Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| AGCO CORP /DEAGCO · Entity 3615 | Director | April 30, 2020 | May 01, 2020 |
| CATERPILLAR INCCAT · Entity 2808 | Group President | July 25, 2007 | July 27, 2007 |
| FORD MOTOR COF · Entity 1829 | Director | March 01, 2017 | March 03, 2017 |
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.
AGCO CORP /DE
Report date April 30, 2020 · Filed May 01, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 14,538 |
Ending reported balance
After 2020-04-30 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2020-04-30 · Grant · Acquired 2,838 · Balance 15,674 F1: These shares reflect an award under the AGCO Corporation 2006 Long-Term Incentive Plan. Row 2 · 2020-04-30 · Tax withholding · Disposed 1,136 · Balance 14,538 F2: These shares represent shares withheld by AGCO Corporation for payment of taxes in connection with the award under the AGCO Corporation 2006 Long-Term Incentive Plan. |
| Common StockSEC Table I · non-derivative | IndirectBy Trust | 4,544 |
Reported balance
Holding disclosure · report date 2020-04-30 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 4,544 F3: Owned by the Gerald L. Shaheen Irrevocable Trust - Mitchell D. Inskeep, Trustee, under agreement dated December 10, 2012. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares reflect an award under the AGCO Corporation 2006 Long-Term Incentive Plan.
F2: These shares represent shares withheld by AGCO Corporation for payment of taxes in connection with the award under the AGCO Corporation 2006 Long-Term Incentive Plan.
F3: Owned by the Gerald L. Shaheen Irrevocable Trust - Mitchell D. Inskeep, Trustee, under agreement dated December 10, 2012. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.
CATERPILLAR INC
Report date July 25, 2007 · Filed July 27, 2007
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Phantom Stock UnitsSEC Table II · derivative / convertible security | Direct | 5,884 |
Reported balance
After 2007-07-25 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2007-07-25 · Exercise / conversion · Acquired 865 · Balance 5,884 F2: Security converts to common stock on a one-for-one basis. F3: 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 | 206,480 |
Reported balance
Holding disclosure · report date 2007-07-25 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 206,480 F1: This amount includes 15,403 shares in 401K. |
Filing footnotes · ownership attribution and instrument terms
F1: This amount includes 15,403 shares in 401K.
F2: Security converts to common stock on a one-for-one basis.
F3: 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.
FORD MOTOR CO
Report date March 01, 2017 · Filed March 03, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Ford Stock UnitsSEC Table II · derivative / convertible security | Direct | 129,071 |
Reported balance
After 2017-03-01 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2017-03-01 · Grant · Acquired 2,001 · Balance 129,071 F1: These Ford Stock Units result from dividend equivalents credited to my account by the Company, without payment by me, under the Company's Deferred Compensation Plan for Non-Employee Directors. In general, these Ford Stock Units will be converted and distributed to me, without payment, in cash, on January 10th of the year following termination of Board service, based upon the then current market value of a share of Common Stock. |
| Ford Stock UnitsSEC Table II · derivative / convertible security | Direct | 59,334 |
Reported balance
After 2017-03-01 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2017-03-01 · Grant · Acquired 920 · Balance 59,334 F2: These Ford Stock Units result from dividend equivalents credited to my account by the Company, without payment by me, under the Company's 2014 Stock Plan for Non-Employee Directors. In general, these Ford Stock Units will be converted into shares of Ford common stock and distributed to me, without payment, following termination of Board service. |
Filing footnotes · ownership attribution and instrument terms
F1: These Ford Stock Units result from dividend equivalents credited to my account by the Company, without payment by me, under the Company's Deferred Compensation Plan for Non-Employee Directors. In general, these Ford Stock Units will be converted and distributed to me, without payment, in cash, on January 10th of the year following termination of Board service, based upon the then current market value of a share of Common Stock.
F2: These Ford Stock Units result from dividend equivalents credited to my account by the Company, without payment by me, under the Company's 2014 Stock Plan for Non-Employee Directors. In general, these Ford Stock Units will be converted into shares of Ford common stock and distributed to me, without payment, following termination of Board service.
