Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CATERPILLAR INCCAT · Entity 2808 | V.P./Chief Financial Officer | May 28, 2010 | June 01, 2010 |
| LOCKHEED MARTIN CORPLMT · Entity 2882 | Director | September 30, 2026 | October 02, 2026 |
| UNITED STATES STEEL CORPX · Entity 78343 | Director · Pres. & CEO | June 18, 2025 | June 18, 2025 |
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 28, 2010 · Filed June 01, 2010
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Phantom Stock UnitsSEC Table II · derivative / convertible security | Direct | 14,022 |
Reported balance
After 2010-05-28 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2010-05-28 · Grant · Acquired 73 · Balance 14,022 F3: Security converts to common stock on a one-for-one basis. F4: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. |
| CommonSEC Table I · non-derivative | Direct | 25,723 |
Reported balance
Holding disclosure · report date 2010-05-28 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 25,723 F1: This amount includes 13,849 shares in 401K and 374 shares in dividend reinvestment. |
| CommonSEC Table I · non-derivative | IndirectOwned by Wife | 13,314 |
Reported balance
Holding disclosure · report date 2010-05-28 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 13,314 F2: Reporting person disclaims beneficial ownership. |
Filing footnotes · ownership attribution and instrument terms
F1: This amount includes 13,849 shares in 401K and 374 shares in dividend reinvestment.
F2: Reporting person disclaims beneficial ownership.
F3: Security converts to common stock on a one-for-one basis.
F4: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service.
LOCKHEED MARTIN CORP
Report date September 30, 2026 · Filed October 02, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Phantom Stock UnitsSEC Table II · derivative / convertible security | IndirectLockheed Martin Directors Deferred Comp Plan | 11,632.9162 |
Reported balance
After 2026-09-30 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-09-30 · Grant · Acquired 83.456 · Balance 11,632.9162 F1: Phantom stock units convert to common stock on a one-for-one basis. F2: The information pertains to phantom stock units acquired at $509.25 per share through director retainer fee deferral under the Lockheed Martin Corporation Directors Deferred Compensation Plan exempt under Section 16(b). Units are settled in cash upon the reporting person's retirement or termination of service. F3: Holdings as of reportable transaction date include additional acquisitions through dividend reinvestment. |
| Phantom Stock UnitsSEC Table II · derivative / convertible security | IndirectLockheed Martin Directors Equity Plan | 14,278.1072 |
Reported balance
Holding disclosure · report date 2026-09-30 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance 14,278.1072 F1: Phantom stock units convert to common stock on a one-for-one basis. F4: The information pertains to previously acquired stock units under the Lockheed Martin Corporation Amended and Restated Directors Equity Plan exempt under Section 16(b). Settlement in cash or stock (as elected by the director) will occur upon the reporting person's retirement or termination of service, except that non-employee directors who have satisfied our stock ownership guidelines may elect to have payment of awards granted on or after January 1, 2018 (together with any dividend equivalents thereon) made on the first business day of April following vesting of the award. F3: Holdings as of reportable transaction date include additional acquisitions through dividend reinvestment. |
Filing footnotes · ownership attribution and instrument terms
F1: Phantom stock units convert to common stock on a one-for-one basis.
F2: The information pertains to phantom stock units acquired at $509.25 per share through director retainer fee deferral under the Lockheed Martin Corporation Directors Deferred Compensation Plan exempt under Section 16(b). Units are settled in cash upon the reporting person's retirement or termination of service.
F3: Holdings as of reportable transaction date include additional acquisitions through dividend reinvestment.
F4: The information pertains to previously acquired stock units under the Lockheed Martin Corporation Amended and Restated Directors Equity Plan exempt under Section 16(b). Settlement in cash or stock (as elected by the director) will occur upon the reporting person's retirement or termination of service, except that non-employee directors who have satisfied our stock ownership guidelines may elect to have payment of awards granted on or after January 1, 2018 (together with any dividend equivalents thereon) made on the first business day of April following vesting of the award.
