Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CATERPILLAR INCCAT · Entity 2808 | Director | May 04, 2011 | May 09, 2011 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
CATERPILLAR INC
Report date May 04, 2011 · Filed May 09, 2011
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| CommonSEC Table I · non-derivative | Direct | 6,080 |
Reported balance
After 2011-05-04 transaction · row 1
1 source rowRow 1 · 2011-05-04 · Sale · Disposed 5,309 · Balance 6,080 |
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 |
|---|---|---|---|---|---|---|
| May 05, 2011 Filed May 5, 2011 19:33 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 5,373 | $110.37 | $593,007.26 |
DisclosureSEC source: 0000018230-11-000291 · edgar.xml · nonDerivative · entry 5 BRAZIL JOHN R · CIK 0001171802 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,389 Read SEC document |
| May 04, 2011 Filed May 5, 2011 19:33 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionStock Appreciation Right · Derivative | 7,000 | $0.00 Strike: $66.77 | $0.00 |
DisclosureSEC source: 0000018230-11-000291 · edgar.xml · derivative · entry 7 BRAZIL JOHN R · CIK 0001171802 · 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 · derivative.exercise_date: The stock appreciation rights vest on 06/14/2009. Read SEC document |
| May 04, 2011 Filed May 5, 2011 19:33 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionStock Appreciation Right · Derivative | 5,833 | $0.00 Strike: $63.04 | $0.00 |
DisclosureSEC source: 0000018230-11-000291 · edgar.xml · derivative · entry 6 BRAZIL JOHN R · CIK 0001171802 · 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. F1 · derivative.exercise_date: The stock appreciation rights vest on 03/02/2010. Read SEC document |
| May 04, 2011 Filed May 5, 2011 19:33 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 4,175 | $111.93 | $467,307.75 |
DisclosureSEC source: 0000018230-11-000291 · edgar.xml · nonDerivative · entry 4 BRAZIL JOHN R · CIK 0001171802 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,762 Read SEC document |
| May 04, 2011 Filed May 5, 2011 19:33 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 7,000 | $66.77 | $467,355.00 |
DisclosureSEC source: 0000018230-11-000291 · edgar.xml · nonDerivative · entry 3 BRAZIL JOHN R · CIK 0001171802 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,937 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 04, 2011 Filed May 5, 2011 19:33 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 3,285 | $111.93 | $367,690.05 |
DisclosureSEC source: 0000018230-11-000291 · edgar.xml · nonDerivative · entry 2 BRAZIL JOHN R · CIK 0001171802 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,937 Read SEC document |
| May 04, 2011 Filed May 5, 2011 19:33 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 5,833 | $63.04 | $367,712.32 |
DisclosureSEC source: 0000018230-11-000291 · edgar.xml · nonDerivative · entry 1 BRAZIL JOHN R · CIK 0001171802 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,222 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 04, 2011 Filed May 9, 2011 20:29 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 5,309 | $113.07 | $600,288.63 |
DisclosureSEC source: 0000018230-11-000295 · edgar.xml · nonDerivative · entry 1 BRAZIL JOHN R · CIK 0001171802 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,080 Read SEC document |
| March 07, 2011 Filed Mar 8, 2011 19:14 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon | 980 | $102.13 | $100,087.40 |
DisclosureSEC source: 0000018230-11-000166 · edgar.xml · nonDerivative · entry 1 BRAZIL JOHN R · CIK 0001171802 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,389 F1 · kind: Restricted stock awarded pursuant to Caterpillar Inc. 2006 Long-Term Incentive Plan. Read SEC document |
| March 03, 2011 Filed Mar 4, 2011 21:59 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionRestricted Stock Units · Derivative | 1,606 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-11-000118 · edgar.xml · derivative · entry 2 BRAZIL JOHN R · CIK 0001171802 · 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. F1 · 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. F1 · 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 21:59 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 1,606 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-11-000118 · edgar.xml · nonDerivative · entry 1 BRAZIL JOHN R · CIK 0001171802 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,409 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 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 |
| February 01, 2011 Filed Feb 1, 2011 18:39 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 8,000 | $0.00 Strike: $44.90 | $0.00 |
