Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CATERPILLAR INCCAT · Entity 2808 | Director | June 14, 2006 | June 15, 2006 |
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 June 14, 2006 · Filed June 15, 2006
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Appreciation RightSEC Table II · derivative / convertible security · Conversion / exercise price $66.77 · Expires 2016-06-14 | Direct | 7,000 |
Reported balance
After 2006-06-14 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2006-06-14 · Grant · Acquired 7,000 · Balance 7,000 |
| CommonSEC Table I · non-derivative | Direct | 27,911 |
Reported balance
Holding disclosure · report date 2006-06-14 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 27,911 F1: This amount includes 1052 shares in dividend reinvestment. |
Filing footnotes · ownership attribution and instrument terms
F1: This amount includes 1052 shares in dividend reinvestment.
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 |
|---|---|---|---|---|---|---|
| June 14, 2006 Filed Jun 15, 2006 18:17 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantStock Appreciation Right · Derivative | 7,000 | $0.00 Strike: $66.77 | $0.00 |
DisclosureSEC source: 0000018230-06-000307 · edgar.xml · derivative · entry 2 PARKER GORDON R · CIK 0001171793 · 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 04, 2006 Filed Apr 5, 2006 18:28 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 8,000 | $0.00 Strike: $16.73 | $0.00 |
DisclosureSEC source: 0000018230-06-000192 · edgar.xml · derivative · entry 3 PARKER GORDON R · CIK 0001171793 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 8,000 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 |
| April 04, 2006 Filed Apr 5, 2006 18:28 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,797 | $74.50 | $133,867.52 |
DisclosureSEC source: 0000018230-06-000192 · edgar.xml · nonDerivative · entry 2 PARKER GORDON R · CIK 0001171793 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,866 F1 · balance_after: This amount includes 1007 shares in dividend reinvestment. 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 10,328 additional shares of common stock. Read SEC document |
| April 04, 2006 Filed Apr 5, 2006 18:28 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 8,000 | $16.73 | $133,875.20 |
DisclosureSEC source: 0000018230-06-000192 · edgar.xml · nonDerivative · entry 1 PARKER GORDON R · CIK 0001171793 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,663 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| April 13, 2005 Filed Apr 15, 2005 15:41 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherOption (NQ) · Derivative | 4,000 | Not disclosed Strike: $89.79 | Not disclosed |
DisclosureSEC source: 0000018230-05-000341 · edgar.xml · derivative · entry 2 PARKER GORDON R · CIK 0001171793 · 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 |
| April 08, 2005 Filed Apr 11, 2005 18:04 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 4,000 | $0.00 Strike: $27.91 | $0.00 |
DisclosureSEC source: 0000018230-05-000315 · edgar.xml · derivative · entry 3 PARKER GORDON R · CIK 0001171793 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 4,000 shares Expires 2005-04-12 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 |
| April 08, 2005 Filed Apr 11, 2005 18:04 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,222 | $91.33 | $111,599.15 |
DisclosureSEC source: 0000018230-05-000315 · edgar.xml · nonDerivative · entry 2 PARKER GORDON R · CIK 0001171793 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,788 F1 · balance_after: This amount includes 460 shares in dividend reinvestment. Read SEC document |
| April 08, 2005 Filed Apr 11, 2005 18:04 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 4,000 | $27.91 | $111,624.80 |
DisclosureSEC source: 0000018230-05-000315 · edgar.xml · nonDerivative · entry 1 PARKER GORDON R · CIK 0001171793 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,010 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 15:42 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherOption (NQ) · Derivative | 4,000 | Not disclosed Strike: $81.27 | Not disclosed |
DisclosureSEC source: 0000018230-04-000239 · edgar.xml · derivative · entry 2 PARKER GORDON R · CIK 0001171793 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,000 Underlying: Common · 4,000 shares Expires 2014-04-14 F2 · security: This option was granted with attached tax withholding rights. F3 · kind: Grant to reporting person of option to buy 4000 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. F3 · price: Grant to reporting person of option to buy 4000 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. F3 · derivative.exercise_date: Grant to reporting person of option to buy 4000 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.