UNITED STATES STEEL CORP
Report date June 18, 2025 · Filed June 18, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| COMMON STOCKSEC Table I · non-derivative | Direct | 0 |
Ending reported balance
After 2025-06-18 transaction · row 3
3 source rows · reconciled sequenceRow 1 · 2025-06-18 · Disposition to issuer · Disposed 1,196,647 · Balance 0 F2: Reflects (i) shares of common stock of the Company, par value $1.00 (the "Shares"), held directly by the reporting person, (ii) restricted stock units previously granted to the reporting person, and (iii) ROCE-based and TSR-based performance stock units previously granted to the reporting person that relate to performance periods that were completed prior to the Effective Time that, in each case, as of immediately prior to the Effective Time, were converted into the right to receive $55 in cash per Share (the "Per Share Merger Consideration"), less any applicable tax withholdings in accordance with the terms of the Merger Agreement. F1: On June 18, 2025, United States Steel Corporation (the "Company") consummated the merger transaction (the "Merger") contemplated by that certain Agreement and Plan of Merger (the "Merger Agreement"), dated as of December 18, 2023, by and among Nippon Steel North America, Inc., a New York corporation ("Parent"), 2023 Merger Subsidiary, Inc., a Delaware corporation and a wholly owned subsidiary of Parent, and the Company. The effective time of the Merger is referred to herein as the "Effective Time". Row 2 · 2025-06-18 · Grant · Acquired 372,812 · Balance 372,812 F3: Reflects the acquisition of ROCE-based and TSR-based performance stock units and other performance-based stock awards (collectively, "PSUs") that were deemed to have been earned as of immediately prior to the Effective Time in accordance with the terms of the Merger Agreement. Row 3 · 2025-06-18 · Disposition to issuer · Disposed 372,812 · Balance 0 F4: Immediately prior to the Effective Time, in accordance with the terms of the Merger Agreement, each of these PSUs was converted into the right to receive the Per Share Merger Consideration, less any applicable tax withholdings. F1: On June 18, 2025, United States Steel Corporation (the "Company") consummated the merger transaction (the "Merger") contemplated by that certain Agreement and Plan of Merger (the "Merger Agreement"), dated as of December 18, 2023, by and among Nippon Steel North America, Inc., a New York corporation ("Parent"), 2023 Merger Subsidiary, Inc., a Delaware corporation and a wholly owned subsidiary of Parent, and the Company. The effective time of the Merger is referred to herein as the "Effective Time". |
| COMMON STOCKSEC Table I · non-derivative | IndirectBy Trust | 0 |
Reported balance
After 2025-06-18 transaction · row 4
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 4 · 2025-06-18 · Disposition to issuer · Disposed 290,082 · Balance 0 F5: Immediately prior to the Effective Time, in accordance with the terms of the Merger Agreement, each of these Shares was converted into the right to receive the Per Share Merger Consideration, less any applicable tax withholdings. F1: On June 18, 2025, United States Steel Corporation (the "Company") consummated the merger transaction (the "Merger") contemplated by that certain Agreement and Plan of Merger (the "Merger Agreement"), dated as of December 18, 2023, by and among Nippon Steel North America, Inc., a New York corporation ("Parent"), 2023 Merger Subsidiary, Inc., a Delaware corporation and a wholly owned subsidiary of Parent, and the Company. The effective time of the Merger is referred to herein as the "Effective Time". |
| COMMON STOCKSEC Table I · non-derivative | IndirectBy 401(k) Plan | 0 |
Reported balance
After 2025-06-18 transaction · row 5
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 5 · 2025-06-18 · Disposition to issuer · Disposed 11,783.483 · Balance 0 F6: As a result of the Effective Time, each of the Shares that the reporting person previously reported as beneficially owned under the Company's 401(k) retirement plan was liquidated in exchange for the Per Share Merger Consideration. F1: On June 18, 2025, United States Steel Corporation (the "Company") consummated the merger transaction (the "Merger") contemplated by that certain Agreement and Plan of Merger (the "Merger Agreement"), dated as of December 18, 2023, by and among Nippon Steel North America, Inc., a New York corporation ("Parent"), 2023 Merger Subsidiary, Inc., a Delaware corporation and a wholly owned subsidiary of Parent, and the Company. The effective time of the Merger is referred to herein as the "Effective Time". |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $39.27 · Expires 2027-02-28 | Direct | 0 |
