting person on March 2, 2009. F2 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 2, 2012, the reporting person's restricted stock units were setted for an equal number of shares of Caterpillar Inc. common stock. F3 · balance_after: Included in this amount are 40,718 shares in EIP and 209 shares in dividend reinvestment. Read SEC document |
| August 09, 2011 Filed Aug 9, 2011 20:17 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftEmployee Stock Option · Derivative | 54,000 | $0.00 Strike: $27.14 | $0.00 |
DisclosureSEC source: 0000018230-11-000417 · edgar.xml · derivative · entry 3 VITTECOQ GERARD R · CIK 0001171778 · Group President 10b5-1 filing: Not disclosed Ownership: Indirect · By daughter Disclosed balance after: 54,000 Underlying: Common · 54,000 shares Expires 2013-06-10 F2 · security: Right to buy with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after one year; 1/3 after two years; 1/3 after three years. F4 · ownership.direct: The reporting person transferred the reported option to his daughter. Read SEC document |
| August 09, 2011 Filed Aug 9, 2011 20:17 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftEmployee Stock Option · Derivative | 54,000 | $0.00 Strike: $27.14 | $0.00 |
DisclosureSEC source: 0000018230-11-000417 · edgar.xml · derivative · entry 2 VITTECOQ GERARD R · CIK 0001171778 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 54,000 shares Expires 2013-06-10 F2 · security: Right to buy with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after one year; 1/3 after two years; 1/3 after three years. F4 · ownership.direct: The reporting person transferred the reported option to his daughter. Read SEC document |
| August 05, 2011 Filed Aug 8, 2011 19:04 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftEmployee Stock Option · Derivative | 54,000 | $0.00 Strike: $25.36 | $0.00 |
DisclosureSEC source: 0000018230-11-000415 · edgar.xml · derivative · entry 3 VITTECOQ GERARD R · CIK 0001171778 · Group President 10b5-1 filing: Not disclosed Ownership: Indirect · By daughter Disclosed balance after: 54,000 Underlying: Common · 54,000 shares Expires 2012-06-11 F2 · security: Right to buy with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after one year; 1/3 after two years; 1/3 after three years. F4 · ownership.direct: The reporting person transferred the reported option to his daughter. Read SEC document |
| August 05, 2011 Filed Aug 8, 2011 19:04 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftEmployee Stock Option · Derivative | 54,000 | $0.00 Strike: $25.36 | $0.00 |
DisclosureSEC source: 0000018230-11-000415 · edgar.xml · derivative · entry 2 VITTECOQ GERARD R · CIK 0001171778 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 54,000 shares Expires 2012-06-11 F2 · security: Right to buy with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after one year; 1/3 after two years; 1/3 after three years. F4 · ownership.direct: The reporting person transferred the reported option to his daughter. Read SEC document |
| May 02, 2011 Filed May 4, 2011 17:42 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantRestricted Stock Units · Derivative | 500 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000276 · edgar.xml · derivative · entry 2 VITTECOQ GERARD R · CIK 0001171778 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 500 Underlying: Common · 500 shares Expires not disclosed F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Caterpillar common stock. F3 · derivative.exercise_date: The restricted stock units vest on May 2, 2016. F3 · derivative.expiration_date: The restricted stock units vest on May 2, 2016. Read SEC document |
| March 07, 2011 Filed Mar 8, 2011 20:36 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantStock Appreciation Rights · Derivative | 56,228 | $0.00 Strike: $102.13 | $0.00 |
DisclosureSEC source: 0000018230-11-000188 · edgar.xml · derivative · entry 2 VITTECOQ GERARD R · CIK 0001171778 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,228 Underlying: Common · 56,228 shares Expires 2021-03-07 F2 · derivative.exercise_date: The stock appreciation rights vest on March 7, 2014. Read SEC document |
| March 03, 2011 Filed Mar 4, 2011 21:26 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionRestricted Stock Units · Derivative | 4,109 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-11-000113 · edgar.xml · derivative · entry 2 VITTECOQ GERARD R · CIK 0001171778 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 4,109 shares Expires 2011-03-03 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · 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. F2 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar common stock. On March 3, 2011, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar common stock. Read SEC document |
