Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CATERPILLAR INCCAT · Entity 2808 | Director | December 31, 2010 | January 04, 2011 |
| KELLANOVAK · Entity 71752 | Director | January 01, 2018 | February 09, 2018 |
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, 2010 · Filed January 04, 2011
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Phantom Stock UnitsSEC Table II · derivative / convertible security | Direct | 8,480 |
Reported balance
After 2010-12-31 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2010-12-31 · Grant · Acquired 198 · Balance 8,480 F2: Security converts to common stock on a one-for-one basis. F3: 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 in December 2010 at a price of $93.60 per share. |
| CommonSEC Table I · non-derivative | Direct | 31,787 |
Reported balance
Holding disclosure · report date 2010-12-31 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 31,787 F1: This amount includes 2140 dividend reinvestment shares. |
Filing footnotes · ownership attribution and instrument terms
F1: This amount includes 2140 dividend reinvestment shares.
F2: Security converts to common stock on a one-for-one basis.
F3: 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 in December 2010 at a price of $93.60 per share.
KELLANOVA
Report date January 01, 2018 · Filed February 09, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| CommonSEC Table I · non-derivative | Direct | 31,311.246 |
Reported balance
After 2018-01-01 transaction · row 1
1 source rowRow 1 · 2018-01-01 · Other · Acquired 926.659 · Balance 31,311.246 F1: Shares acquired under a Dividend Reinvestment Plan in 2017. |
| CommonSEC Table I · non-derivative | IndirectHeld in Trust | 49,457.176 |
Reported balance
After 2018-01-01 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2018-01-01 · Other · Acquired 1,460.538 · Balance 49,457.176 F2: Shares acquired under the Company's Dividend Reinvestment Plan in 2017. |
| CommonSEC Table I · non-derivative | IndirectCustodian for Son | 250 |
Reported balance
Holding disclosure · report date 2018-01-01 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 250 |
Filing footnotes · ownership attribution and instrument terms
F1: Shares acquired under a Dividend Reinvestment Plan in 2017.
F2: Shares acquired under the Company's Dividend Reinvestment Plan in 2017.
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 |
|---|---|---|---|---|---|---|
| January 01, 2018 Filed Feb 9, 2018 16:23 UTC | KELLANOVA K · Entity 71752 | OtherCommon | 1,460.538 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-002411 · doc5.xml · nonDerivative · entry 2 DILLON JOHN T · CIK 0001171804 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Held in Trust Disclosed balance after: 49,457.176 F2 · kind: Shares acquired under the Company's Dividend Reinvestment Plan in 2017. Read SEC document |
| January 01, 2018 Filed Feb 9, 2018 16:23 UTC | KELLANOVA K · Entity 71752 | OtherCommon | 926.659 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-002411 · doc5.xml · nonDerivative · entry 1 DILLON JOHN T · CIK 0001171804 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,311.246 F1 · kind: Shares acquired under a Dividend Reinvestment Plan in 2017. Read SEC document |
| June 01, 2017 Filed Jun 2, 2017 16:18 UTC | KELLANOVA K · Entity 71752 | Exercise / conversionStock Option · Derivative | 5,000 | $0.00 Strike: $47.80 | $0.00 |
DisclosureSEC source: 0001225208-17-010791 · doc4.xml · derivative · entry 5 DILLON JOHN T · CIK 0001171804 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 5,000 shares Expires 2018-01-31 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. F3 · kind: Reflects exercise of options due to expire January 31, 2018. Mr. Dillon took a portion of the after tax proceeds of the options exercise in Kellogg stock, increasing his share ownership by 100 shares. Read SEC document |
| June 01, 2017 Filed Jun 2, 2017 16:18 UTC | KELLANOVA K · Entity 71752 | SaleCommon | 4,900 | $71.87 | $352,140.46 |
DisclosureSEC source: 0001225208-17-010791 · doc4.xml · nonDerivative · entry 2 DILLON JOHN T · CIK 0001171804 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,384.587 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $71.86 to $71.88, inclusive. The reporting person undertakes to provide to Kellogg Company, any security holder of Kellogg Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4. F1 · balance_after: Excludes dividends reinvested after January 1, 2017. Read SEC document |
| June 01, 2017 Filed Jun 2, 2017 16:18 UTC | KELLANOVA K · Entity 71752 | Exercise / conversionCommon | 5,000 | $47.80 | $239,000.00 |
DisclosureSEC source: 0001225208-17-010791 · doc4.xml · nonDerivative · entry 1 DILLON JOHN T · CIK 0001171804 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,284.587 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 · balance_after: Excludes dividends reinvested after January 1, 2017. Read SEC document |