Reported balance
After 2025-06-18 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2025-06-18 · Disposition to issuer · Disposed 30,020 · Balance 0 F1: On June 18, 2025, United States Steel Corporation (the "Company") consummated the merger transaction (the "Merger") contemplated by that certain Agreement and Plan of Merger (the "Merger Agreement"), dated as of December 18, 2023, by and among Nippon Steel North America, Inc., a New York corporation ("Parent"), 2023 Merger Subsidiary, Inc., a Delaware corporation and a wholly owned subsidiary of Parent, and the Company. The effective time of the Merger is referred to herein as the "Effective Time". F7: Immediately prior to the Effective Time, in accordance with the terms of the Merger Agreement, each of these stock options was converted into the right to receive an amount in cash equal to the positive difference, if any, between the Per Share Merger Consideration and the applicable exercise price, less any applicable tax withholdings. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $23.52 · Expires 2028-12-30 | Direct | 0 |
Reported balance
After 2025-06-18 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2025-06-18 · Disposition to issuer · Disposed 171,000 · Balance 0 F1: On June 18, 2025, United States Steel Corporation (the "Company") consummated the merger transaction (the "Merger") contemplated by that certain Agreement and Plan of Merger (the "Merger Agreement"), dated as of December 18, 2023, by and among Nippon Steel North America, Inc., a New York corporation ("Parent"), 2023 Merger Subsidiary, Inc., a Delaware corporation and a wholly owned subsidiary of Parent, and the Company. The effective time of the Merger is referred to herein as the "Effective Time". F7: Immediately prior to the Effective Time, in accordance with the terms of the Merger Agreement, each of these stock options was converted into the right to receive an amount in cash equal to the positive difference, if any, between the Per Share Merger Consideration and the applicable exercise price, less any applicable tax withholdings. |
Filing footnotes · ownership attribution and instrument terms
F1: On June 18, 2025, United States Steel Corporation (the "Company") consummated the merger transaction (the "Merger") contemplated by that certain Agreement and Plan of Merger (the "Merger Agreement"), dated as of December 18, 2023, by and among Nippon Steel North America, Inc., a New York corporation ("Parent"), 2023 Merger Subsidiary, Inc., a Delaware corporation and a wholly owned subsidiary of Parent, and the Company. The effective time of the Merger is referred to herein as the "Effective Time".
F2: Reflects (i) shares of common stock of the Company, par value $1.00 (the "Shares"), held directly by the reporting person, (ii) restricted stock units previously granted to the reporting person, and (iii) ROCE-based and TSR-based performance stock units previously granted to the reporting person that relate to performance periods that were completed prior to the Effective Time that, in each case, as of immediately prior to the Effective Time, were converted into the right to receive $55 in cash per Share (the "Per Share Merger Consideration"), less any applicable tax withholdings in accordance with the terms of the Merger Agreement.
F3: Reflects the acquisition of ROCE-based and TSR-based performance stock units and other performance-based stock awards (collectively, "PSUs") that were deemed to have been earned as of immediately prior to the Effective Time in accordance with the terms of the Merger Agreement.
F4: Immediately prior to the Effective Time, in accordance with the terms of the Merger Agreement, each of these PSUs was converted into the right to receive the Per Share Merger Consideration, less any applicable tax withholdings.
F5: Immediately prior to the Effective Time, in accordance with the terms of the Merger Agreement, each of these Shares was converted into the right to receive the Per Share Merger Consideration, less any applicable tax withholdings.
