Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CATERPILLAR INCCAT · Entity 2808 | Group President | December 17, 2012 | December 18, 2012 |
| ITT INC.ITT · Entity 8806 | Director | May 10, 2023 | May 12, 2023 |
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 17, 2012 · Filed December 18, 2012
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| CommonSEC Table I · non-derivative | Direct | 82,609 |
Reported balance
After 2012-12-17 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2012-12-17 · Sale · Disposed 3,784 · Balance 82,609 F1: Pursuant to a previously enacted 10b5-1 plan. F2: This amount includes 284 shares in 401K and 386 shares in dividend reinvestment. |
| CommonSEC Table I · non-derivative | IndirectOwned by Daughter | 405 |
Reported balance
Holding disclosure · report date 2012-12-17 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 405 |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to a previously enacted 10b5-1 plan.
F2: This amount includes 284 shares in 401K and 386 shares in dividend reinvestment.
ITT INC.
Report date May 10, 2023 · Filed May 12, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 26,490.5695 |
Reported balance
After 2023-05-10 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2023-05-10 · Grant · Acquired 1,704 · Balance 26,490.5695 F1: Reflects an award of restricted stock units, all of which are scheduled to vest on the business day immediately prior to the ITT 2024 Annual Meeting of Shareholders. F2: Includes 222.5695 shares under a dividend reinvestment plan. |
Filing footnotes · ownership attribution and instrument terms
F1: Reflects an award of restricted stock units, all of which are scheduled to vest on the business day immediately prior to the ITT 2024 Annual Meeting of Shareholders.
F2: Includes 222.5695 shares under a dividend reinvestment plan.
Past disclosures · reporting ended (2)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Allison Transmission Holdings Inc
Report date May 07, 2025 · Filed May 09, 2025
Section 16 reporting ended · disclosed 2025-05-09. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 45,134 |
Reported balance
After 2025-05-07 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2025-05-07 · Exercise / conversion · Acquired 3,724 · Balance 45,134 F1: Represents the deferred stock units ("DSUs") and dividend equivalents payable upon the reporting person's separation from service. The reporting person did not stand for re-election at Allison Transmission Holdings, Inc.'s (the "Company") 2025 annual meeting of stockholders and his term ended on May 7, 2025. F2: Includes 3,699 DSUs and 25 related dividend equivalents. |
| Deferred Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2025-05-07 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2025-05-07 · Exercise / conversion · Disposed 425 · Balance 0 F3: Each DSU is the economic equivalent of one share of the Company's common stock. The DSUs become payable, in common stock, or at the Company's election cash, at the earlier of the reporting person's separation from service or change in control. DSUs earn dividend equivalents when dividends are declared on the Company's common stock. F4: On May 8, 2024, the reporting person was granted 425 DSUs that vested on May 8, 2024. |
| Deferred Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2025-05-07 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2025-05-07 · Exercise / conversion · Disposed 2,017 · Balance 0 F3: Each DSU is the economic equivalent of one share of the Company's common stock. The DSUs become payable, in common stock, or at the Company's election cash, at the earlier of the reporting person's separation from service or change in control. DSUs earn dividend equivalents when dividends are declared on the Company's common stock. F5: On May 9, 2024, the reporting person was granted 2,017 DSUs that vested on May 7, 2025. |
| Deferred Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2025-05-07 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2025-05-07 · Exercise / conversion · Disposed 433 · Balance 0 F3: Each DSU is the economic equivalent of one share of the Company's common stock. The DSUs become payable, in common stock, or at the Company's election cash, at the earlier of the reporting person's separation from service or change in control. DSUs earn dividend equivalents when dividends are declared on the Company's common stock. F6: On August 8, 2024, the reporting person was granted 433 DSUs that vested on August 8, 2024. |
| Deferred Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2025-05-07 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2025-05-07 · Exercise / conversion · Disposed 309 · Balance 0 F3: Each DSU is the economic equivalent of one share of the Company's common stock. The DSUs become payable, in common stock, or at the Company's election cash, at the earlier of the reporting person's separation from service or change in control. DSUs earn dividend equivalents when dividends are declared on the Company's common stock. F7: On November 8, 2024, the reporting person was granted 309 DSUs that vested on November 8, 2024. |