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 |
|---|---|---|---|---|---|---|
| April 30, 2020 Filed May 1, 2020 20:53 UTC | AGCO CORP /DE AGCO · Entity 3615 | Tax withholdingCommon Stock | 1,136 | $52.84 | $60,026.24 |
DisclosureSEC source: 0001209191-20-026568 · doc4.xml · nonDerivative · entry 2 SHAHEEN GERALD L · CIK 0001159203 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,538 F2 · acquired: These shares represent shares withheld by AGCO Corporation for payment of taxes in connection with the award under the AGCO Corporation 2006 Long-Term Incentive Plan. Read SEC document |
| April 30, 2020 Filed May 1, 2020 20:53 UTC | AGCO CORP /DE AGCO · Entity 3615 | GrantCommon Stock | 2,838 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-026568 · doc4.xml · nonDerivative · entry 1 SHAHEEN GERALD L · CIK 0001159203 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,674 F1 · acquired: These shares reflect an award under the AGCO Corporation 2006 Long-Term Incentive Plan. Read SEC document |
| April 25, 2019 Filed Apr 26, 2019 17:39 UTC | AGCO CORP /DE AGCO · Entity 3615 | Tax withholdingCommon Stock | 862 | $69.62 | $60,012.44 |
DisclosureSEC source: 0001209191-19-026107 · doc4.xml · nonDerivative · entry 2 SHAHEEN GERALD L · CIK 0001159203 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,836 F2 · acquired: These shares represent shares withheld by AGCO Corporation for payment of taxes in connection with the award under the AGCO Corporation 2006 Long-Term Incentive Plan. Read SEC document |
| April 25, 2019 Filed Apr 26, 2019 17:39 UTC | AGCO CORP /DE AGCO · Entity 3615 | GrantCommon Stock | 2,154 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-026107 · doc4.xml · nonDerivative · entry 1 SHAHEEN GERALD L · CIK 0001159203 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,698 F1 · acquired: These shares reflect an award under the AGCO Corporation 2006 Long-Term Incentive Plan. Read SEC document |
| April 26, 2018 Filed Apr 27, 2018 19:01 UTC | AGCO CORP /DE AGCO · Entity 3615 | Tax withholdingCommon Stock | 766 | $62.67 | $48,005.22 |
DisclosureSEC source: 0001209191-18-026474 · doc4.xml · nonDerivative · entry 2 SHAHEEN GERALD L · CIK 0001159203 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,544 F2 · acquired: These shares represent shares withheld by AGCO Corporation for payment of taxes in connection with the award under the AGCO Corporation 2006 Long-Term Incentive Plan. Read SEC document |
| April 26, 2018 Filed Apr 27, 2018 19:01 UTC | AGCO CORP /DE AGCO · Entity 3615 | GrantCommon Stock | 1,914 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-026474 · doc4.xml · nonDerivative · entry 1 SHAHEEN GERALD L · CIK 0001159203 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,310 F1 · acquired: These shares reflect an award under the AGCO Corporation 2006 Long-Term Incentive Plan. Read SEC document |
| April 27, 2017 Filed Apr 28, 2017 19:29 UTC | AGCO CORP /DE AGCO · Entity 3615 | Tax withholdingCommon Stock | 749 | $64.12 | $48,025.88 |
DisclosureSEC source: 0001209191-17-028668 · doc4.xml · nonDerivative · entry 2 SHAHEEN GERALD L · CIK 0001159203 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,396 F2 · acquired: These shares represent shares withheld by AGCO Corporation for payment of taxes in connection with the award under the AGCO Corporation 2006 Long-Term Incentive Plan. Read SEC document |
| April 27, 2017 Filed Apr 28, 2017 19:29 UTC | AGCO CORP /DE AGCO · Entity 3615 | GrantCommon Stock | 1,871 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-028668 · doc4.xml · nonDerivative · entry 1 SHAHEEN GERALD L · CIK 0001159203 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,145 F1 · acquired: These shares reflect an award under the AGCO Corporation 2006 Long-Term Incentive Plan. Read SEC document |
| March 01, 2017 Filed Mar 3, 2017 21:20 UTC | FORD MOTOR CO F · Entity 1829 | GrantFord Stock Units · Derivative | 920 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-017497 · doc4.xml · derivative · entry 2 SHAHEEN GERALD L · CIK 0001159203 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,334 Underlying: Common Stock, $0.01 par value · 920 shares Expires not disclosed F2 · derivative.exercise_price: These Ford Stock Units result from dividend equivalents credited to my account by the Company, without payment by me, under the Company's 2014 Stock Plan for Non-Employee Directors. In general, these Ford Stock Units will be converted into shares of Ford common stock and distributed to me, without payment, following termination of Board service. F2 · kind: These Ford Stock Units result from dividend equivalents credited to my account by the Company, without payment by me, under the Company's 2014 Stock Plan for Non-Employee Directors. In general, these Ford Stock Units will be converted into shares of Ford common stock and distributed to me, without payment, following termination of Board service. F2 · price: These Ford Stock Units result from dividend equivalents credited to my account by the Company, without payment by me, under the Company's 2014 Stock Plan for Non-Employee Directors. In general, these Ford Stock Units will