F6: As a result of the Effective Time, each of the Shares that the reporting person previously reported as beneficially owned under the Company's 401(k) retirement plan was liquidated in exchange for the Per Share Merger Consideration.
F7: Immediately prior to the Effective Time, in accordance with the terms of the Merger Agreement, each of these stock options was converted into the right to receive an amount in cash equal to the positive difference, if any, between the Per Share Merger Consideration and the applicable exercise price, less any applicable tax withholdings.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| March 02, 2007 Filed Mar 5, 2007 18:42 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantRestricted Stock Units · Derivative | 2,594 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000105 · edgar.xml · derivative · entry 4 BURRITT DAVID B · CIK 0001204586 · V.P./Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,594 Underlying: Common · 2,594 shares Expires not disclosed F4 · 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 and stock appreciation rights vest on March 2, 2010. F3 · derivative.expiration_date: The restricted stock units and stock appreciation rights vest on March 2, 2010. Read SEC document |
| March 02, 2007 Filed Mar 5, 2007 18:42 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantStock Appreciation Right · Derivative | 47,342 | $0.00 Strike: $63.04 | $0.00 |
DisclosureSEC source: 0000018230-07-000105 · edgar.xml · derivative · entry 3 BURRITT DAVID B · CIK 0001204586 · V.P./Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,342 Underlying: Common · 47,342 shares Expires 2017-03-02 F3 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 2, 2010. Read SEC document |
| August 25, 2006 Filed Aug 28, 2006 13:41 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 250 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-06-000397 · edgar.xml · nonDerivative · entry 2 BURRITT DAVID B · CIK 0001204586 · V.P./Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · Owned by Wife Disclosed balance after: 6,814 F2 · ownership.nature: Reporting person disclaims beneficial ownership. Read SEC document |
| February 17, 2006 Filed Feb 21, 2006 14:02 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantStock Appreciation Right · Derivative | 48,000 | $0.00 Strike: $72.05 | $0.00 |
DisclosureSEC source: 0000018230-06-000129 · edgar.xml · derivative · entry 3 BURRITT DAVID B · CIK 0001204586 · V.P./Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,000 Underlying: Common · 48,000 shares Expires 2016-02-17 Read SEC document |
| January 31, 2006 Filed Feb 1, 2006 17:38 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 3,402 | $0.00 Strike: $19.20 | $0.00 |
DisclosureSEC source: 0000018230-06-000061 · edgar.xml · derivative · entry 14 BURRITT DAVID B · CIK 0001204586 · V.P./Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 3,402 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. F3 · security: (Right to buy) with tandem tax withholding rights. F4 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| January 31, 2006 Filed Feb 1, 2006 17:38 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 3,208 | $0.00 Strike: $31.17 | $0.00 |
DisclosureSEC source: 0000018230-06-000061 · edgar.xml · derivative · entry 13 BURRITT DAVID B · CIK 0001204586 · V.P./Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 3,208 shares Expires 2009-06-08 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. F3 · security: (Right to buy) with tandem tax withholding rights. F4 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| January 31, 2006 Filed Feb 1, 2006 17:38 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 3,590 | $0.00 Strike: $27.84 | $0.00 |
DisclosureSEC source: 0000018230-06-000061 · edgar.xml · derivative · entry 12 BURRITT DAVID B · CIK 0001204586 · V.P./Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 3,590 shares Expires 2008-06-09 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. F3 · security: (Right to buy) with tandem tax withholding rights. F4 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| January 31, 2006 Filed Feb 1, 2006 17:38 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 12,830 | $0.00 Strike: $26.77 | $0.00 |
DisclosureSEC source: 0000018230-06-000061 · edgar.xml · derivative · entry 11 BURRITT DAVID B · CIK 0001204586 · V.P./Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 12,830 shares Expires 2011-06-12 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. F3 · security: (Right to buy) with tandem tax withholding rights. F4 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| January 31, 2006 Filed Feb 1, 2006 17:38 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 11,632 | $0.00 Strike: $31.17 | $0.00 |