| May 08, 2017 Filed May 9, 2017 16:22 UTC | KELLANOVA K · Entity 71752 | GrantCommon | 2,133 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-009401 · doc4.xml · nonDerivative · entry 1 DILLON JOHN T · CIK 0001171804 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Held in Trust Disclosed balance after: 47,996.638 F1 · balance_after: Excludes dividends reinvested after January 1, 2017. Read SEC document |
| January 01, 2017 Filed Feb 7, 2017 16:43 UTC | KELLANOVA K · Entity 71752 | OtherCommon | 1,203.167 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-002597 · doc5.xml · nonDerivative · entry 2 DILLON JOHN T · CIK 0001171804 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Held in Trust Disclosed balance after: 45,863.638 F2 · kind: Shares acquired under the Company's Dividend Reinvestment Plan in 2016. Read SEC document |
| January 01, 2017 Filed Feb 7, 2017 16:43 UTC | KELLANOVA K · Entity 71752 | OtherCommon | 722.865 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-002597 · doc5.xml · nonDerivative · entry 1 DILLON JOHN T · CIK 0001171804 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,284.587 F1 · kind: Shares acquired under a Dividend Reinvestment Plan in 2016. Read SEC document |
| December 31, 2010 Filed Jan 4, 2011 18:25 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 198 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000026 · edgar.xml · derivative · entry 2 DILLON JOHN T · CIK 0001171804 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,480 Underlying: Common · 198 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 in December 2010 at a price of $93.60 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 in December 2010 at a price of $93.60 per share. Read SEC document |
| November 30, 2010 Filed Dec 2, 2010 15:51 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 263 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000555 · edgar.xml · derivative · entry 2 DILLON JOHN T · CIK 0001171804 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,282 Underlying: Common · 263 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 in November 2010 at a price between $83.575 and $83.94 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 in November 2010 at a price between $83.575 and $83.94 per share. Read SEC document |
| October 29, 2010 Filed Nov 1, 2010 18:00 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 237 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000512 · edgar.xml · derivative · entry 2 DILLON JOHN T · CIK 0001171804 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,019 Underlying: Common · 237 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 in October 2010 at a price of $78.165 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 in October 2010 at a price of $78.165 per share. Read SEC document |
| September 30, 2010 Filed Oct 1, 2010 17:56 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 235 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000490 · edgar.xml · derivative · entry 2 DILLON JOHN T · CIK 0001171804 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,782 Underlying: Common · 235 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 in September 2010 at a price of $79.105 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 in September 2010 at a price of $79.105 per share. Read SEC document |
| August 31, 2010 Filed Sep 1, 2010 19:40 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 331 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000438 · edgar.xml · derivative · entry 2 DILLON JOHN T · CIK 0001171804 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,547 Underlying: Common · 331 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 in August 2010 at a price between $64.89 and $68.50 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 in August 2010 at a price between $64.89 and $68.50 per share. Read SEC document |
| July 30, 2010 Filed Aug 2, 2010 20:01 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 268 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000376 · edgar.xml · derivative · entry 2 DILLON JOHN T · CIK 0001171804 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,216 Underlying: Common · 268 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 in July 2010 at a price of $69.435 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 in July 2010 at a price of $69.435 per share. Read SEC document |
| June 30, 2010 Filed Jul 2, 2010 16:24 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 305 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000343 · edgar.xml · derivative · entry 2 DILLON JOHN T · CIK 0001171804 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,948 Underlying: Common · 305 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 in June 2010 at a price of $60.925 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 in June 2010 at a price of $60.925 per share. Read SEC document |
| May 28, 2010 Filed Jun 1, 2010 17:51 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 346 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000282 · edgar.xml · derivative · entry 2 DILLON JOHN T · CIK 0001171804 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,643 Underlying: Common · 346 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 in May 2010 at a price between $59.20 and $61.235 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 in May 2010 at a price between $59.20 and $61.235 per share. Read SEC document |