DisclosureSEC source: 0000018230-11-000052 · edgar.xml · derivative · entry 5 BRAZIL JOHN R · CIK 0001171802 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 8,000 shares Expires 2015-04-13 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 |
| February 01, 2011 Filed Feb 1, 2011 18:39 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 8,000 | $0.00 Strike: $40.64 | $0.00 |
DisclosureSEC source: 0000018230-11-000052 · edgar.xml · derivative · entry 4 BRAZIL JOHN R · CIK 0001171802 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 8,000 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. 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 |
| February 01, 2011 Filed Feb 1, 2011 18:39 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 16,000 | $96.96 | $1,551,310.40 |
DisclosureSEC source: 0000018230-11-000052 · edgar.xml · nonDerivative · entry 3 BRAZIL JOHN R · CIK 0001171802 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,803 Read SEC document |
| February 01, 2011 Filed Feb 1, 2011 18:39 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 8,000 | $44.90 | $359,160.00 |
DisclosureSEC source: 0000018230-11-000052 · edgar.xml · nonDerivative · entry 2 BRAZIL JOHN R · CIK 0001171802 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,803 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 01, 2011 Filed Feb 1, 2011 18:39 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 8,000 | $40.64 | $325,080.00 |
DisclosureSEC source: 0000018230-11-000052 · edgar.xml · nonDerivative · entry 1 BRAZIL JOHN R · CIK 0001171802 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,803 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, 2010 Filed Jul 28, 2010 20:22 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 8,000 | $0.00 Strike: $26.03 | $0.00 |
DisclosureSEC source: 0000018230-10-000355 · edgar.xml · derivative · entry 3 BRAZIL JOHN R · CIK 0001171802 · 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 |
| July 27, 2010 Filed Jul 28, 2010 20:22 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 8,000 | $68.76 | $550,104.00 |
DisclosureSEC source: 0000018230-10-000355 · edgar.xml · nonDerivative · entry 2 BRAZIL JOHN R · CIK 0001171802 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,803 Read SEC document |
| July 27, 2010 Filed Jul 28, 2010 20:22 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 8,000 | $26.03 | $208,240.00 |
DisclosureSEC source: 0000018230-10-000355 · edgar.xml · nonDerivative · entry 1 BRAZIL JOHN R · CIK 0001171802 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,803 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 01, 2008 Filed May 2, 2008 17:45 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 8,000 | $0.00 Strike: $29.43 | $0.00 |
DisclosureSEC source: 0000018230-08-000185 · edgar.xml · derivative · entry 3 BRAZIL JOHN R · CIK 0001171802 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 8,000 shares Expires 2012-04-10 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: (Right to buy) with tandem tax withholding rights. F2 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| May 01, 2008 Filed May 2, 2008 17:45 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 8,000 | $82.47 | $659,798.40 |
DisclosureSEC source: 0000018230-08-000185 · edgar.xml · nonDerivative · entry 2 BRAZIL JOHN R · CIK 0001171802 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,803 Read SEC document |
| May 01, 2008 Filed May 2, 2008 17:45 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 8,000 | $29.43 | $235,460.00 |
DisclosureSEC source: 0000018230-08-000185 · edgar.xml · nonDerivative · entry 1 BRAZIL JOHN R · CIK 0001171802 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,803 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 14:29 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantRestricted Stock Units · Derivative | 1,606 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000085 · edgar.xml · derivative · entry 2 BRAZIL JOHN R · CIK 0001171802 · 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. F1 · derivative.exercise_date: The stock appreciation rights vest on March 3, 2011. F1 · derivative.expiration_date: The stock appreciation rights vest on March 3, 2011. Read SEC document |
| March 02, 2007 Filed Mar 5, 2007 14:54 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantStock Appreciation Right · Derivative | 5,833 | $0.00 Strike: $63.04 | $0.00 |
DisclosureSEC source: 0000018230-07-000082 · edgar.xml · derivative · entry 2 BRAZIL JOHN R · CIK 0001171802 · 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 |
| August 07, 2006 Filed Aug 7, 2006 22:29 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 8,000 | $0.00 Strike: $22.76 | $0.00 |
DisclosureSEC source: 0000018230-06-000387 · edgar.xml · derivative · entry 3 BRAZIL JOHN R · CIK 0001171802 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 8,000 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 |