DisclosureSEC source: 0000018230-06-000061 · edgar.xml · derivative · entry 10 BURRITT DAVID B · CIK 0001204586 · V.P./Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 11,632 shares Expires 2009-06-08 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. F3 · security: (Right to buy) with tandem tax withholding rights. F4 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| January 31, 2006 Filed Feb 1, 2006 17:38 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 4,560 | $0.00 Strike: $27.84 | $0.00 |
DisclosureSEC source: 0000018230-06-000061 · edgar.xml · derivative · entry 9 BURRITT DAVID B · CIK 0001204586 · V.P./Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 4,560 shares Expires 2008-06-09 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. F3 · security: (Right to buy) with tandem tax withholding rights. F4 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| January 31, 2006 Filed Feb 1, 2006 17:38 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 3,402 | $19.20 | $65,329.29 |
DisclosureSEC source: 0000018230-06-000061 · edgar.xml · nonDerivative · entry 7 BURRITT DAVID B · CIK 0001204586 · V.P./Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,720 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 9440 shares in 401K and 33 shares in dividend reinvestment. Read SEC document |
| January 31, 2006 Filed Feb 1, 2006 17:38 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 3,208 | $31.17 | $99,999.46 |
DisclosureSEC source: 0000018230-06-000061 · edgar.xml · nonDerivative · entry 6 BURRITT DAVID B · CIK 0001204586 · V.P./Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,318 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 |
| January 31, 2006 Filed Feb 1, 2006 17:38 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 3,590 | $27.84 | $99,959.24 |
DisclosureSEC source: 0000018230-06-000061 · edgar.xml · nonDerivative · entry 5 BURRITT DAVID B · CIK 0001204586 · V.P./Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,110 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 |
| January 31, 2006 Filed Feb 1, 2006 17:38 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 29,022 | $66.80 | $1,938,669.60 |
DisclosureSEC source: 0000018230-06-000061 · edgar.xml · nonDerivative · entry 4 BURRITT DAVID B · CIK 0001204586 · V.P./Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,520 Read SEC document |
| January 31, 2006 Filed Feb 1, 2006 17:38 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 12,830 | $26.77 | $343,394.95 |
DisclosureSEC source: 0000018230-06-000061 · edgar.xml · nonDerivative · entry 3 BURRITT DAVID B · CIK 0001204586 · V.P./Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,542 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 |
| January 31, 2006 Filed Feb 1, 2006 17:38 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 11,632 | $31.17 | $362,591.54 |
DisclosureSEC source: 0000018230-06-000061 · edgar.xml · nonDerivative · entry 2 BURRITT DAVID B · CIK 0001204586 · V.P./Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,712 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 |
| January 31, 2006 Filed Feb 1, 2006 17:38 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 4,560 | $27.84 | $126,967.73 |
DisclosureSEC source: 0000018230-06-000061 · edgar.xml · nonDerivative · entry 1 BURRITT DAVID B · CIK 0001204586 · V.P./Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,080 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 |
| January 06, 2006 Filed Jan 9, 2006 16:21 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 5,500 | $0.00 Strike: $26.77 | $0.00 |
DisclosureSEC source: 0000018230-06-000029 · edgar.xml · derivative · entry 6 BURRITT DAVID B · CIK 0001204586 · V.P./Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 5,500 shares Expires 2011-06-12 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. F3 · security: (Right to buy) with tandem tax withholding rights. F4 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| January 06, 2006 Filed Jan 9, 2006 16:21 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 6,110 | $0.00 Strike: $25.36 | $0.00 |
DisclosureSEC source: 0000018230-06-000029 · edgar.xml · derivative · entry 5 BURRITT DAVID B · CIK 0001204586 · V.P./Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 6,110 shares Expires 2012-06-11 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. F3 · security: (Right to buy) with tandem tax withholding rights. F4 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| January 06, 2006 Filed Jan 9, 2006 16:21 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 11,610 | $59.88 | $695,206.80 |