be converted into shares of Ford common stock and distributed to me, without payment, following termination of Board service. F2 · derivative.exercise_date: These Ford Stock Units result from dividend equivalents credited to my account by the Company, without payment by me, under the Company's 2014 Stock Plan for Non-Employee Directors. In general, these Ford Stock Units will be converted into shares of Ford common stock and distributed to me, without payment, following termination of Board service. F2 · derivative.expiration_date: These Ford Stock Units result from dividend equivalents credited to my account by the Company, without payment by me, under the Company's 2014 Stock Plan for Non-Employee Directors. In general, these Ford Stock Units will be converted into shares of Ford common stock and distributed to me, without payment, following termination of Board service. Read SEC document |
| March 01, 2017 Filed Mar 3, 2017 21:20 UTC | FORD MOTOR CO F · Entity 1829 | GrantFord Stock Units · Derivative | 2,001 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-017497 · doc4.xml · derivative · entry 1 SHAHEEN GERALD L · CIK 0001159203 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 129,071 Underlying: Common Stock, $0.01 par value · 2,001 shares Expires not disclosed F1 · derivative.exercise_price: These Ford Stock Units result from dividend equivalents credited to my account by the Company, without payment by me, under the Company's Deferred Compensation Plan for Non-Employee Directors. In general, these Ford Stock Units will be converted and distributed to me, without payment, in cash, on January 10th of the year following termination of Board service, based upon the then current market value of a share of Common Stock. F1 · kind: These Ford Stock Units result from dividend equivalents credited to my account by the Company, without payment by me, under the Company's Deferred Compensation Plan for Non-Employee Directors. In general, these Ford Stock Units will be converted and distributed to me, without payment, in cash, on January 10th of the year following termination of Board service, based upon the then current market value of a share of Common Stock. F1 · price: These Ford Stock Units result from dividend equivalents credited to my account by the Company, without payment by me, under the Company's Deferred Compensation Plan for Non-Employee Directors. In general, these Ford Stock Units will be converted and distributed to me, without payment, in cash, on January 10th of the year following termination of Board service, based upon the then current market value of a share of Common Stock. F1 · derivative.exercise_date: These Ford Stock Units result from dividend equivalents credited to my account by the Company, without payment by me, under the Company's Deferred Compensation Plan for Non-Employee Directors. In general, these Ford Stock Units will be converted and distributed to me, without payment, in cash, on January 10th of the year following termination of Board service, based upon the then current market value of a share of Common Stock. F1 · derivative.expiration_date: These Ford Stock Units result from dividend equivalents credited to my account by the Company, without payment by me, under the Company's Deferred Compensation Plan for Non-Employee Directors. In general, these Ford Stock Units will be converted and distributed to me, without payment, in cash, on January 10th of the year following termination of Board service, based upon the then current market value of a share of Common Stock. Read SEC document |
| December 01, 2016 Filed Dec 5, 2016 21:14 UTC | FORD MOTOR CO F · Entity 1829 | GrantFord Stock Units · Derivative | 696 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-153341 · doc4.xml · derivative · entry 2 SHAHEEN GERALD L · CIK 0001159203 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,414 Underlying: Common Stock, $0.01 par value · 696 shares Expires not disclosed F2 · derivative.exercise_price: These Ford Stock Units result from dividend equivalents credited to my account by the Company, without payment by me, under the Company's 2014 Stock Plan for Non-Employee Directors. In general, these Ford Stock Units will be converted into shares of Ford common stock and distributed to me, without payment, following termination of Board service. F2 · kind: These Ford Stock Units result from dividend equivalents credited to my account by the Company, without payment by me, under the Company's 2014 Stock Plan for Non-Employee Directors. In general, these Ford Stock Units will be converted into shares of Ford common stock and distributed to me, without payment, following termination of Board service. F2 · price: These Ford Stock Units result from dividend equivalents credited to my account by the Company, without payment by me, under the Company's 2014 Stock Plan for Non-Employee Directors. In general, these Ford Stock Units will be converted into shares of Ford common stock and distributed to me, without payment, following termination of Board service. F2 · derivative.exercise_date: These Ford Stock Units result from dividend equivalents credited to my account by the Company, without payment by me, under the Company's 2014 Stock Plan for Non-Employee Directors. In general, these Ford Stock Units will be converted into shares of Ford common stock and distributed to me, without payment, following termination of Board service. F2 · derivative.expiration_date: These Ford Stock Units result from dividend equivalents credited to my account by the Company, without payment by me, under the Company's 2014 Stock Plan for Non-Employee Directors. In general, these Ford Stock Units will be converted into shares of Ford common stock and distributed to me, without payment, following termination of Board service. Read SEC document |
