Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CATERPILLAR INCCAT · Entity 2808 | Director | March 04, 2013 | March 06, 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.
CATERPILLAR INC
Report date March 04, 2013 · Filed March 06, 2013
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 15,957 |
Reported balance
After 2013-03-04 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2013-03-04 · Grant · Acquired 1,115 · Balance 15,957 F1: Restricted stock awarded pursuant to Caterpillar Inc. 2006 Long-Term Incentive Plan. F2: Includes adjustments for dividends accrued. |
Filing footnotes · ownership attribution and instrument terms
F1: Restricted stock awarded pursuant to Caterpillar Inc. 2006 Long-Term Incentive Plan.
F2: Includes adjustments for dividends accrued.
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 04, 2013 Filed Mar 6, 2013 14:08 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 1,115 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000127 · edgar.xml · nonDerivative · entry 1 Smith Joshua I · CIK 0001173565 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,957 F1 · kind: Restricted stock awarded pursuant to Caterpillar Inc. 2006 Long-Term Incentive Plan. F2 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| March 05, 2012 Filed Mar 7, 2012 19:28 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon | 909 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000121 · edgar.xml · nonDerivative · entry 1 Smith Joshua I · CIK 0001173565 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,480 F2 · kind: Restricted stock awarded pursuant to Caterpillar Inc. 2006 Long-Term Incentive Plan. F1 · balance_after: This amount includes 203 shares in dividend reinvestment. Read SEC document |
| March 07, 2011 Filed Mar 8, 2011 19:06 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon | 980 | $102.13 | $100,087.40 |
DisclosureSEC source: 0000018230-11-000156 · edgar.xml · nonDerivative · entry 1 Smith Joshua I · CIK 0001173565 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,571 F2 · kind: Restricted stock awarded pursuant to Caterpillar Inc. 2006 Long-Term Incentive Plan. F1 · balance_after: This amount includes 203 shares in dividend reinvestment. Read SEC document |
| March 03, 2011 Filed Mar 4, 2011 22:28 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionRestricted Stock Units · Derivative | 1,606 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-11-000133 · edgar.xml · derivative · entry 2 Smith Joshua I · CIK 0001173565 · 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. 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 22:28 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 1,606 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-11-000133 · edgar.xml · nonDerivative · entry 1 Smith Joshua I · CIK 0001173565 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,591 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: This amount includes 203 shares in dividend reinvestment. Read SEC document |
| February 03, 2011 Filed Feb 4, 2011 15:57 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 2,000 | $0.00 Strike: $40.64 | $0.00 |
DisclosureSEC source: 0000018230-11-000057 · edgar.xml · derivative · entry 5 Smith Joshua I · CIK 0001173565 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 2,000 shares Expires 2014-04-14 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 |
| February 03, 2011 Filed Feb 4, 2011 15:57 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 4,000 | $0.00 Strike: $29.43 | $0.00 |
DisclosureSEC source: 0000018230-11-000057 · edgar.xml · derivative · entry 4 Smith Joshua I · CIK 0001173565 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 4,000 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. 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 |
| February 03, 2011 Filed Feb 4, 2011 15:57 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 6,000 | $99.00 | $594,019.20 |
DisclosureSEC source: 0000018230-11-000057 · edgar.xml · nonDerivative · entry 3 Smith Joshua I · CIK 0001173565 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,985 F1 · balance_after: This amount includes 203 shares in dividend reinvestment. Read SEC document |
| February 03, 2011 Filed Feb 4, 2011 15:57 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 2,000 | $40.64 | $81,270.00 |
DisclosureSEC source: 0000018230-11-000057 · edgar.xml · nonDerivative · entry 2 Smith Joshua I · CIK 0001173565 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,985 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 |
| February 03, 2011 Filed Feb 4, 2011 15:57 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 4,000 | $29.43 | $117,730.00 |
DisclosureSEC source: 0000018230-11-000057 · edgar.xml · nonDerivative · entry 1 Smith Joshua I · CIK 0001173565 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,985 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 |