| Deferred Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2025-05-07 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2025-05-07 · Exercise / conversion · Disposed 235 · Balance 0 F3: Each DSU is the economic equivalent of one share of the Company's common stock. The DSUs become payable, in common stock, or at the Company's election cash, at the earlier of the reporting person's separation from service or change in control. DSUs earn dividend equivalents when dividends are declared on the Company's common stock. F8: On February 7, 2025, the reporting person was granted 235 DSUs that vested on February 7, 2025. |
| Deferred Stock UnitsSEC Table II · derivative / convertible security | Direct | 280 |
Reported balance
After 2025-05-07 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2025-05-07 · Grant · Acquired 280 · Balance 280 F9: These DSUs represent a quarterly payment of the portion of the reporting person's annual retainer and other fees under the Company's Eighth Amended and Restated Non-Employee Director Compensation Policy deferred pursuant to the Company's Amended and Restated Non-Employee Director Deferred Compensation Plan. The annual retainer and other fees are payable quarterly in arrears. F3: Each DSU is the economic equivalent of one share of the Company's common stock. The DSUs become payable, in common stock, or at the Company's election cash, at the earlier of the reporting person's separation from service or change in control. DSUs earn dividend equivalents when dividends are declared on the Company's common stock. F11: The number of DSUs received was calculated based on $97.23, which was the closing price of the Company's common stock on the date of grant. |
| Deferred Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2025-05-07 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2025-05-07 · Exercise / conversion · Disposed 280 · Balance 0 F3: Each DSU is the economic equivalent of one share of the Company's common stock. The DSUs become payable, in common stock, or at the Company's election cash, at the earlier of the reporting person's separation from service or change in control. DSUs earn dividend equivalents when dividends are declared on the Company's common stock. F10: On May 7, 2025, the reporting person was granted 280 DSUs that vested on May 7, 2025. |
| Dividend Equivalent RightsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2025-05-07 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2025-05-07 · Exercise / conversion · Disposed 25 · Balance 0 F12: Each dividend equivalent right is the economic equivalent of one share of the Company's common stock. F13: The dividend equivalent rights accrued on previously awarded DSUs and were payable on May 7, 2025, the date of the reporting person's separation from service. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents the deferred stock units ("DSUs") and dividend equivalents payable upon the reporting person's separation from service. The reporting person did not stand for re-election at Allison Transmission Holdings, Inc.'s (the "Company") 2025 annual meeting of stockholders and his term ended on May 7, 2025.
F2: Includes 3,699 DSUs and 25 related dividend equivalents.
F3: Each DSU is the economic equivalent of one share of the Company's common stock. The DSUs become payable, in common stock, or at the Company's election cash, at the earlier of the reporting person's separation from service or change in control. DSUs earn dividend equivalents when dividends are declared on the Company's common stock.
F4: On May 8, 2024, the reporting person was granted 425 DSUs that vested on May 8, 2024.
F5: On May 9, 2024, the reporting person was granted 2,017 DSUs that vested on May 7, 2025.
F6: On August 8, 2024, the reporting person was granted 433 DSUs that vested on August 8, 2024.
F7: On November 8, 2024, the reporting person was granted 309 DSUs that vested on November 8, 2024.
F8: On February 7, 2025, the reporting person was granted 235 DSUs that vested on February 7, 2025.
F9: These DSUs represent a quarterly payment of the portion of the reporting person's annual retainer and other fees under the Company's Eighth Amended and Restated Non-Employee Director Compensation Policy deferred pursuant to the Company's Amended and Restated Non-Employee Director Deferred Compensation Plan. The annual retainer and other fees are payable quarterly in arrears.
F10: On May 7, 2025, the reporting person was granted 280 DSUs that vested on May 7, 2025.
F11: The number of DSUs received was calculated based on $97.23, which was the closing price of the Company's common stock on the date of grant.
F12: Each dividend equivalent right is the economic equivalent of one share of the Company's common stock.
F13: The dividend equivalent rights accrued on previously awarded DSUs and were payable on May 7, 2025, the date of the reporting person's separation from service.