DisclosureSEC source: 0000018230-06-000029 · edgar.xml · nonDerivative · entry 3 BURRITT DAVID B · CIK 0001204586 · V.P./Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,518 F1 · balance_after: This amount includes 9440 shares in 401K and 31 shares in dividend reinvestment. Read SEC document |
| January 06, 2006 Filed Jan 9, 2006 16:21 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 5,500 | $26.77 | $147,207.50 |
DisclosureSEC source: 0000018230-06-000029 · edgar.xml · nonDerivative · entry 2 BURRITT DAVID B · CIK 0001204586 · V.P./Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,128 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 |
| January 06, 2006 Filed Jan 9, 2006 16:21 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 6,110 | $25.36 | $154,934.33 |
DisclosureSEC source: 0000018230-06-000029 · edgar.xml · nonDerivative · entry 1 BURRITT DAVID B · CIK 0001204586 · V.P./Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,628 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| October 28, 2005 Filed Oct 31, 2005 21:47 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 1,800 | $0.00 Strike: $19.20 | $0.00 |
DisclosureSEC source: 0000018230-05-000688 · edgar.xml · derivative · entry 7 BURRITT DAVID B · CIK 0001204586 · V.P./Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 1,800 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. F3 · security: (Right to buy) with tandem tax withholding rights. F4 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| October 28, 2005 Filed Oct 31, 2005 21:47 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 2,868 | $0.00 Strike: $25.83 | $0.00 |
DisclosureSEC source: 0000018230-05-000688 · edgar.xml · derivative · entry 6 BURRITT DAVID B · CIK 0001204586 · V.P./Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 2,868 shares Expires 2007-06-10 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. F3 · security: (Right to buy) with tandem tax withholding rights. F4 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| October 28, 2005 Filed Oct 31, 2005 21:47 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 683 | $50.59 | $34,549.56 |
DisclosureSEC source: 0000018230-05-000688 · edgar.xml · nonDerivative · entry 4 BURRITT DAVID B · CIK 0001204586 · V.P./Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,468 F1 · balance_after: This amount includes 9395 shares in 401K and 26 shares in dividend reinvestment. Read SEC document |
| October 28, 2005 Filed Oct 31, 2005 21:47 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 1,800 | $19.20 | $34,565.76 |
DisclosureSEC source: 0000018230-05-000688 · edgar.xml · nonDerivative · entry 3 BURRITT DAVID B · CIK 0001204586 · V.P./Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,151 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| October 28, 2005 Filed Oct 31, 2005 21:47 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,464 | $50.59 | $74,056.44 |
DisclosureSEC source: 0000018230-05-000688 · edgar.xml · nonDerivative · entry 2 BURRITT DAVID B · CIK 0001204586 · V.P./Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,351 Read SEC document |
| October 28, 2005 Filed Oct 31, 2005 21:47 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 2,868 | $25.83 | $74,074.99 |
DisclosureSEC source: 0000018230-05-000688 · edgar.xml · nonDerivative · entry 1 BURRITT DAVID B · CIK 0001204586 · V.P./Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,815 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| October 26, 2005 Filed Oct 28, 2005 17:20 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherCommon | 1,205 | $50.55 | $60,912.75 |
DisclosureSEC source: 0000018230-05-000678 · edgar.xml · nonDerivative · entry 1 BURRITT DAVID B · CIK 0001204586 · V.P./Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,947 F1 · balance_after: This amount includes 9395 shares in 401K and 26 shares in dividend reinvestment. Read SEC document |
| August 10, 2005 Filed Aug 11, 2005 15:31 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 6,110 | $0.00 Strike: $25.36 | $0.00 |
DisclosureSEC source: 0000018230-05-000574 · edgar.xml · derivative · entry 4 BURRITT DAVID B · CIK 0001204586 · V.P./Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 6,110 shares Expires 2012-06-11 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. F5 · security: (Right to buy) with tandem tax withholding rights. F6 · 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 10, 2005 Filed Aug 11, 2005 15:31 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 6,110 | $55.00 | $336,050.00 |