| December 01, 2016 Filed Dec 5, 2016 21:14 UTC | FORD MOTOR CO F · Entity 1829 | GrantFord Stock Units · Derivative | 1,507 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-153341 · doc4.xml · derivative · entry 1 SHAHEEN GERALD L · CIK 0001159203 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 127,070 Underlying: Common Stock, $0.01 par value · 1,507 shares Expires not disclosed F1 · derivative.exercise_price: These Ford Stock Units result from dividend equivalents credited to my account by the Company, without payment by me, under the Company's Deferred Compensation Plan for Non-Employee Directors. In general, these Ford Stock Units will be converted and distributed to me, without payment, in cash, on January 10th of the year following termination of Board service, based upon the then current market value of a share of Common Stock. F1 · kind: These Ford Stock Units result from dividend equivalents credited to my account by the Company, without payment by me, under the Company's Deferred Compensation Plan for Non-Employee Directors. In general, these Ford Stock Units will be converted and distributed to me, without payment, in cash, on January 10th of the year following termination of Board service, based upon the then current market value of a share of Common Stock. F1 · price: These Ford Stock Units result from dividend equivalents credited to my account by the Company, without payment by me, under the Company's Deferred Compensation Plan for Non-Employee Directors. In general, these Ford Stock Units will be converted and distributed to me, without payment, in cash, on January 10th of the year following termination of Board service, based upon the then current market value of a share of Common Stock. F1 · derivative.exercise_date: These Ford Stock Units result from dividend equivalents credited to my account by the Company, without payment by me, under the Company's Deferred Compensation Plan for Non-Employee Directors. In general, these Ford Stock Units will be converted and distributed to me, without payment, in cash, on January 10th of the year following termination of Board service, based upon the then current market value of a share of Common Stock. F1 · derivative.expiration_date: These Ford Stock Units result from dividend equivalents credited to my account by the Company, without payment by me, under the Company's Deferred Compensation Plan for Non-Employee Directors. In general, these Ford Stock Units will be converted and distributed to me, without payment, in cash, on January 10th of the year following termination of Board service, based upon the then current market value of a share of Common Stock. Read SEC document |
| September 01, 2016 Filed Sep 6, 2016 18:07 UTC | FORD MOTOR CO F · Entity 1829 | GrantFord Stock Units · Derivative | 687 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-139993 · doc4.xml · derivative · entry 2 SHAHEEN GERALD L · CIK 0001159203 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,717 Underlying: Common Stock, $0.01 par value · 687 shares Expires not disclosed F2 · derivative.exercise_price: These Ford Stock Units result from dividend equivalents credited to my account by the Company, without payment by me, under the Company's 2014 Stock Plan for Non-Employee Directors. In general, these Ford Stock Units will be converted into shares of Ford common stock and distributed to me, without payment, following termination of Board service. F2 · kind: These Ford Stock Units result from dividend equivalents credited to my account by the Company, without payment by me, under the Company's 2014 Stock Plan for Non-Employee Directors. In general, these Ford Stock Units will be converted into shares of Ford common stock and distributed to me, without payment, following termination of Board service. F2 · price: These Ford Stock Units result from dividend equivalents credited to my account by the Company, without payment by me, under the Company's 2014 Stock Plan for Non-Employee Directors. In general, these Ford Stock Units will be converted into shares of Ford common stock and distributed to me, without payment, following termination of Board service. F2 · derivative.exercise_date: These Ford Stock Units result from dividend equivalents credited to my account by the Company, without payment by me, under the Company's 2014 Stock Plan for Non-Employee Directors. In general, these Ford Stock Units will be converted into shares of Ford common stock and distributed to me, without payment, following termination of Board service. F2 · derivative.expiration_date: These Ford Stock Units result from dividend equivalents credited to my account by the Company, without payment by me, under the Company's 2014 Stock Plan for Non-Employee Directors. In general, these Ford Stock Units will be converted into shares of Ford common stock and distributed to me, without payment, following termination of Board service. Read SEC document |