| March 03, 2011 Filed Mar 4, 2011 21:26 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 4,109 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-11-000113 · edgar.xml · nonDerivative · entry 1 VITTECOQ GERARD R · CIK 0001171778 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 116,151 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · 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 40,718 shares in EIP and 159 shares in dividend reinvestment. Read SEC document |
| September 20, 2010 Filed Sep 20, 2010 18:23 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftEmployee Stock Option · Derivative | 48,000 | $0.00 Strike: $26.77 | $0.00 |
DisclosureSEC source: 0000018230-10-000457 · edgar.xml · derivative · entry 3 VITTECOQ GERARD R · CIK 0001171778 · Group President 10b5-1 filing: Not disclosed Ownership: Indirect · By daughter Disclosed balance after: 48,000 Underlying: Common · 48,000 shares Expires 2011-06-12 F2 · security: (Right to buy) with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. F4 · ownership.direct: The reporting person transferred the reported option to his daughter. Read SEC document |
| September 20, 2010 Filed Sep 20, 2010 18:23 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftEmployee Stock Option · Derivative | 48,000 | $0.00 Strike: $26.77 | $0.00 |
DisclosureSEC source: 0000018230-10-000457 · edgar.xml · derivative · entry 2 VITTECOQ GERARD R · CIK 0001171778 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 48,000 shares Expires 2011-06-12 F2 · security: (Right to buy) with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. F4 · ownership.direct: The reporting person transferred the reported option to his daughter. Read SEC document |
| March 02, 2010 Filed Mar 4, 2010 18:56 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionRestricted Stock Units · Derivative | 4,832 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-10-000156 · edgar.xml · derivative · entry 2 VITTECOQ GERARD R · CIK 0001171778 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 4,832 shares Expires 2010-03-02 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Each restricted stock unit represents the equivalent of one share of Caterpillar common stock. On March 2, 2010, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar common stock. F2 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar common stock. On March 2, 2010, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar common stock. Read SEC document |
| March 02, 2010 Filed Mar 4, 2010 18:56 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 4,832 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-10-000156 · edgar.xml · nonDerivative · entry 1 VITTECOQ GERARD R · CIK 0001171778 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 109,819 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar common stock. On March 2, 2010, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar common stock. F1 · balance_after: Included in this amount are 38,565 shares in EIP and 89 shares in dividend reinvestment. Read SEC document |
| March 01, 2010 Filed Mar 3, 2010 21:15 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantRestricted Stock Units · Derivative | 3,257 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000136 · edgar.xml · derivative · entry 3 VITTECOQ GERARD R · CIK 0001171778 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,257 Underlying: Common · 3,257 shares Expires not disclosed F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Caterpillar common stock. F2 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 1, 2013. F2 · derivative.expiration_date: The restricted stock units and stock appreciation rights vest on March 1, 2013. Read SEC document |
| March 01, 2010 Filed Mar 3, 2010 21:15 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantStock Appreciation Rights · Derivative | 129,394 | $0.00 Strike: $57.85 | $0.00 |
DisclosureSEC source: 0000018230-10-000136 · edgar.xml · derivative · entry 2 VITTECOQ GERARD R · CIK 0001171778 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 129,394 Underlying: Common · 129,394 shares Expires 2020-03-01 F2 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 1, 2013. Read SEC document |
| October 20, 2009 Filed Oct 21, 2009 18:09 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 5,984 | $0.00 Strike: $19.20 | $0.00 |
DisclosureSEC source: 0000018230-09-000447 · edgar.xml · derivative · entry 3 VITTECOQ GERARD R · CIK 0001171778 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 5,984 shares Expires 2010-06-12 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: (Right to buy) with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| October 20, 2009 Filed Oct 21, 2009 18:09 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,921 | $59.79 | $114,856.59 |