USG CORP
Report date April 24, 2019 · Filed April 24, 2019
Section 16 reporting ended · disclosed 2019-04-24. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2019-04-24 transaction · row 1
1 source rowRow 1 · 2019-04-24 · Disposition to issuer · Disposed 36,657 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of June 10, 2018, by and among USG Corporation (the "Company"), Gebr. Knauf KG and World Cup Acquisition Corporation, at the effective time of the merger, each share of the Company's common stock held by the reporting person was converted into the right to receive $43.50 in cash, without interest (the "closing consideration"). |
| Deferred Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2019-04-24 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2019-04-24 · Disposition to issuer · Disposed 5,063.7003 · Balance 0 F2: Each deferred stock unit represented the right to receive one share of common stock. The deferred stock units became payable in shares of common stock following termination of service as a director. Pursuant to the Merger Agreement, at the effective time of the merger, each deferred stock unit held by the reporting person was converted into the right to receive the closing consideration. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of June 10, 2018, by and among USG Corporation (the "Company"), Gebr. Knauf KG and World Cup Acquisition Corporation, at the effective time of the merger, each share of the Company's common stock held by the reporting person was converted into the right to receive $43.50 in cash, without interest (the "closing consideration").
F2: Each deferred stock unit represented the right to receive one share of common stock. The deferred stock units became payable in shares of common stock following termination of service as a director. Pursuant to the Merger Agreement, at the effective time of the merger, each deferred stock unit held by the reporting person was converted into the right to receive the closing consideration.
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 |
|---|---|---|---|---|---|---|
| February 01, 2005 Filed Feb 2, 2005 15:17 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 9,000 | $53.53 | $481,770.00 |
DisclosureSEC source: 0000018230-05-000074 · edgar.xml · nonDerivative · entry 1 LAVIN RICHARD P · CIK 0001171774 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,871 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 08, 2004 Filed Jun 10, 2004 15:32 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherOption (NQ) · Derivative | 35,000 | $0.00 Strike: $77.26 | $0.00 |
DisclosureSEC source: 0000018230-04-000406 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,000 Underlying: Common · 35,000 shares Expires 2014-06-08 F2 · security: This option was granted with attached tax withholding rights. F3 · kind: Grant to reporting person of option to buy 35,000 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable 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 35,000 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable 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 35,000 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| April 01, 2004 Filed Apr 2, 2004 14:54 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon | 1,000 | $79.27 | $79,270.00 |
DisclosureSEC source: 0000018230-04-000205 · edgar.xml · nonDerivative · entry 1 LAVIN RICHARD P · CIK 0001171774 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,771 F2 · kind: Restricted stock awarded pursuant to Caterpillar Inc. 1996 Stock Option and Long-Term Incentive Plan. F1 · balance_after: This amount includes 3,397 shares in 401K, 1028 shares in SEIP and 197 shares in dividend reinvestment. Read SEC document |
| March 01, 2004 Filed Mar 22, 2004 18:46 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 197 | $76.73 | $15,115.81 |
DisclosureSEC source: 0000018230-04-000170 · edgar.xml · nonDerivative · entry 1 LAVIN RICHARD P · CIK 0001171774 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,771 F2 · kind: Amount reflects shares automatically sold to satisfy tax withholding requirements upon the vesting of previously restricted stock. F1 · balance_after: This amount includes 3,397 shares in 401K, 1028 shares in SEIP and 197 shares in dividend reinvestment. Read SEC document |
| January 20, 2004 Filed Jan 20, 2004 18:00 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 94 | $83.11 | $7,812.34 |
DisclosureSEC source: 0000018230-04-000066 · edgar.xml · nonDerivative · entry 1 LAVIN RICHARD P · CIK 0001171774 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,968 F1 · balance_after: This amount includes 3,397 shares in 401K, 1028 shares in SEIP and 197 shares in dividend reinvestment. Read SEC document |
| July 28, 2003 Filed Jul 29, 2003 18:44 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 1,376 | $0.00 Strike: $38.41 | $0.00 |
DisclosureSEC source: 0000018230-03-000345 · edgar.xml · derivative · entry 4 LAVIN RICHARD P · CIK 0001171774 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 1,376 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 |