| September 01, 2016 Filed Sep 6, 2016 18:07 UTC | FORD MOTOR CO F · Entity 1829 | GrantFord Stock Units · Derivative | 1,484 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-139993 · doc4.xml · derivative · entry 1 SHAHEEN GERALD L · CIK 0001159203 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 125,562 Underlying: Common Stock, $0.01 par value · 1,484 shares Expires not disclosed F1 · derivative.exercise_price: These Ford Stock Units result from dividend equivalents credited to my account by the Company, without payment by me, under the Company's Deferred Compensation Plan for Non-Employee Directors. In general, these Ford Stock Units will be converted and distributed to me, without payment, in cash, on January 10th of the year following termination of Board service, based upon the then current market value of a share of Common Stock. F1 · kind: These Ford Stock Units result from dividend equivalents credited to my account by the Company, without payment by me, under the Company's Deferred Compensation Plan for Non-Employee Directors. In general, these Ford Stock Units will be converted and distributed to me, without payment, in cash, on January 10th of the year following termination of Board service, based upon the then current market value of a share of Common Stock. F1 · price: These Ford Stock Units result from dividend equivalents credited to my account by the Company, without payment by me, under the Company's Deferred Compensation Plan for Non-Employee Directors. In general, these Ford Stock Units will be converted and distributed to me, without payment, in cash, on January 10th of the year following termination of Board service, based upon the then current market value of a share of Common Stock. F1 · derivative.exercise_date: These Ford Stock Units result from dividend equivalents credited to my account by the Company, without payment by me, under the Company's Deferred Compensation Plan for Non-Employee Directors. In general, these Ford Stock Units will be converted and distributed to me, without payment, in cash, on January 10th of the year following termination of Board service, based upon the then current market value of a share of Common Stock. F1 · derivative.expiration_date: These Ford Stock Units result from dividend equivalents credited to my account by the Company, without payment by me, under the Company's Deferred Compensation Plan for Non-Employee Directors. In general, these Ford Stock Units will be converted and distributed to me, without payment, in cash, on January 10th of the year following termination of Board service, based upon the then current market value of a share of Common Stock. Read SEC document |
| July 25, 2007 Filed Jul 27, 2007 20:23 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionPhantom Stock Units · Derivative | 865 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000388 · edgar.xml · derivative · entry 2 SHAHEEN GERALD L · CIK 0001159203 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,884 Underlying: Common · 5,884 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: 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. F3 · derivative.expiration_date: 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. Read SEC document |
| April 30, 2007 Filed May 2, 2007 13:17 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherPhantom Stock Units · Derivative | 49,580 | $0.00 Strike: $72.62 | $0.00 |
DisclosureSEC source: 0000018230-07-000300 · edgar.xml · derivative · entry 2 SHAHEEN GERALD L · CIK 0001159203 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,025 Underlying: Common · 49,580 shares Expires not disclosed F2 · kind: Transfer value of the phantom stock units into another fund within Caterpillar's deferred employee investment plan. F2 · derivative.exercise_date: Transfer value of the phantom stock units into another fund within Caterpillar's deferred employee investment plan. F2 · derivative.expiration_date: Transfer value of the phantom stock units into another fund within Caterpillar's deferred employee investment plan. Read SEC document |
| March 30, 2007 Filed Apr 2, 2007 16:31 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 302 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000257 · edgar.xml · derivative · entry 2 SHAHEEN GERALD L · CIK 0001159203 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,427 Underlying: Common · 54,427 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: 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. F3 · derivative.expiration_date: 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. F4 · derivative.underlying_shares: The SEIP shares previously reported under Table I are now reported under Table II as derivative securities. F4 · balance_after: The SEIP shares previously reported under Table I are now reported under Table II as derivative securities. Read SEC document |
