Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CATERPILLAR INCCAT · Entity 2808 | Director | February 03, 2010 | February 04, 2010 |
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 February 03, 2010 · Filed February 04, 2010
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| CommonSEC Table I · non-derivative | Direct | 26,033 |
Reported balance
After 2010-02-03 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2010-02-03 · Exercise / conversion · Acquired 8,000 · Balance 26,033 |
| CommonSEC Table I · non-derivative | Direct | 18,033 |
Reported balance
After 2010-02-03 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2010-02-03 · Sale · Disposed 8,000 · Balance 18,033 F1: This amount includes 1459 dividend reinvestment shares. |
| Employee Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $21.88 · Expires 2010-04-12 | Direct | 0 |
Reported balance
After 2010-02-03 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2010-02-03 · Exercise / conversion · Disposed 8,000 · Balance 0 F2: (Right to buy) with tandem tax withholding rights. F3: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. |
Filing footnotes · ownership attribution and instrument terms
F1: This amount includes 1459 dividend reinvestment shares.
F2: (Right to buy) with tandem tax withholding rights.
F3: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| February 03, 2010 Filed Feb 4, 2010 16:12 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 8,000 | $0.00 Strike: $21.88 | $0.00 |
DisclosureSEC source: 0000018230-10-000067 · edgar.xml · derivative · entry 3 BLOUNT W FRANK · CIK 0001057580 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 8,000 shares Expires 2010-04-12 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: (Right to buy) with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| February 03, 2010 Filed Feb 4, 2010 16:12 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 8,000 | $53.46 | $427,684.00 |
DisclosureSEC source: 0000018230-10-000067 · edgar.xml · nonDerivative · entry 2 BLOUNT W FRANK · CIK 0001057580 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,033 F1 · balance_after: This amount includes 1459 dividend reinvestment shares. Read SEC document |
| February 03, 2010 Filed Feb 4, 2010 16:12 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 8,000 | $21.88 | $175,000.00 |
DisclosureSEC source: 0000018230-10-000067 · edgar.xml · nonDerivative · entry 1 BLOUNT W FRANK · CIK 0001057580 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,033 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 05, 2009 Filed Feb 6, 2009 16:14 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 8,000 | $0.00 Strike: $28.78 | $0.00 |
DisclosureSEC source: 0000018230-09-000051 · edgar.xml · derivative · entry 3 BLOUNT W FRANK · CIK 0001057580 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 8,000 shares Expires 2009-04-14 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. 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 |
| February 05, 2009 Filed Feb 6, 2009 16:14 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 8,000 | $32.00 | $256,000.00 |
DisclosureSEC source: 0000018230-09-000051 · edgar.xml · nonDerivative · entry 2 BLOUNT W FRANK · CIK 0001057580 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,571 F1 · balance_after: This amount includes 997 dividend reinvestment shares. Read SEC document |
| February 05, 2009 Filed Feb 6, 2009 16:14 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 8,000 | $28.78 | $230,250.40 |
DisclosureSEC source: 0000018230-09-000051 · edgar.xml · nonDerivative · entry 1 BLOUNT W FRANK · CIK 0001057580 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,571 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 14:27 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantRestricted Stock Units · Derivative | 1,606 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000084 · edgar.xml · derivative · entry 2 BLOUNT W FRANK · CIK 0001057580 · 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 |
| January 31, 2008 Filed Feb 1, 2008 19:23 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 8,000 | $0.00 Strike: $27.19 | $0.00 |
DisclosureSEC source: 0000018230-08-000043 · edgar.xml · derivative · entry 3 BLOUNT W FRANK · CIK 0001057580 · 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 |
| January 31, 2008 Filed Feb 1, 2008 19:23 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 3,126 | $69.57 | $217,475.82 |
DisclosureSEC source: 0000018230-08-000043 · edgar.xml · nonDerivative · entry 2 BLOUNT W FRANK · CIK 0001057580 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,304 F1 · balance_after: This amount includes 730 dividend reinvestment shares. Read SEC document |