DisclosureSEC source: 0000018230-09-000447 · edgar.xml · nonDerivative · entry 2 VITTECOQ GERARD R · CIK 0001171778 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 103,426 F1 · balance_after: Included in this amount are 37,093 shares in EIP. Read SEC document |
| October 20, 2009 Filed Oct 21, 2009 18:09 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 5,984 | $19.20 | $114,911.95 |
DisclosureSEC source: 0000018230-09-000447 · edgar.xml · nonDerivative · entry 1 VITTECOQ GERARD R · CIK 0001171778 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 105,347 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 19, 2009 Filed Oct 20, 2009 15:51 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 5,984 | $0.00 Strike: $19.20 | $0.00 |
DisclosureSEC source: 0000018230-09-000437 · edgar.xml · derivative · entry 3 VITTECOQ GERARD R · CIK 0001171778 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 5,984 shares Expires 2010-06-12 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: (Right to buy) with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| October 19, 2009 Filed Oct 20, 2009 15:51 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 2,032 | $56.54 | $114,879.12 |
DisclosureSEC source: 0000018230-09-000437 · edgar.xml · nonDerivative · entry 2 VITTECOQ GERARD R · CIK 0001171778 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 99,363 F1 · balance_after: Included in this amount are 37,093 shares in EIP. Read SEC document |
| October 19, 2009 Filed Oct 20, 2009 15:51 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 5,984 | $19.20 | $114,911.95 |
DisclosureSEC source: 0000018230-09-000437 · edgar.xml · nonDerivative · entry 1 VITTECOQ GERARD R · CIK 0001171778 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 101,395 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 |
| August 05, 2009 Filed Aug 6, 2009 15:02 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 12,000 | $0.00 Strike: $19.20 | $0.00 |
DisclosureSEC source: 0000018230-09-000321 · edgar.xml · derivative · entry 3 VITTECOQ GERARD R · CIK 0001171778 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 12,000 shares Expires 2010-06-12 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: (Right to buy) with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| August 05, 2009 Filed Aug 6, 2009 15:02 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 4,875 | $47.26 | $230,392.50 |
DisclosureSEC source: 0000018230-09-000321 · edgar.xml · nonDerivative · entry 2 VITTECOQ GERARD R · CIK 0001171778 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,411 F1 · balance_after: Included in this amount are 37,093 shares in EIP. Read SEC document |
| August 05, 2009 Filed Aug 6, 2009 15:02 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 12,000 | $19.20 | $230,438.40 |
DisclosureSEC source: 0000018230-09-000321 · edgar.xml · nonDerivative · entry 1 VITTECOQ GERARD R · CIK 0001171778 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,286 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 02, 2009 Filed Mar 4, 2009 18:19 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantRestricted Stock Units · Derivative | 6,925 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000097 · edgar.xml · derivative · entry 3 VITTECOQ GERARD R · CIK 0001171778 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,925 Underlying: Common · 6,925 shares Expires not disclosed F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Caterpillar common stock. F2 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 2, 2012. F2 · derivative.expiration_date: The restricted stock units and stock appreciation rights vest on March 2, 2012. Read SEC document |
| March 02, 2009 Filed Mar 4, 2009 18:19 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantStock Appreciation Rights · Derivative | 156,962 | $0.00 Strike: $22.17 | $0.00 |
DisclosureSEC source: 0000018230-09-000097 · edgar.xml · derivative · entry 2 VITTECOQ GERARD R · CIK 0001171778 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 156,962 Underlying: Common · 156,962 shares Expires 2019-03-02 F2 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 2, 2012. Read SEC document |
| March 03, 2008 Filed Mar 4, 2008 20:43 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantRestricted Stock Units · Derivative | 4,109 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000099 · edgar.xml · derivative · entry 3 VITTECOQ GERARD R · CIK 0001171778 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,109 Underlying: Common · 4,109 shares Expires not disclosed F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Caterpillar common stock. F2 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 3, 2011. F2 · derivative.expiration_date: The restricted stock units and stock appreciation rights vest on March 3, 2011. Read SEC document |