| July 28, 2003 Filed Jul 29, 2003 18:44 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 808 | $65.36 | $52,806.84 |
DisclosureSEC source: 0000018230-03-000345 · edgar.xml · nonDerivative · entry 2 LAVIN RICHARD P · CIK 0001171774 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,890 F1 · balance_after: This amount includes 1421 shares in EIP-1, 1721 shares in 401K, 854 shares in SEIP and 99 shares in dividend reinvestment. Read SEC document |
| July 28, 2003 Filed Jul 29, 2003 18:44 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 1,376 | $38.41 | $52,847.07 |
DisclosureSEC source: 0000018230-03-000345 · edgar.xml · nonDerivative · entry 1 LAVIN RICHARD P · CIK 0001171774 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,698 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 25, 2003 Filed Jul 28, 2003 17:03 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 788 | $0.00 Strike: $32.91 | $0.00 |
DisclosureSEC source: 0000018230-03-000339 · edgar.xml · derivative · entry 10 LAVIN RICHARD P · CIK 0001171774 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 788 shares Expires 2006-06-11 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 |
| July 25, 2003 Filed Jul 28, 2003 17:03 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 1,225 | $0.00 Strike: $38.41 | $0.00 |
DisclosureSEC source: 0000018230-03-000339 · edgar.xml · derivative · entry 9 LAVIN RICHARD P · CIK 0001171774 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 1,225 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 |
| July 25, 2003 Filed Jul 28, 2003 17:03 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 404 | $64.05 | $25,876.20 |
DisclosureSEC source: 0000018230-03-000339 · edgar.xml · nonDerivative · entry 6 LAVIN RICHARD P · CIK 0001171774 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,322 F1 · balance_after: This amount includes 1421 shares in EIP-1, 1721 shares in 401K, 854 shares in SEIP and 99 shares in dividend reinvestment. Read SEC document |
| July 25, 2003 Filed Jul 28, 2003 17:03 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 788 | $32.91 | $25,930.09 |
DisclosureSEC source: 0000018230-03-000339 · edgar.xml · nonDerivative · entry 5 LAVIN RICHARD P · CIK 0001171774 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,726 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 25, 2003 Filed Jul 28, 2003 17:03 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 734 | $64.05 | $47,012.70 |
DisclosureSEC source: 0000018230-03-000339 · edgar.xml · nonDerivative · entry 4 LAVIN RICHARD P · CIK 0001171774 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,938 Read SEC document |
| July 25, 2003 Filed Jul 28, 2003 17:03 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 1,225 | $38.41 | $47,047.72 |
DisclosureSEC source: 0000018230-03-000339 · edgar.xml · nonDerivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,672 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 25, 2003 Filed Jul 31, 2003 15:15 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 2,355 | $64.71 | $152,382.87 |
DisclosureSEC source: 0000018230-03-000352 · edgar.xml · nonDerivative · entry 1 LAVIN RICHARD P · CIK 0001171774 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,535 F1 · balance_after: This amount includes 1421 shares in EIP-1, 1721 shares in 401K, 854 shares in SEIP and 99 shares in dividend reinvestment. Read SEC document |
| July 24, 2003 Filed Jul 28, 2003 17:03 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 2,250 | $0.00 Strike: $32.91 | $0.00 |
DisclosureSEC source: 0000018230-03-000339 · edgar.xml · derivative · entry 8 LAVIN RICHARD P · CIK 0001171774 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 2,250 shares Expires 2006-06-11 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 |
| July 24, 2003 Filed Jul 28, 2003 17:03 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,149 | $64.40 | $73,995.60 |
DisclosureSEC source: 0000018230-03-000339 · edgar.xml · nonDerivative · entry 2 LAVIN RICHARD P · CIK 0001171774 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,447 Read SEC document |
| July 24, 2003 Filed Jul 28, 2003 17:03 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 2,250 | $32.91 | $74,038.95 |
DisclosureSEC source: 0000018230-03-000339 · edgar.xml · nonDerivative · entry 1 LAVIN RICHARD P · CIK 0001171774 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,596 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 23, 2003 Filed Jul 25, 2003 12:34 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 1,879 | $0.00 Strike: $38.41 | $0.00 |
DisclosureSEC source: 0000018230-03-000330 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 1,879 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 |
| July 23, 2003 Filed Jul 25, 2003 12:34 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,343 | $64.40 | $86,489.20 |