| January 31, 2008 Filed Feb 1, 2008 19:23 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 8,000 | $27.19 | $217,500.00 |
DisclosureSEC source: 0000018230-08-000043 · edgar.xml · nonDerivative · entry 1 BLOUNT W FRANK · CIK 0001057580 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,430 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 14:53 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantStock Appreciation Right · Derivative | 5,833 | $0.00 Strike: $63.04 | $0.00 |
DisclosureSEC source: 0000018230-07-000081 · edgar.xml · derivative · entry 2 BLOUNT W FRANK · CIK 0001057580 · 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 17:58 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantStock Appreciation Right · Derivative | 7,000 | $0.00 Strike: $66.77 | $0.00 |
DisclosureSEC source: 0000018230-06-000288 · edgar.xml · derivative · entry 2 BLOUNT W FRANK · CIK 0001057580 · 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 14:56 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherOption (NQ) · Derivative | 4,000 | $0.00 Strike: $89.79 | $0.00 |
DisclosureSEC source: 0000018230-05-000323 · edgar.xml · derivative · entry 2 BLOUNT W FRANK · CIK 0001057580 · 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 4,000 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. F3 · price: Grant to reporting person of option to buy 4,000 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. F3 · derivative.exercise_date: Grant to reporting person of option to buy 4,000 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 03, 2004 Filed Nov 4, 2004 20:19 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 4,000 | $0.00 Strike: $39.19 | $0.00 |
DisclosureSEC source: 0000018230-04-000620 · edgar.xml · derivative · entry 7 BLOUNT W FRANK · CIK 0001057580 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 4,000 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 |
| November 03, 2004 Filed Nov 4, 2004 20:19 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 4,000 | $0.00 Strike: $33.47 | $0.00 |
DisclosureSEC source: 0000018230-04-000620 · edgar.xml · derivative · entry 6 BLOUNT W FRANK · CIK 0001057580 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 4,000 shares Expires 2006-04-10 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: (Right to Buy) with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| November 03, 2004 Filed Nov 4, 2004 20:19 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 100 | $83.81 | $8,381.00 |
DisclosureSEC source: 0000018230-04-000620 · edgar.xml · nonDerivative · entry 5 BLOUNT W FRANK · CIK 0001057580 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,021 F1 · balance_after: This amount includes 171 dividend reinvestment shares. Read SEC document |
| November 03, 2004 Filed Nov 4, 2004 20:19 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 200 | $83.80 | $16,760.00 |
DisclosureSEC source: 0000018230-04-000620 · edgar.xml · nonDerivative · entry 4 BLOUNT W FRANK · CIK 0001057580 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,121 Read SEC document |
| November 03, 2004 Filed Nov 4, 2004 20:19 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 7,700 | $83.77 | $645,029.00 |
DisclosureSEC source: 0000018230-04-000620 · edgar.xml · nonDerivative · entry 3 BLOUNT W FRANK · CIK 0001057580 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,321 Read SEC document |
| November 03, 2004 Filed Nov 4, 2004 20:19 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 4,000 | $39.19 | $156,750.00 |
DisclosureSEC source: 0000018230-04-000620 · edgar.xml · nonDerivative · entry 2 BLOUNT W FRANK · CIK 0001057580 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,021 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 03, 2004 Filed Nov 4, 2004 20:19 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 4,000 | $33.47 | $133,874.80 |
DisclosureSEC source: 0000018230-04-000620 · edgar.xml · nonDerivative · entry 1 BLOUNT W FRANK · CIK 0001057580 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,021 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| April 14, 2004 Filed Apr 15, 2004 15:30 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherOption (NQ) · Derivative | 4,000 | Not disclosed Strike: $81.27 | Not disclosed |
DisclosureSEC source: 0000018230-04-000231 · edgar.xml · derivative · entry 2 BLOUNT W FRANK · CIK 0001057580 · 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 righs. 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.