| March 02, 2007 Filed Mar 5, 2007 20:16 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 5,835 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000114 · edgar.xml · derivative · entry 4 SHAHEEN GERALD L · CIK 0001159203 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,835 Underlying: Common · 5,835 shares Expires not disclosed F4 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F5 · derivative.exercise_date: 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 other termination of service. F5 · derivative.expiration_date: 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 other termination of service. Read SEC document |
| March 02, 2007 Filed Mar 5, 2007 20:16 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantRestricted Stock Units · Derivative | 4,832 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000114 · edgar.xml · derivative · entry 3 SHAHEEN GERALD L · CIK 0001159203 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,832 Underlying: Common · 4,832 shares Expires not disclosed F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Caterpillar common stock. F2 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 2, 2010. F2 · 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 20:16 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantStock Appreciation Right · Derivative | 109,516 | $0.00 Strike: $63.04 | $0.00 |
DisclosureSEC source: 0000018230-07-000114 · edgar.xml · derivative · entry 2 SHAHEEN GERALD L · CIK 0001159203 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 109,516 Underlying: Common · 109,516 shares Expires 2017-03-02 F2 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 2, 2010. Read SEC document |
| March 03, 2006 Filed Mar 6, 2006 15:36 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 6,155 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-06-000170 · edgar.xml · derivative · entry 2 SHAHEEN GERALD L · CIK 0001159203 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 6,155 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: 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 other termination of service. F3 · derivative.expiration_date: 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 other termination of service. Read SEC document |
| March 01, 2006 Filed Mar 2, 2006 19:52 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 5,202 | $0.00 Strike: $19.20 | $0.00 |
DisclosureSEC source: 0000018230-06-000161 · edgar.xml · derivative · entry 4 SHAHEEN GERALD L · CIK 0001159203 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 5,202 shares Expires 2010-06-12 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: (Right to buy) with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| March 01, 2006 Filed Mar 2, 2006 19:52 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 3,208 | $0.00 Strike: $31.17 | $0.00 |
DisclosureSEC source: 0000018230-06-000161 · edgar.xml · derivative · entry 3 SHAHEEN GERALD L · CIK 0001159203 · Group President 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. 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 01, 2006 Filed Mar 2, 2006 19:52 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 5,202 | $19.20 | $99,895.05 |
DisclosureSEC source: 0000018230-06-000161 · edgar.xml · nonDerivative · entry 2 SHAHEEN GERALD L · CIK 0001159203 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 216,616 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 14,113 shares in 401K, and 11,447 shares in SEIP. Read SEC document |
| March 01, 2006 Filed Mar 2, 2006 19:52 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 3,208 | $31.17 | $99,999.46 |
DisclosureSEC source: 0000018230-06-000161 · edgar.xml · nonDerivative · entry 1 SHAHEEN GERALD L · CIK 0001159203 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 211,414 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 17, 2006 Filed Feb 21, 2006 13:59 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantStock Appreciation Right · Derivative | 95,000 | $0.00 Strike: $72.05 | $0.00 |
DisclosureSEC source: 0000018230-06-000125 · edgar.xml · derivative · entry 2 SHAHEEN GERALD L · CIK 0001159203 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,000 Underlying: Common · 95,000 shares Expires 2016-02-17 Read SEC document |
| January 06, 2006 Filed Jan 9, 2006 19:41 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 108,000 | $0.00 Strike: $26.77 | $0.00 |
DisclosureSEC source: 0000018230-06-000031 · edgar.xml · derivative · entry 6 SHAHEEN GERALD L · CIK 0001159203 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 108,000 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. 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 06, 2006 Filed Jan 9, 2006 19:41 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 38,132 | $0.00 Strike: $25.83 | $0.00 |