DisclosureSEC source: 0000018230-05-000574 · edgar.xml · nonDerivative · entry 2 BURRITT DAVID B · CIK 0001204586 · V.P./Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,742 F1 · balance_after: This amount includes 8190 shares in 401K and 26 shares in dividend reinvestment. F3 · balance_after: On July 14, 2005, the common stock of Caterpillar Inc. split 2-for-1, resulting in the reporting person's acquisition of 5763 additional shares of common stock. Read SEC document |
| August 10, 2005 Filed Aug 11, 2005 15:31 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 6,110 | $25.36 | $154,934.33 |
DisclosureSEC source: 0000018230-05-000574 · edgar.xml · nonDerivative · entry 1 BURRITT DAVID B · CIK 0001204586 · V.P./Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,852 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 18, 2005 Filed Feb 22, 2005 16:48 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherOption (NQ) · Derivative | 27,000 | $0.00 Strike: $91.29 | $0.00 |
DisclosureSEC source: 0000018230-05-000152 · edgar.xml · derivative · entry 3 BURRITT DAVID B · CIK 0001204586 · V.P./Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,000 Underlying: Common · 27,000 shares Expires 2015-02-18 F3 · security: This option was granted with attached tax withholding rights. F4 · kind: Grant to reporting person of option to buy 27,000 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable immediately. F4 · price: Grant to reporting person of option to buy 27,000 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable immediately. F4 · derivative.exercise_date: Grant to reporting person of option to buy 27,000 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable immediately. Read SEC document |
| November 22, 2004 Filed Nov 23, 2004 21:06 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 500 | $0.00 Strike: $51.66 | $0.00 |
DisclosureSEC source: 0000018230-04-000662 · edgar.xml · derivative · entry 7 BURRITT DAVID B · CIK 0001204586 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 500 shares Expires 2007-06-10 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. F3 · security: (Right to buy) with tandem tax withholding rights. F4 · 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 22, 2004 Filed Nov 23, 2004 21:06 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 2,388 | $0.00 Strike: $32.91 | $0.00 |
DisclosureSEC source: 0000018230-04-000662 · edgar.xml · derivative · entry 6 BURRITT DAVID B · CIK 0001204586 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 2,388 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. F3 · security: (Right to buy) with tandem tax withholding rights. F4 · 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 22, 2004 Filed Nov 23, 2004 21:06 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 286 | $90.27 | $25,817.22 |
DisclosureSEC source: 0000018230-04-000662 · edgar.xml · nonDerivative · entry 4 BURRITT DAVID B · CIK 0001204586 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,821 F1 · balance_after: This amount includes 4049 shares in 401K and 9 shares in dividend reinvestment. Read SEC document |
| November 22, 2004 Filed Nov 23, 2004 21:06 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 500 | $51.66 | $25,828.10 |
DisclosureSEC source: 0000018230-04-000662 · edgar.xml · nonDerivative · entry 3 BURRITT DAVID B · CIK 0001204586 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,107 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 22, 2004 Filed Nov 23, 2004 21:06 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 870 | $90.27 | $78,534.90 |
DisclosureSEC source: 0000018230-04-000662 · edgar.xml · nonDerivative · entry 2 BURRITT DAVID B · CIK 0001204586 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,607 Read SEC document |
| November 22, 2004 Filed Nov 23, 2004 21:06 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 2,388 | $32.91 | $78,580.01 |
DisclosureSEC source: 0000018230-04-000662 · edgar.xml · nonDerivative · entry 1 BURRITT DAVID B · CIK 0001204586 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,477 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, 2004 Filed Jul 28, 2004 17:39 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherCommon | 2,909 | $72.17 | $209,942.53 |
DisclosureSEC source: 0000018230-04-000468 · edgar.xml · nonDerivative · entry 1 BURRITT DAVID B · CIK 0001204586 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,086 F1 · balance_after: This amount includes 4046 shares in 401K and 9 shares in dividend reinvestment. Read SEC document |
| June 08, 2004 Filed Jun 9, 2004 20:55 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherOption (NQ) · Derivative | 11,550 | $0.00 Strike: $77.26 | $0.00 |