| February 05, 2010 Filed Feb 8, 2010 19:02 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 5,400 | $51.20 | $276,480.00 |
DisclosureSEC source: 0000018230-10-000075 · edgar.xml · nonDerivative · entry 1 Smith Joshua I · CIK 0001173565 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,952 F1 · balance_after: This amount includes 170 shares in dividend reinvestment. Read SEC document |
| May 06, 2008 Filed May 7, 2008 17:43 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 4,000 | $0.00 Strike: $29.43 | $0.00 |
DisclosureSEC source: 0000018230-08-000189 · edgar.xml · derivative · entry 5 Smith Joshua I · CIK 0001173565 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 4,000 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 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| May 06, 2008 Filed May 7, 2008 17:43 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 3,000 | $0.00 Strike: $28.78 | $0.00 |
DisclosureSEC source: 0000018230-08-000189 · edgar.xml · derivative · entry 4 Smith Joshua I · CIK 0001173565 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 3,000 shares Expires 2009-04-14 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 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| May 06, 2008 Filed May 7, 2008 17:43 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 7,000 | $82.23 | $575,608.60 |
DisclosureSEC source: 0000018230-08-000189 · edgar.xml · nonDerivative · entry 3 Smith Joshua I · CIK 0001173565 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,205 F3 · balance_after: This amount includes 50 shares in dividend reinvestment. Read SEC document |
| May 06, 2008 Filed May 7, 2008 17:43 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 4,000 | $29.43 | $117,730.00 |
DisclosureSEC source: 0000018230-08-000189 · edgar.xml · nonDerivative · entry 2 Smith Joshua I · CIK 0001173565 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,205 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 |
| May 06, 2008 Filed May 7, 2008 17:43 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 3,000 | $28.78 | $86,343.90 |
DisclosureSEC source: 0000018230-08-000189 · edgar.xml · nonDerivative · entry 1 Smith Joshua I · CIK 0001173565 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,205 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 03, 2008 Filed Mar 4, 2008 14:36 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantRestricted Stock Units · Derivative | 1,606 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000090 · edgar.xml · derivative · entry 2 Smith Joshua I · CIK 0001173565 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,606 Underlying: Common · 1,606 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 March 3, 2011. F3 · derivative.expiration_date: The restricted stock units vest on March 3, 2011. Read SEC document |
| October 30, 2007 Filed Oct 31, 2007 14:09 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 5,000 | $0.00 Strike: $28.78 | $0.00 |
DisclosureSEC source: 0000018230-07-000486 · edgar.xml · derivative · entry 3 SMITH JOSHUA T · CIK 0001173565 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 5,000 shares Expires 2009-04-14 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 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| October 30, 2007 Filed Oct 31, 2007 14:09 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 5,000 | $73.55 | $367,738.00 |
DisclosureSEC source: 0000018230-07-000486 · edgar.xml · nonDerivative · entry 2 SMITH JOSHUA T · CIK 0001173565 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,155 F3 · balance_after: Includes 280 dividend reinvestment shares. Read SEC document |
| October 30, 2007 Filed Oct 31, 2007 14:09 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 5,000 | $28.78 | $143,906.50 |
DisclosureSEC source: 0000018230-07-000486 · edgar.xml · nonDerivative · entry 1 SMITH JOSHUA T · CIK 0001173565 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,155 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 26, 2007 Filed Apr 27, 2007 16:16 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 8,000 | $0.00 Strike: $27.19 | $0.00 |
DisclosureSEC source: 0000018230-07-000283 · edgar.xml · derivative · entry 3 SMITH JOSHUA T · CIK 0001173565 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 8,000 shares Expires 2008-04-08 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. F1 · security: (Right to buy) with tandem tax withholding rights. F2 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| April 26, 2007 Filed Apr 27, 2007 16:16 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 2,980 | $72.98 | $217,465.50 |
DisclosureSEC source: 0000018230-07-000283 · edgar.xml · nonDerivative · entry 2 SMITH JOSHUA T · CIK 0001173565 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,875 Read SEC document |