DisclosureSEC source: 0000018230-06-000031 · edgar.xml · derivative · entry 5 SHAHEEN GERALD L · CIK 0001159203 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 38,132 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. 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 06, 2006 Filed Jan 9, 2006 19:41 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 70,174 | $60.07 | $4,215,352.18 |
DisclosureSEC source: 0000018230-06-000031 · edgar.xml · nonDerivative · entry 4 SHAHEEN GERALD L · CIK 0001159203 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 208,206 F1 · balance_after: This amount includes 14,113 shares in 401K, and 11,447 shares in SEIP. F4 · balance_after: On July 14, 2005, the common stock of Caterpillar Inc. split 2-for-1, resulting in the reporting person's acquisition of 65,829 additional shares of common stock. Read SEC document |
| January 06, 2006 Filed Jan 9, 2006 19:41 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 108,000 | $26.77 | $2,890,620.00 |
DisclosureSEC source: 0000018230-06-000031 · edgar.xml · nonDerivative · entry 3 SHAHEEN GERALD L · CIK 0001159203 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 278,380 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 19:41 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 24,970 | $60.07 | $1,499,947.90 |
DisclosureSEC source: 0000018230-06-000031 · edgar.xml · nonDerivative · entry 2 SHAHEEN GERALD L · CIK 0001159203 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 170,380 Read SEC document |
| January 06, 2006 Filed Jan 9, 2006 19:41 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 38,132 | $25.83 | $984,877.11 |
DisclosureSEC source: 0000018230-06-000031 · edgar.xml · nonDerivative · entry 1 SHAHEEN GERALD L · CIK 0001159203 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 195,350 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 21, 2005 Filed Mar 22, 2005 14:20 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 1,795 | $0.00 Strike: $55.69 | $0.00 |
DisclosureSEC source: 0000018230-05-000289 · edgar.xml · derivative · entry 4 SHAHEEN GERALD L · CIK 0001159203 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 1,795 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. 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 21, 2005 Filed Mar 22, 2005 14:20 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 1,934 | $0.00 Strike: $51.66 | $0.00 |
DisclosureSEC source: 0000018230-05-000289 · edgar.xml · derivative · entry 3 SHAHEEN GERALD L · CIK 0001159203 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 1,934 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. 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 21, 2005 Filed Mar 22, 2005 14:20 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 1,795 | $55.69 | $99,959.06 |
DisclosureSEC source: 0000018230-05-000289 · edgar.xml · nonDerivative · entry 2 SHAHEEN GERALD L · CIK 0001159203 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,691 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 6620 shares in 401K, 4936 shares in SEIP and 306 shares in dividend reinvestment. Read SEC document |
| March 21, 2005 Filed Mar 22, 2005 14:20 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 1,934 | $51.66 | $99,903.09 |
DisclosureSEC source: 0000018230-05-000289 · edgar.xml · nonDerivative · entry 1 SHAHEEN GERALD L · CIK 0001159203 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,896 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 04, 2005 Filed Mar 8, 2005 16:50 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 6,224 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000283 · edgar.xml · derivative · entry 2 SHAHEEN GERALD L · CIK 0001159203 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 6,224 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: 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 other termination of service. F3 · derivative.expiration_date: 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 other termination of service. Read SEC document |
| February 18, 2005 Filed Feb 22, 2005 19:35 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 6,073 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000207 · edgar.xml · derivative · entry 3 SHAHEEN GERALD L · CIK 0001159203 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,073 Underlying: Common · 6,073 shares Expires not disclosed F4 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F5 · derivative.exercise_date: 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 other termination of service. F5 · derivative.expiration_date: 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 other termination of service. Read SEC document |
| February 18, 2005 Filed Feb 22, 2005 19:35 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherOption (NQ) · Derivative | 70,000 | $0.00 Strike: $91.29 | $0.00 |
DisclosureSEC source: 0000018230-05-000207 · edgar.xml · derivative · entry 2 SHAHEEN GERALD L · CIK 0001159203 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,000 Underlying: Common · 70,000 shares Expires 2015-02-18 F2 · security: This option was granted with attached tax withholding rights. F3 · kind: Grant to reporting person of option to buy 70,000 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 70,000 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 70,000 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 |