DisclosureSEC source: 0000018230-04-000362 · edgar.xml · derivative · entry 3 BURRITT DAVID B · CIK 0001204586 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,550 Underlying: Common · 11,550 shares Expires 2014-06-08 F3 · security: This option was granted with attached tax withholding rights. F4 · kind: Grant to reporting person of option to buy 11,550 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. F4 · price: Grant to reporting person of option to buy 11,550 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. F4 · derivative.exercise_date: Grant to reporting person of option to buy 11,550 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 |
| May 05, 2004 Filed May 7, 2004 15:24 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 3,055 | $0.00 Strike: $50.72 | $0.00 |
DisclosureSEC source: 0000018230-04-000296 · edgar.xml · derivative · entry 8 BURRITT DAVID B · CIK 0001204586 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 3,055 shares Expires 2012-06-11 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. F3 · security: (Right to Buy) with tandem tax withholding rights. F4 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 2 yrs. Read SEC document |
| May 05, 2004 Filed May 7, 2004 15:24 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 6,562 | $0.00 Strike: $38.41 | $0.00 |
DisclosureSEC source: 0000018230-04-000296 · edgar.xml · derivative · entry 7 BURRITT DAVID B · CIK 0001204586 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 6,562 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. F3 · security: (Right to Buy) with tandem tax withholding rights. F4 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 2 yrs. Read SEC document |
| May 05, 2004 Filed May 7, 2004 15:24 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 2,225 | $0.00 Strike: $55.69 | $0.00 |
DisclosureSEC source: 0000018230-04-000296 · edgar.xml · derivative · entry 6 BURRITT DAVID B · CIK 0001204586 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 2,225 shares Expires 2008-06-09 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. F3 · security: (Right to Buy) with tandem tax withholding rights. F4 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 2 yrs. Read SEC document |
| May 05, 2004 Filed May 7, 2004 15:24 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 11,842 | $79.00 | $935,518.00 |
DisclosureSEC source: 0000018230-04-000296 · edgar.xml · nonDerivative · entry 4 BURRITT DAVID B · CIK 0001204586 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,171 F1 · balance_after: This amount includes 1132 shares in 401K and 8 shares in dividend reinvestment. Read SEC document |
| May 05, 2004 Filed May 7, 2004 15:24 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 3,055 | $50.72 | $154,934.33 |
DisclosureSEC source: 0000018230-04-000296 · edgar.xml · nonDerivative · entry 3 BURRITT DAVID B · CIK 0001204586 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,008 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 05, 2004 Filed May 7, 2004 15:24 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 6,562 | $38.41 | $252,022.14 |
DisclosureSEC source: 0000018230-04-000296 · edgar.xml · nonDerivative · entry 2 BURRITT DAVID B · CIK 0001204586 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,953 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 05, 2004 Filed May 7, 2004 15:24 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 2,225 | $55.69 | $123,904.69 |
DisclosureSEC source: 0000018230-04-000296 · edgar.xml · nonDerivative · entry 1 BURRITT DAVID B · CIK 0001204586 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,391 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 11, 2004 Filed Feb 12, 2004 14:35 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 4,366 | $0.00 Strike: $51.66 | $0.00 |
DisclosureSEC source: 0000018230-04-000128 · edgar.xml · derivative · entry 7 BURRITT DAVID B · CIK 0001204586 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 4,366 shares Expires 2007-06-10 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. F3 · security: (Right to Buy) with tandem tax withholding rights. F4 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 2 yrs. Read SEC document |
| February 11, 2004 Filed Feb 12, 2004 14:35 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 2,762 | $0.00 Strike: $32.91 | $0.00 |
DisclosureSEC source: 0000018230-04-000128 · edgar.xml · derivative · entry 6 BURRITT DAVID B · CIK 0001204586 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 2,762 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. F3 · security: (Right to Buy) with tandem tax withholding rights. F4 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 2 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.