| March 03, 2008 Filed Mar 4, 2008 20:43 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantStock Appreciation Rights · Derivative | 111,294 | $0.00 Strike: $73.20 | $0.00 |
DisclosureSEC source: 0000018230-08-000099 · edgar.xml · derivative · entry 2 VITTECOQ GERARD R · CIK 0001171778 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 111,294 Underlying: Common · 111,294 shares Expires 2018-03-03 F2 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 3, 2011. Read SEC document |
| June 20, 2007 Filed Jun 21, 2007 17:25 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 19,360 | $0.00 Strike: $31.17 | $0.00 |
DisclosureSEC source: 0000018230-07-000346 · edgar.xml · derivative · entry 3 VITTECOQ GERARD R · CIK 0001171778 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 19,360 shares Expires 2009-06-08 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: (Right to buy) with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| June 20, 2007 Filed Jun 21, 2007 17:25 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 7,353 | $82.07 | $603,460.71 |
DisclosureSEC source: 0000018230-07-000346 · edgar.xml · nonDerivative · entry 2 VITTECOQ GERARD R · CIK 0001171778 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,310 F1 · balance_after: Included in this amount are 31,312 shares in EIP. Read SEC document |
| June 20, 2007 Filed Jun 21, 2007 17:25 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 19,360 | $31.17 | $603,487.98 |
DisclosureSEC source: 0000018230-07-000346 · edgar.xml · nonDerivative · entry 1 VITTECOQ GERARD R · CIK 0001171778 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,663 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 |
| April 02, 2007 Filed Apr 2, 2007 17:47 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 2,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000259 · edgar.xml · derivative · entry 2 VITTECOQ GERARD R · CIK 0001171778 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,000 Underlying: Common · 2,000 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · kind: Restricted stock awarded pursuant to Caterpillar Inc. 2006 Long-Term Incentive Plan. F4 · derivative.exercise_date: The restriction on the stock will be lifted 1/3 after 3 yrs.; 1/3 after 4 yrs. and 1/3 after 5 yrs. F4 · derivative.expiration_date: The restriction on the stock will be lifted 1/3 after 3 yrs.; 1/3 after 4 yrs. and 1/3 after 5 yrs. Read SEC document |
| March 02, 2007 Filed Mar 5, 2007 18:43 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantRestricted Stock Units · Derivative | 4,832 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000106 · edgar.xml · derivative · entry 3 VITTECOQ GERARD R · CIK 0001171778 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,832 Underlying: Common · 4,832 shares Expires not disclosed F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Caterpillar common stock. F2 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 2, 2010. F2 · derivative.expiration_date: The restricted stock units and stock appreciation rights vest on March 2, 2010. Read SEC document |
| March 02, 2007 Filed Mar 5, 2007 18:43 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantStock Appreciation Right · Derivative | 109,516 | $0.00 Strike: $63.04 | $0.00 |
DisclosureSEC source: 0000018230-07-000106 · edgar.xml · derivative · entry 2 VITTECOQ GERARD R · CIK 0001171778 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 109,516 Underlying: Common · 109,516 shares Expires 2017-03-02 F2 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 2, 2010. Read SEC document |
| February 17, 2006 Filed Feb 21, 2006 14:00 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantStock Appreciation Right · Derivative | 95,000 | $0.00 Strike: $72.05 | $0.00 |
DisclosureSEC source: 0000018230-06-000126 · edgar.xml · derivative · entry 2 VITTECOQ GERARD R · CIK 0001171778 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,000 Underlying: Common · 95,000 shares Expires 2016-02-17 Read SEC document |
| October 26, 2005 Filed Oct 28, 2005 18:27 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftEmployee Stock Option · Derivative | 12,600 | $0.00 Strike: $25.83 | $0.00 |
DisclosureSEC source: 0000018230-05-000683 · edgar.xml · derivative · entry 3 VITTECOQ GERARD R · CIK 0001171778 · Group President 10b5-1 filing: Not disclosed Ownership: Indirect · By Daughters Disclosed balance after: 12,600 Underlying: Common · 12,600 shares Expires 2007-06-10 F2 · security: (Right to buy) with tandem tax withholding rights. F3 · derivative.exercise_date: The option vested in equal installments on June 10, 1998, 1999 and 2000. F4 · ownership.direct: The reporting person transferred the reported option to his daughters. 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.