Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CATERPILLAR INCCAT · Entity 2808 | Director | December 31, 2012 | January 03, 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 December 31, 2012 · Filed January 03, 2013
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 37,784 |
Reported balance
After 2012-12-31 transaction · row 1
1 source rowRow 1 · 2012-12-31 · Grant · Acquired 156 · Balance 37,784 F1: Stock received in lieu of director's fees. |
| Common StockSEC Table I · non-derivative | IndirectOwned by Wife | 2,000 |
Reported balance
Holding disclosure · report date 2012-12-31 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 2,000 |
| Common StockSEC Table I · non-derivative | IndirectOwned by Daughter | 1,000 |
Reported balance
Holding disclosure · report date 2012-12-31 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 1,000 F2: Reporting person disclaims beneficial ownership. |
Filing footnotes · ownership attribution and instrument terms
F1: Stock received in lieu of director's fees.
F2: Reporting person disclaims beneficial ownership.
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, 2012 Filed Jan 3, 2013 19:17 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 156 | $88.24 | $13,765.44 |
DisclosureSEC source: 0000018230-13-000004 · edgar.xml · nonDerivative · entry 1 FIFE EUGENE V · CIK 0001029606 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,784 F1 · kind: Stock received in lieu of director's fees. Read SEC document |
| December 20, 2012 Filed Dec 20, 2012 19:06 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 8,000 | $0.00 Strike: $26.03 | $0.00 |
DisclosureSEC source: 0000018230-12-000586 · edgar.xml · derivative · entry 4 FIFE EUGENE V · CIK 0001029606 · 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. F2 · derivative.exercise_date: Exercisable in thirds beginning 1 year after the initial grant date of April 9, 2003. (1/3 after one year; 1/3 after two years; 1/3 after 3 years). Read SEC document |
| December 20, 2012 Filed Dec 20, 2012 19:06 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 8,000 | $26.03 | $208,240.00 |
DisclosureSEC source: 0000018230-12-000586 · edgar.xml · nonDerivative · entry 1 FIFE EUGENE V · CIK 0001029606 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,628 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 |
| November 30, 2012 Filed Dec 4, 2012 21:46 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon | 160 | $85.66 | $13,705.60 |
DisclosureSEC source: 0000018230-12-000552 · edgar.xml · nonDerivative · entry 1 FIFE EUGENE V · CIK 0001029606 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,628 F1 · kind: Stock received in lieu of director's fees. Read SEC document |
| October 31, 2012 Filed Nov 1, 2012 18:24 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon | 162 | $85.19 | $13,800.78 |
DisclosureSEC source: 0000018230-12-000503 · edgar.xml · nonDerivative · entry 1 FIFE EUGENE V · CIK 0001029606 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,468 F1 · kind: Stock received in lieu of director's fees. Read SEC document |
| September 28, 2012 Filed Oct 2, 2012 14:40 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon | 160 | $86.02 | $13,763.20 |
DisclosureSEC source: 0000018230-12-000455 · edgar.xml · nonDerivative · entry 1 FIFE EUGENE V · CIK 0001029606 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,306 F1 · kind: Stock received in lieu of director's fees. Read SEC document |
| August 31, 2012 Filed Sep 5, 2012 19:22 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon | 161 | $85.10 | $13,701.10 |
DisclosureSEC source: 0000018230-12-000447 · edgar.xml · nonDerivative · entry 1 FIFE EUGENE V · CIK 0001029606 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,146 F1 · kind: Stock received in lieu of director's fees. Read SEC document |
| July 31, 2012 Filed Aug 1, 2012 19:49 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon | 162 | $85.25 | $13,810.50 |
DisclosureSEC source: 0000018230-12-000385 · edgar.xml · nonDerivative · entry 1 FIFE EUGENE V · CIK 0001029606 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,985 F1 · kind: Stock received in lieu of director's fees. Read SEC document |
| June 29, 2012 Filed Jul 3, 2012 17:16 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon | 162 | $84.38 | $13,669.56 |
DisclosureSEC source: 0000018230-12-000359 · edgar.xml · nonDerivative · entry 1 FIFE EUGENE V · CIK 0001029606 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,823 F1 · kind: Stock received in lieu of director's fees. Read SEC document |
| May 31, 2012 Filed Jun 4, 2012 19:14 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon | 158 | $87.26 | $13,787.08 |
DisclosureSEC source: 0000018230-12-000307 · edgar.xml · nonDerivative · entry 1 FIFE EUGENE V · CIK 0001029606 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,661 F1 · kind: Stock received in lieu of director's fees. Read SEC document |