| April 30, 2010 Filed May 3, 2010 19:59 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 267 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000246 · edgar.xml · derivative · entry 2 DILLON JOHN T · CIK 0001171804 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,297 Underlying: Common · 267 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 in April 2010 at a price of $69.57 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 in April 2010 at a price of $69.57 per share. Read SEC document |
| March 31, 2010 Filed Apr 1, 2010 16:19 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 295 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000180 · edgar.xml · derivative · entry 2 DILLON JOHN T · CIK 0001171804 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,030 Underlying: Common · 295 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 in March 2010 at a price of $63.065 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 in March 2010 at a price of $63.065 per share. Read SEC document |
| February 26, 2010 Filed Mar 1, 2010 19:54 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 364 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000113 · edgar.xml · derivative · entry 2 DILLON JOHN T · CIK 0001171804 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,735 Underlying: Common · 364 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 in February 2010 at a price between $56.685 and $58.48 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 in February 2010 at a price between $56.685 and $58.48 per share. Read SEC document |
| February 04, 2010 Filed Feb 5, 2010 15:14 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 8,000 | $0.00 Strike: $21.88 | $0.00 |
DisclosureSEC source: 0000018230-10-000071 · edgar.xml · derivative · entry 3 DILLON JOHN T · CIK 0001171804 · 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. F4 · security: (Right to buy) with tandem tax withholding rights. F5 · 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 04, 2010 Filed Feb 5, 2010 15:14 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 8,000 | $21.88 | $175,000.00 |
DisclosureSEC source: 0000018230-10-000071 · edgar.xml · nonDerivative · entry 1 DILLON JOHN T · CIK 0001171804 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,429 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 · balance_after: This amount includes 1782 dividend reinvestment shares. Read SEC document |
| January 29, 2010 Filed Feb 1, 2010 16:14 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 351 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000061 · edgar.xml · derivative · entry 2 DILLON JOHN T · CIK 0001171804 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,371 Underlying: Common · 351 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 in January 2010 at a price of $52.89 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 in January 2010 at a price of $52.89 per share. Read SEC document |
| December 31, 2009 Filed Jan 4, 2010 20:48 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 324 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000012 · edgar.xml · derivative · entry 2 DILLON JOHN T · CIK 0001171804 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,020 Underlying: Common · 324 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 in December 2009 at a price of $57.475 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 in December 2009 at a price of $57.475 per share. Read SEC document |
| November 30, 2009 Filed Dec 1, 2009 16:40 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 350 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000526 · edgar.xml · derivative · entry 2 DILLON JOHN T · CIK 0001171804 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,696 Underlying: Common · 350 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 in November 2009 at a price between $57.64 and $57.91 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 in November 2009 at a price between $57.64 and $57.91 per share. Read SEC document |
| October 30, 2009 Filed Nov 2, 2009 19:12 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 330 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000478 · edgar.xml · derivative · entry 2 DILLON JOHN T · CIK 0001171804 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,346 Underlying: Common · 330 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 in October 2009 at a price of $56.255 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 in October 2009 at a price of $56.255 per share. Read SEC document |