| April 26, 2007 Filed Apr 27, 2007 16:16 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 8,000 | $27.19 | $217,500.00 |
DisclosureSEC source: 0000018230-07-000283 · edgar.xml · nonDerivative · entry 1 SMITH JOSHUA T · CIK 0001173565 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,855 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, 2007 Filed Mar 5, 2007 16:46 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantStock Appreciation Rights · Derivative | 5,833 | $0.00 Strike: $63.04 | $0.00 |
DisclosureSEC source: 0000018230-07-000092 · edgar.xml · derivative · entry 2 SMITH JOSHUA T · CIK 0001173565 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,833 Underlying: Common · 5,833 shares Expires 2017-03-02 F1 · derivative.exercise_date: The stock apreciation rights vest on March 2, 2010. Read SEC document |
| July 27, 2006 Filed Jul 27, 2006 23:13 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 4,000 | $0.00 Strike: $22.76 | $0.00 |
DisclosureSEC source: 0000018230-06-000363 · edgar.xml · derivative · entry 4 SMITH JOSHUA T · CIK 0001173565 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 4,000 shares Expires 2011-04-11 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: (Right to buy) with tandem tax withholding rights. F2 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| July 27, 2006 Filed Jul 27, 2006 23:13 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 12,000 | $70.54 | $846,508.80 |
DisclosureSEC source: 0000018230-06-000363 · edgar.xml · nonDerivative · entry 3 SMITH JOSHUA T · CIK 0001173565 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,855 Read SEC document |
| July 27, 2006 Filed Jul 27, 2006 23:13 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 8,000 | $26.03 | $208,240.00 |
DisclosureSEC source: 0000018230-06-000363 · edgar.xml · nonDerivative · entry 2 SMITH JOSHUA T · CIK 0001173565 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,855 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| July 27, 2006 Filed Jul 27, 2006 23:13 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 4,000 | $22.76 | $91,020.00 |
DisclosureSEC source: 0000018230-06-000363 · edgar.xml · nonDerivative · entry 1 SMITH JOSHUA T · CIK 0001173565 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,855 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 14, 2006 Filed Jun 15, 2006 18:12 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantStock Appreciation Right · Derivative | 7,000 | $0.00 Strike: $66.77 | $0.00 |
DisclosureSEC source: 0000018230-06-000305 · edgar.xml · derivative · entry 2 SMITH JOSHUA T · CIK 0001173565 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,000 Underlying: Common · 7,000 shares Expires 2016-06-14 Read SEC document |
| July 27, 2005 Filed Jul 27, 2006 23:13 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 8,000 | $0.00 Strike: $26.03 | $0.00 |
DisclosureSEC source: 0000018230-06-000363 · edgar.xml · derivative · entry 5 SMITH JOSHUA T · CIK 0001173565 · 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 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| April 13, 2005 Filed Apr 15, 2005 15:42 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherOption (NQ) · Derivative | 4,000 | $0.00 Strike: $89.79 | $0.00 |
DisclosureSEC source: 0000018230-05-000342 · edgar.xml · derivative · entry 2 SMITH JOSHUA T · CIK 0001173565 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,000 Underlying: Common · 4,000 shares Expires 2015-04-13 F2 · security: This option was granted with attached tax withholding rights. F3 · kind: Grant to reporting person of option to buy 4,000 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable immediately. F3 · price: Grant to reporting person of option to buy 4,000 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable immediately. F3 · derivative.exercise_date: Grant to reporting person of option to buy 4,000 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable immediately. Read SEC document |
| February 03, 2005 Filed Feb 4, 2005 17:15 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 3,115 | $91.00 | $283,465.00 |
DisclosureSEC source: 0000018230-05-000111 · edgar.xml · nonDerivative · entry 1 SMITH JOSHUA T · CIK 0001173565 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,390 F1 · balance_after: Included in this amount are 99 shares in dividend reinvestment. Read SEC document |
| May 10, 2004 Filed May 11, 2004 15:26 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 2,000 | $0.00 Strike: $45.51 | $0.00 |
DisclosureSEC source: 0000018230-04-000304 · edgar.xml · derivative · entry 9 SMITH JOSHUA T · CIK 0001173565 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 2,000 shares Expires 2011-04-11 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. 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 |