| May 03, 2012 Filed May 3, 2012 21:09 UTC | CATERPILLAR INC CAT · Entity 2808 | PurchaseCommon | 1,000 | $102.87 | $102,870.00 |
DisclosureSEC source: 0000018230-12-000274 · edgar.xml · nonDerivative · entry 2 FIFE EUGENE V · CIK 0001029606 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Owned by Wife Disclosed balance after: 2,000 Read SEC document |
| April 30, 2012 Filed May 2, 2012 15:37 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon | 133 | $103.33 | $13,742.89 |
DisclosureSEC source: 0000018230-12-000249 · edgar.xml · nonDerivative · entry 1 FIFE EUGENE V · CIK 0001029606 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,503 F1 · kind: Stock received in lieu of director's fees. Read SEC document |
| March 30, 2012 Filed Apr 3, 2012 17:59 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon | 130 | $106.27 | $13,815.10 |
DisclosureSEC source: 0000018230-12-000190 · edgar.xml · nonDerivative · entry 1 FIFE EUGENE V · CIK 0001029606 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,370 F1 · kind: Stock received in lieu of director's fees. Read SEC document |
| March 05, 2012 Filed Mar 7, 2012 20:50 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon | 909 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000140 · edgar.xml · nonDerivative · entry 1 FIFE EUGENE V · CIK 0001029606 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,240 F1 · kind: Restricted stock awarded pursuant to Caterpillar Inc. 2006 Long-Term Incentive Plan. Read SEC document |
| February 29, 2012 Filed Mar 1, 2012 16:13 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon | 119 | $115.04 | $13,689.76 |
DisclosureSEC source: 0000018230-12-000079 · edgar.xml · nonDerivative · entry 1 FIFE EUGENE V · CIK 0001029606 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,331 F1 · kind: Stock received in lieu of director's fees. Read SEC document |
| February 07, 2012 Filed Feb 8, 2012 22:07 UTC | CATERPILLAR INC CAT · Entity 2808 | PurchaseCommon | 1,000 | $113.05 | $113,050.00 |
DisclosureSEC source: 0000018230-12-000062 · edgar.xml · nonDerivative · entry 2 FIFE EUGENE V · CIK 0001029606 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Owned by Wife Disclosed balance after: 1,000 Read SEC document |
| January 31, 2012 Filed Feb 1, 2012 21:57 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon | 125 | $110.36 | $13,795.00 |
DisclosureSEC source: 0000018230-12-000048 · edgar.xml · nonDerivative · entry 1 FIFE EUGENE V · CIK 0001029606 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,212 F1 · kind: Stock received in lieu of director's fees. Read SEC document |
| December 30, 2011 Filed Jan 3, 2012 21:11 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon | 151 | $90.91 | $13,726.66 |
DisclosureSEC source: 0000018230-12-000010 · edgar.xml · nonDerivative · entry 1 FIFE EUGENE V · CIK 0001029606 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,087 F1 · kind: Stock received in lieu of director's fees. Read SEC document |
| November 30, 2011 Filed Dec 2, 2011 20:05 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 142 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000526 · edgar.xml · derivative · entry 3 FIFE EUGENE V · CIK 0001029606 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 142 Underlying: Common · 142 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 November 2011, 142 at a price of $96.435 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 November 2011, 142 at a price of $96.435 per share. Read SEC document |
| November 30, 2011 Filed Jan 3, 2012 20:57 UTC Amendment | CATERPILLAR INC CAT · Entity 2808 | GrantCommon | 142 | $96.44 | $13,693.77 |
DisclosureSEC source: 0000018230-12-000008 · edgar.xml · nonDerivative · entry 1 FIFE EUGENE V · CIK 0001029606 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,936 F1 · date: Original was filed as Deferred Compensation. F2 · kind: Stock received in lieu of director's fees. Read SEC document |
| October 28, 2011 Filed Oct 31, 2011 21:02 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 7,000 | $0.00 Strike: $66.77 | $0.00 |
DisclosureSEC source: 0000018230-11-000493 · edgar.xml · derivative · entry 7 FIFE EUGENE V · CIK 0001029606 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 7,000 shares Expires 2016-06-14 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: The stock appreciation rights vest on June 14, 2009. Read SEC document |
| October 28, 2011 Filed Oct 31, 2011 21:02 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 5,833 | $0.00 Strike: $63.04 | $0.00 |
DisclosureSEC source: 0000018230-11-000493 · edgar.xml · derivative · entry 6 FIFE EUGENE V · CIK 0001029606 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 5,833 shares Expires 2017-03-02 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 · security: Right to buy with tandem tax withholding rights. F4 · derivative.exercise_date: The stock appreciation rights vest on March 2, 2010. Read SEC document |