| August 07, 2006 Filed Aug 7, 2006 22:29 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 2,497 | $73.11 | $182,549.43 |
DisclosureSEC source: 0000018230-06-000387 · edgar.xml · nonDerivative · entry 2 BRAZIL JOHN R · CIK 0001171802 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,803 Read SEC document |
| August 07, 2006 Filed Aug 7, 2006 22:29 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 8,000 | $22.76 | $182,040.00 |
DisclosureSEC source: 0000018230-06-000387 · edgar.xml · nonDerivative · entry 1 BRAZIL JOHN R · CIK 0001171802 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,300 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 17:59 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantStock Appreciation Right · Derivative | 7,000 | $0.00 Strike: $66.77 | $0.00 |
DisclosureSEC source: 0000018230-06-000289 · edgar.xml · derivative · entry 2 BRAZIL JOHN R · CIK 0001171802 · 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 |
| February 02, 2006 Filed Feb 2, 2006 20:09 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 8,000 | $0.00 Strike: $28.78 | $0.00 |
DisclosureSEC source: 0000018230-06-000095 · edgar.xml · derivative · entry 3 BRAZIL JOHN R · CIK 0001171802 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 8,000 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 |
| February 02, 2006 Filed Feb 2, 2006 20:09 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 8,000 | $68.10 | $544,812.00 |
DisclosureSEC source: 0000018230-06-000095 · edgar.xml · nonDerivative · entry 2 BRAZIL JOHN R · CIK 0001171802 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,300 Read SEC document |
| February 02, 2006 Filed Feb 2, 2006 20:09 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 8,000 | $28.78 | $230,250.40 |
DisclosureSEC source: 0000018230-06-000095 · edgar.xml · nonDerivative · entry 1 BRAZIL JOHN R · CIK 0001171802 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,300 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 07, 2005 Filed Nov 8, 2005 16:57 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 8,000 | $0.00 Strike: $21.88 | $0.00 |
DisclosureSEC source: 0000018230-05-000723 · edgar.xml · derivative · entry 3 BRAZIL JOHN R · CIK 0001171802 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 8,000 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 |
| November 07, 2005 Filed Nov 8, 2005 16:57 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 8,000 | $54.20 | $433,600.00 |
DisclosureSEC source: 0000018230-05-000723 · edgar.xml · nonDerivative · entry 2 BRAZIL JOHN R · CIK 0001171802 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,300 F1 · balance_after: On July 14, 2005, the common stock of Caterpillar Inc. split 2-for-1, resulting in the reporting person's acquisition of 1650 additional shares of common stock. Read SEC document |
| November 07, 2005 Filed Nov 8, 2005 16:57 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 8,000 | $21.88 | $175,000.00 |
DisclosureSEC source: 0000018230-05-000723 · edgar.xml · nonDerivative · entry 1 BRAZIL JOHN R · CIK 0001171802 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,300 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 13, 2005 Filed Apr 15, 2005 14:59 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherOption (NQ) · Derivative | 4,000 | $0.00 Strike: $89.79 | $0.00 |
DisclosureSEC source: 0000018230-05-000324 · edgar.xml · derivative · entry 2 BRAZIL JOHN R · CIK 0001171802 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,000 Underlying: Common · 4,000 shares Expires 2015-04-13 F1 · security: This option was granted with attached tax withholding rights. F2 · 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. F2 · 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. F2 · 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 15:32 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherOption (NQ) · Derivative | 4,000 | $0.00 Strike: $81.27 | $0.00 |
DisclosureSEC source: 0000018230-04-000232 · edgar.xml · derivative · entry 2 BRAZIL JOHN R · CIK 0001171802 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,000 Underlying: Common · 4,000 shares Expires 2014-04-14 F1 · security: This option was granted with attached tax withholding rights. F2 · 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. F2 · 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. F2 · 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 |
| July 23, 2003 Filed Jul 24, 2003 19:26 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 400 | $64.37 | $25,749.52 |
DisclosureSEC source: 0000018230-03-000327 · edgar.xml · nonDerivative · entry 1 BRAZIL JOHN R · CIK 0001171802 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,650 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.