| September 30, 2009 Filed Oct 1, 2009 18:16 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 361 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000396 · edgar.xml · derivative · entry 2 DILLON JOHN T · CIK 0001171804 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,016 Underlying: Common · 361 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 in September 2009 at a price of $51.425 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 in September 2009 at a price of $51.425 per share. Read SEC document |
| August 31, 2009 Filed Sep 1, 2009 16:25 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 435 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000351 · edgar.xml · derivative · entry 2 DILLON JOHN T · CIK 0001171804 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,654 Underlying: Common · 435 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 in August 2009 at a price between $45.16 and $45.405 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 in August 2009 at a price between $45.16 and $45.405 per share. Read SEC document |
| July 31, 2009 Filed Aug 3, 2009 17:51 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 424 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000289 · edgar.xml · derivative · entry 2 DILLON JOHN T · CIK 0001171804 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,219 Underlying: Common · 424 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 in July 2009 at a price of $43.735 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 in July 2009 at a price of $43.735 per share. Read SEC document |
| June 30, 2009 Filed Jul 1, 2009 20:18 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 548 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000245 · edgar.xml · derivative · entry 2 DILLON JOHN T · CIK 0001171804 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,794 Underlying: Common · 548 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 in June 2009 at a price of $33.86 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 in June 2009 at a price of $33.86 per share. Read SEC document |
| May 29, 2009 Filed Jun 1, 2009 19:59 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 540 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000210 · edgar.xml · derivative · entry 2 DILLON JOHN T · CIK 0001171804 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,245 Underlying: Common · 540 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 in May 2009 at a price between $35.21 and $38.235 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 in May 2009 at a price between $35.21 and $38.235 per share. Read SEC document |
| April 30, 2009 Filed May 1, 2009 15:33 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 525 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000168 · edgar.xml · derivative · entry 2 DILLON JOHN T · CIK 0001171804 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,705 Underlying: Common · 525 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 in April 2009 at a price of $35.37 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 in April 2009 at a price of $35.37 per share. Read SEC document |
| April 09, 2009 Filed Apr 13, 2009 18:58 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 4,000 | $0.00 Strike: $28.78 | $0.00 |
DisclosureSEC source: 0000018230-09-000142 · edgar.xml · derivative · entry 3 DILLON JOHN T · CIK 0001171804 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 4,000 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. F4 · security: (Right to buy) with tandem tax withholding rights. F5 · 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 09, 2009 Filed Apr 13, 2009 18:58 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 4,000 | $28.78 | $115,125.20 |
DisclosureSEC source: 0000018230-09-000142 · edgar.xml · nonDerivative · entry 1 DILLON JOHN T · CIK 0001171804 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,625 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 · balance_after: This amount includes 978 dividend reinvestment shares. Read SEC document |
| March 31, 2009 Filed Apr 1, 2009 20:08 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 298 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000121 · edgar.xml · derivative · entry 2 DILLON JOHN T · CIK 0001171804 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,179 Underlying: Common · 298 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 in March 2009 at a price of $27.945 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 in March 2009 at a price of $27.945 per share. Read SEC document |
| February 27, 2009 Filed Mar 2, 2009 16:42 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 342 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000076 · edgar.xml · derivative · entry 2 DILLON JOHN T · CIK 0001171804 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 881 Underlying: Common · 342 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 in February 2009 at a price of $24.365 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 in February 2009 at a price of $24.365 per share. Read SEC document |