| June 14, 2004 Filed Jun 15, 2004 15:15 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 3,038 | $0.00 Strike: $32.91 | $0.00 |
DisclosureSEC source: 0000018230-04-000425 · edgar.xml · derivative · entry 4 SHAHEEN GERALD L · CIK 0001159203 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 3,038 shares Expires 2006-06-11 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: (Right to buy) with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| June 14, 2004 Filed Jun 15, 2004 15:15 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 3,316 | $0.00 Strike: $30.16 | $0.00 |
DisclosureSEC source: 0000018230-04-000425 · edgar.xml · derivative · entry 3 SHAHEEN GERALD L · CIK 0001159203 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 3,316 shares Expires 2005-06-06 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 |
| June 14, 2004 Filed Jun 15, 2004 15:15 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 3,038 | $32.91 | $99,969.04 |
DisclosureSEC source: 0000018230-04-000425 · edgar.xml · nonDerivative · entry 2 SHAHEEN GERALD L · CIK 0001159203 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,730 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 6465shares in 401K and 4165 shares in SEIP. Read SEC document |
| June 14, 2004 Filed Jun 15, 2004 15:15 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 3,316 | $30.16 | $99,997.96 |
DisclosureSEC source: 0000018230-04-000425 · edgar.xml · nonDerivative · entry 1 SHAHEEN GERALD L · CIK 0001159203 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,692 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| June 08, 2004 Filed Jun 9, 2004 21:13 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherOption (NQ) · Derivative | 70,000 | $0.00 Strike: $77.26 | $0.00 |
DisclosureSEC source: 0000018230-04-000368 · edgar.xml · derivative · entry 2 SHAHEEN GERALD L · CIK 0001159203 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,000 Underlying: Common · 70,000 shares Expires 2014-06-08 F2 · security: This option was granted with attached tax withholding rights. F3 · kind: Grant to reporting person of option to buy 70,000 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. F3 · price: Grant to reporting person of option to buy 70,000 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. F3 · derivative.exercise_date: Grant to reporting person of option to buy 70,000 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| March 31, 2004 Filed Apr 19, 2004 18:52 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 1,029 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000261 · edgar.xml · derivative · entry 2 SHAHEEN GERALD L · CIK 0001159203 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 1,029 shares Expires 1988-08-08 F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: 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 other termination of service. F3 · derivative.expiration_date: 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 other termination of service. Read SEC document |
| January 20, 2004 Filed Jan 20, 2004 19:31 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 637 | $83.11 | $52,941.07 |
DisclosureSEC source: 0000018230-04-000089 · edgar.xml · nonDerivative · entry 1 SHAHEEN GERALD L · CIK 0001159203 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,938 F1 · balance_after: This amount includes 6146 shares in 401K and 4046 shares in SEIP. Read SEC document |
| July 31, 2003 Filed Aug 1, 2003 14:59 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 51,399 | $0.00 Strike: $38.41 | $0.00 |
DisclosureSEC source: 0000018230-03-000358 · edgar.xml · derivative · entry 7 SHAHEEN GERALD L · CIK 0001159203 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 51,399 shares Expires 2010-06-12 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: (Right to Buy) with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| July 31, 2003 Filed Aug 1, 2003 14:59 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 5,987 | $0.00 Strike: $32.91 | $0.00 |
DisclosureSEC source: 0000018230-03-000358 · edgar.xml · derivative · entry 6 SHAHEEN GERALD L · CIK 0001159203 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 5,987 shares Expires 2006-06-11 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: (Right to Buy) with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| July 31, 2003 Filed Aug 1, 2003 14:59 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 2,500 | $67.65 | $169,125.00 |
DisclosureSEC source: 0000018230-03-000358 · edgar.xml · nonDerivative · entry 5 SHAHEEN GERALD L · CIK 0001159203 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,974 F1 · balance_after: This amount includes 5258 shares in EIP-1, 883 shares in 401K and 3450 shares in SEIP. Read SEC document |
| July 31, 2003 Filed Aug 1, 2003 14:59 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 35,699 | $67.73 | $2,417,714.78 |
DisclosureSEC source: 0000018230-03-000358 · edgar.xml · nonDerivative · entry 4 SHAHEEN GERALD L · CIK 0001159203 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,474 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.