| May 10, 2004 Filed May 11, 2004 15:26 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 1,250 | $0.00 Strike: $39.19 | $0.00 |
DisclosureSEC source: 0000018230-04-000304 · edgar.xml · derivative · entry 8 SMITH JOSHUA T · CIK 0001173565 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 1,250 shares Expires 2007-04-09 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. 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 |
| May 10, 2004 Filed May 11, 2004 15:26 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,227 | $74.17 | $91,000.46 |
DisclosureSEC source: 0000018230-04-000304 · edgar.xml · nonDerivative · entry 6 SMITH JOSHUA T · CIK 0001173565 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,454 F1 · balance_after: Included in this amount are 48 shares in dividend reinvestment. Read SEC document |
| May 10, 2004 Filed May 11, 2004 15:26 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 2,000 | $45.51 | $91,020.00 |
DisclosureSEC source: 0000018230-04-000304 · edgar.xml · nonDerivative · entry 5 SMITH JOSHUA T · CIK 0001173565 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,681 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 |
| May 10, 2004 Filed May 11, 2004 15:26 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 660 | $74.17 | $48,948.90 |
DisclosureSEC source: 0000018230-04-000304 · edgar.xml · nonDerivative · entry 4 SMITH JOSHUA T · CIK 0001173565 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,681 Read SEC document |
| May 10, 2004 Filed May 11, 2004 15:26 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 1,250 | $39.19 | $48,984.38 |
DisclosureSEC source: 0000018230-04-000304 · edgar.xml · nonDerivative · entry 3 SMITH JOSHUA T · CIK 0001173565 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,341 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 |
| May 07, 2004 Filed May 11, 2004 15:26 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 4,000 | $0.00 Strike: $43.75 | $0.00 |
DisclosureSEC source: 0000018230-04-000304 · edgar.xml · derivative · entry 7 SMITH JOSHUA T · CIK 0001173565 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 4,000 shares Expires 2010-04-12 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. 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 |
| May 07, 2004 Filed May 11, 2004 15:26 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 2,248 | $77.82 | $174,939.36 |
DisclosureSEC source: 0000018230-04-000304 · edgar.xml · nonDerivative · entry 2 SMITH JOSHUA T · CIK 0001173565 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,091 Read SEC document |
| May 07, 2004 Filed May 11, 2004 15:26 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 4,000 | $43.75 | $175,000.00 |
DisclosureSEC source: 0000018230-04-000304 · edgar.xml · nonDerivative · entry 1 SMITH JOSHUA T · CIK 0001173565 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,339 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 14, 2004 Filed Apr 15, 2004 15:45 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherOption (NQ) · Derivative | 4,000 | $0.00 Strike: $81.27 | $0.00 |
DisclosureSEC source: 0000018230-04-000242 · edgar.xml · derivative · entry 2 SMITH JOSHUA T · CIK 0001173565 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,000 Underlying: Common · 4,000 shares Expires 2014-04-14 F2 · security: This option was granted with attached tax withholding rights. F3 · kind: Grant to reporting person of option to buy 4000 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. F3 · price: Grant to reporting person of option to buy 4000 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. F3 · derivative.exercise_date: Grant to reporting person of option to buy 4000 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| March 30, 2004 Filed Mar 31, 2004 16:06 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 2,750 | $0.00 Strike: $39.19 | $0.00 |
DisclosureSEC source: 0000018230-04-000185 · edgar.xml · derivative · entry 3 SMITH JOSHUA T · CIK 0001173565 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 2,750 shares Expires 2007-04-09 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. 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 |
| March 30, 2004 Filed Mar 31, 2004 16:06 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,361 | $79.13 | $107,695.93 |
DisclosureSEC source: 0000018230-04-000185 · edgar.xml · nonDerivative · entry 2 SMITH JOSHUA T · CIK 0001173565 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,339 F1 · balance_after: Included in this amount are 48 shares in dividend reinvestment. Read SEC document |
| March 30, 2004 Filed Mar 31, 2004 16:06 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 2,750 | $39.19 | $107,765.63 |
DisclosureSEC source: 0000018230-04-000185 · edgar.xml · nonDerivative · entry 1 SMITH JOSHUA T · CIK 0001173565 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,700 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.