| January 30, 2009 Filed Feb 2, 2009 18:40 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 539 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000043 · edgar.xml · derivative · entry 2 DILLON JOHN T · CIK 0001171804 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 539 Underlying: Common · 539 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 in January 2009 at a price of $30.90 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 in January 2009 at a price of $30.90 per share. Read SEC document |
| August 07, 2008 Filed Aug 8, 2008 14:40 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 4,000 | $0.00 Strike: $28.78 | $0.00 |
DisclosureSEC source: 0000018230-08-000295 · edgar.xml · derivative · entry 3 DILLON JOHN T · CIK 0001171804 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 4,000 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. F2 · security: (Right to buy) with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| August 07, 2008 Filed Aug 8, 2008 14:40 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 4,000 | $69.60 | $278,408.00 |
DisclosureSEC source: 0000018230-08-000295 · edgar.xml · nonDerivative · entry 2 DILLON JOHN T · CIK 0001171804 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,335 F4 · price: Sale prices range from $69.60 to $69.61. F1 · balance_after: This amount includes 688 dividend reinvestment shares. Read SEC document |
| August 07, 2008 Filed Aug 8, 2008 14:40 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 4,000 | $28.78 | $115,125.20 |
DisclosureSEC source: 0000018230-08-000295 · edgar.xml · nonDerivative · entry 1 DILLON JOHN T · CIK 0001171804 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,335 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: 0000018230-08-000086 · edgar.xml · derivative · entry 2 DILLON JOHN T · CIK 0001171804 · 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 |
| August 07, 2007 Filed Aug 8, 2007 14:11 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 8,000 | $0.00 Strike: $27.19 | $0.00 |
DisclosureSEC source: 0000018230-07-000419 · edgar.xml · derivative · entry 3 DILLON JOHN T · CIK 0001171804 · 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. F2 · security: (Right to buy) with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| August 07, 2007 Filed Aug 8, 2007 14:11 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 8,000 | $79.51 | $636,094.40 |
DisclosureSEC source: 0000018230-07-000419 · edgar.xml · nonDerivative · entry 2 DILLON JOHN T · CIK 0001171804 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,035 F1 · balance_after: This amount includes 388 dividend reinvestment shares. Read SEC document |
| August 07, 2007 Filed Aug 8, 2007 14:11 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 8,000 | $27.19 | $217,500.00 |
DisclosureSEC source: 0000018230-07-000419 · edgar.xml · nonDerivative · entry 1 DILLON JOHN T · CIK 0001171804 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,035 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 27, 2007 Filed Mar 28, 2007 20:52 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 8,000 | $0.00 Strike: $19.59 | $0.00 |
DisclosureSEC source: 0000018230-07-000245 · edgar.xml · derivative · entry 3 DILLON JOHN T · CIK 0001171804 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 8,000 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 27, 2007 Filed Mar 28, 2007 20:52 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 2,353 | $66.59 | $156,686.27 |
DisclosureSEC source: 0000018230-07-000245 · edgar.xml · nonDerivative · entry 2 DILLON JOHN T · CIK 0001171804 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,960 F1 · balance_after: This amount includes 313 dividend reinvestment shares. Read SEC document |
| March 27, 2007 Filed Mar 28, 2007 20:52 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 8,000 | $19.59 | $156,750.40 |
DisclosureSEC source: 0000018230-07-000245 · edgar.xml · nonDerivative · entry 1 DILLON JOHN T · CIK 0001171804 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,313 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 16:41 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantStock Appreciation Right · Derivative | 5,833 | $0.00 Strike: $63.04 | $0.00 |
DisclosureSEC source: 0000018230-07-000084 · edgar.xml · derivative · entry 2 DILLON JOHN T · CIK 0001171804 · 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 18:00 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantStock Appreciation Right · Derivative | 7,000 | $0.00 Strike: $66.77 | $0.00 |
DisclosureSEC source: 0000018230-06-000290 · edgar.xml · derivative · entry 2 DILLON JOHN T · CIK 0001171804 · 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 16:35 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherOption (NQ) · Derivative | 4,000 | $0.00 Strike: $89.79 | $0.00 |
DisclosureSEC source: 0000018230-05-000345 · edgar.xml · derivative · entry 2 DILLON JOHN T · CIK 0001171804 · 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 15:33 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherOption (NQ) · Derivative | 4,000 | $0.00 Strike: $81.27 | $0.00 |
DisclosureSEC source: 0000018230-04-000233 · edgar.xml · derivative · entry 2 DILLON JOHN T · CIK 0001171804 · 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.