| October 28, 2011 Filed Oct 31, 2011 21:02 UTC | CATERPILLAR INC CAT · Entity 2808 | Disposition to issuerCommon | 4,827 | $96.81 | $467,277.74 |
DisclosureSEC source: 0000018230-11-000493 · edgar.xml · nonDerivative · entry 4 FIFE EUGENE V · CIK 0001029606 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,794 Read SEC document |
| October 28, 2011 Filed Oct 31, 2011 21:02 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 7,000 | $66.77 | $467,355.00 |
DisclosureSEC source: 0000018230-11-000493 · edgar.xml · nonDerivative · entry 3 FIFE EUGENE V · CIK 0001029606 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,621 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 28, 2011 Filed Oct 31, 2011 21:02 UTC | CATERPILLAR INC CAT · Entity 2808 | Disposition to issuerCommon | 3,798 | $96.81 | $367,665.39 |
DisclosureSEC source: 0000018230-11-000493 · edgar.xml · nonDerivative · entry 2 FIFE EUGENE V · CIK 0001029606 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,621 Read SEC document |
| October 28, 2011 Filed Oct 31, 2011 21:02 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 5,833 | $63.04 | $367,712.32 |
DisclosureSEC source: 0000018230-11-000493 · edgar.xml · nonDerivative · entry 1 FIFE EUGENE V · CIK 0001029606 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,419 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 07, 2011 Filed Mar 8, 2011 19:15 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon | 980 | $102.13 | $100,087.40 |
DisclosureSEC source: 0000018230-11-000167 · edgar.xml · nonDerivative · entry 1 FIFE EUGENE V · CIK 0001029606 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,586 F2 · kind: Restricted stock awarded pursuant to Caterpillar Inc. 2006 Long-Term Incentive Plan. Read SEC document |
| March 03, 2011 Filed Mar 4, 2011 22:00 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionRestricted Stock Units · Derivative | 1,606 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-11-000120 · edgar.xml · derivative · entry 3 FIFE EUGENE V · CIK 0001029606 · 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 22:00 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 1,606 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-11-000120 · edgar.xml · nonDerivative · entry 1 FIFE EUGENE V · CIK 0001029606 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,606 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. Read SEC document |
| March 03, 2008 Filed Mar 4, 2008 14:30 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantRestricted Stock Units · Derivative | 1,606 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000087 · edgar.xml · derivative · entry 3 FIFE EUGENE V · CIK 0001029606 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,606 Underlying: Common · 1,606 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 stock appreciation rights vest on March 3, 2011. F2 · derivative.expiration_date: The stock appreciation rights vest on March 3, 2011. Read SEC document |
| March 02, 2007 Filed Mar 5, 2007 16:42 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantStock Appreciation Right · Derivative | 5,833 | $0.00 Strike: $63.04 | $0.00 |
DisclosureSEC source: 0000018230-07-000085 · edgar.xml · derivative · entry 3 FIFE EUGENE V · CIK 0001029606 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,833 Underlying: Common · 5,833 shares Expires 2017-03-02 F2 · derivative.exercise_date: The stock apreciation rights vest on March 2, 2010. Read SEC document |
| June 14, 2006 Filed Jun 15, 2006 18:01 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantStock Appreciation Right · Derivative | 7,000 | $0.00 Strike: $66.77 | $0.00 |
DisclosureSEC source: 0000018230-06-000291 · edgar.xml · derivative · entry 3 FIFE EUGENE V · CIK 0001029606 · 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 |
| April 13, 2005 Filed Apr 15, 2005 15:03 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherOption (NQ) · Derivative | 4,000 | $0.00 Strike: $89.79 | $0.00 |
DisclosureSEC source: 0000018230-05-000325 · edgar.xml · derivative · entry 3 FIFE EUGENE V · CIK 0001029606 · 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 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 immediately. 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 immediately. 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 immediately. Read SEC document |
| April 14, 2004 Filed Apr 15, 2004 15:34 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherOption (NQ) · Derivative | 4,000 | $0.00 Strike: $81.27 | $0.00 |
DisclosureSEC source: 0000018230-04-000234 · edgar.xml · derivative · entry 3 FIFE EUGENE V · CIK 0001029606 · 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.