DisclosureSEC source: 0000018230-03-000330 · edgar.xml · nonDerivative · entry 2 LAVIN RICHARD P · CIK 0001171774 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,346 F1 · balance_after: This amount includes 1421 shares in EIP-1, 1721 shares in 401K, 854 shares in SEIP and 99 shares in dividend reinvestment. In addition, 1 share is owned indirectly by daughter. Read SEC document |
| July 23, 2003 Filed Jul 25, 2003 12:34 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 1,879 | $38.41 | $72,165.44 |
DisclosureSEC source: 0000018230-03-000330 · edgar.xml · nonDerivative · entry 1 LAVIN RICHARD P · CIK 0001171774 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,689 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 22, 2003 Filed Jul 24, 2003 15:53 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 1,925 | $0.00 Strike: $38.41 | $0.00 |
DisclosureSEC source: 0000018230-03-000323 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 1,925 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 |
| July 22, 2003 Filed Jul 24, 2003 15:53 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,375 | $64.41 | $88,556.88 |
DisclosureSEC source: 0000018230-03-000323 · edgar.xml · nonDerivative · entry 2 LAVIN RICHARD P · CIK 0001171774 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,810 F1 · balance_after: This amount includes 1421 shares in EIP-1, 1721 shares in 401K, 854 shares in SEIP and 99 shares in dividend reinvestment. In addition, 1 share is owned indirectly by daughter. Read SEC document |
| July 22, 2003 Filed Jul 24, 2003 15:53 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 1,925 | $38.41 | $73,932.13 |
DisclosureSEC source: 0000018230-03-000323 · edgar.xml · nonDerivative · entry 1 LAVIN RICHARD P · CIK 0001171774 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,185 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 21, 2003 Filed Jul 23, 2003 15:15 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 1,950 | $0.00 Strike: $38.41 | $0.00 |
DisclosureSEC source: 0000018230-03-000311 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 1,950 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 |
| July 21, 2003 Filed Jul 23, 2003 15:15 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,382 | $65.33 | $90,279.15 |
DisclosureSEC source: 0000018230-03-000311 · edgar.xml · nonDerivative · entry 2 LAVIN RICHARD P · CIK 0001171774 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,260 F1 · balance_after: This amount includes 1421 shares in EIP-1, 1721 shares in 401K, 854 shares in SEIP and 99 shares in dividend reinvestment. In addition, 1 share is owned indirectly by daughter. Read SEC document |
| July 21, 2003 Filed Jul 23, 2003 15:15 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 1,950 | $38.41 | $74,892.29 |
DisclosureSEC source: 0000018230-03-000311 · edgar.xml · nonDerivative · entry 1 LAVIN RICHARD P · CIK 0001171774 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,642 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 18, 2003 Filed Jul 22, 2003 17:54 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 685 | $0.00 Strike: $38.41 | $0.00 |
DisclosureSEC source: 0000018230-03-000303 · edgar.xml · derivative · entry 6 LAVIN RICHARD P · CIK 0001171774 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 685 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 |
| July 18, 2003 Filed Jul 22, 2003 17:54 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 1,453 | $0.00 Strike: $32.91 | $0.00 |
DisclosureSEC source: 0000018230-03-000303 · edgar.xml · derivative · entry 5 LAVIN RICHARD P · CIK 0001171774 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 1,453 shares Expires 2006-06-11 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 |
| July 18, 2003 Filed Jul 22, 2003 17:54 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 488 | $64.63 | $31,539.44 |
DisclosureSEC source: 0000018230-03-000303 · edgar.xml · nonDerivative · entry 4 LAVIN RICHARD P · CIK 0001171774 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,692 F1 · balance_after: This amount includes 1421 shares in EIP-1, 1721 shares in 401K, 854 shares in SEIP and 99 shares in dividend reinvestment. In addition, 1 share is owned indirectly by daughter. Read SEC document |
| July 18, 2003 Filed Jul 22, 2003 17:54 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 685 | $38.41 | $26,308.32 |
DisclosureSEC source: 0000018230-03-000303 · edgar.xml · nonDerivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,180 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 18, 2003 Filed Jul 22, 2003 17:54 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 949 | $64.63 | $61,333.87 |
DisclosureSEC source: 0000018230-03-000303 · edgar.xml · nonDerivative · entry 2 LAVIN RICHARD P · CIK 0001171774 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,495 Read SEC document |
| July 18, 2003 Filed Jul 22, 2003 17:54 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 1,453 | $32.91 | $47,812.71 |
DisclosureSEC source: 0000018230-03-000303 · edgar.xml · nonDerivative · entry 1 LAVIN RICHARD P · CIK 0001171774 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,444 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.