Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| BLACK BOX CORPBBOX · Entity 161174 | Director | January 07, 2019 | January 09, 2019 |
| CATERPILLAR INCCAT · Entity 2808 | Vice President | February 03, 2006 | February 06, 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.
BLACK BOX CORP
Report date January 07, 2019 · Filed January 09, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, $.001 par valueSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2019-01-07 transaction · row 1
1 source rowRow 1 · 2019-01-07 · Other · Disposed 52,320 · Balance 0 F1: On November 11, 2018, Black Box Corporation (the "Company") entered into an Agreement and Plan of Merger (the "Merger Agreement") with AGC Networks Pte Ltd. ("Top Parent"), BBX Main Inc., a wholly owned subsidiary of Top Parent ("Parent"), BBX Inc., a wholly owned subsidiary of Parent ("BBX Intermediate"), and Host Merger Sub Inc., a wholly owned subsidiary of BBX Intermediate ("Merger Sub"). Pursuant to the terms of the Merger Agreement, and the tender offer commenced in connection therewith, each share of Company common stock held by the Reporting Person was tendered for $1.10 per share, net to the holder thereof, in cash, without interest thereon (the "Offer Price"). Pursuant to the Merger Agreement, on January 7, 2019 (the "Effective Time"), Merger Sub was merged with and into the Company, with the Company being the surviving corporation and becoming a wholly owned subsidiary of BBX Intermediate. |
| Employee Stock Option (Right to Purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $2.85 | Direct | 0 |
Reported balance
After 2019-01-07 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2019-01-07 · Disposition to issuer · Disposed 30,000 · Balance 0 F2: Pursuant to the Merger Agreement, at the Effective Time, each out-of-the-money Company option that was outstanding and unexercised (whether vested or unvested) was cancelled and terminated for no consideration. This option was out-of-the-money at the Effective Time. |
Filing footnotes · ownership attribution and instrument terms
F1: On November 11, 2018, Black Box Corporation (the "Company") entered into an Agreement and Plan of Merger (the "Merger Agreement") with AGC Networks Pte Ltd. ("Top Parent"), BBX Main Inc., a wholly owned subsidiary of Top Parent ("Parent"), BBX Inc., a wholly owned subsidiary of Parent ("BBX Intermediate"), and Host Merger Sub Inc., a wholly owned subsidiary of BBX Intermediate ("Merger Sub"). Pursuant to the terms of the Merger Agreement, and the tender offer commenced in connection therewith, each share of Company common stock held by the Reporting Person was tendered for $1.10 per share, net to the holder thereof, in cash, without interest thereon (the "Offer Price"). Pursuant to the Merger Agreement, on January 7, 2019 (the "Effective Time"), Merger Sub was merged with and into the Company, with the Company being the surviving corporation and becoming a wholly owned subsidiary of BBX Intermediate.
F2: Pursuant to the Merger Agreement, at the Effective Time, each out-of-the-money Company option that was outstanding and unexercised (whether vested or unvested) was cancelled and terminated for no consideration. This option was out-of-the-money at the Effective Time.
CATERPILLAR INC
Report date February 03, 2006 · Filed February 06, 2006
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| CommonSEC Table I · non-derivative | Direct | 31,368 |
Reported balance
After 2006-02-03 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2006-02-03 · Exercise / conversion · Acquired 13,068 · Balance 31,368 |
| CommonSEC Table I · non-derivative | Direct | 18,300 |
Reported balance
After 2006-02-03 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2006-02-03 · Sale · Disposed 13,068 · Balance 18,300 |
| CommonSEC Table I · non-derivative | Direct | 21,503 |
Reported balance
After 2006-02-03 transaction · row 3
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 3 · 2006-02-03 · Exercise / conversion · Acquired 3,208 · Balance 21,503 |
| CommonSEC Table I · non-derivative | Direct | 25,210 |
Reported balance
After 2006-02-03 transaction · row 4
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 4 · 2006-02-03 · Exercise / conversion · Acquired 3,702 · Balance 25,210 F1: This amount includes 8249 shares in 401K. |
| Employee Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $25.36 · Expires 2012-06-11 | Direct | 0 |
Reported balance
After 2006-02-03 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2006-02-03 · Exercise / conversion · Disposed 13,068 · 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. |
| Employee Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $31.17 · Expires 2009-06-08 | Direct | 0 |
Reported balance
After 2006-02-03 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2006-02-03 · Exercise / conversion · Disposed 3,208 · 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. |
| Employee Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $19.20 · Expires 2010-06-12 | Direct | 0 |
Reported balance
After 2006-02-03 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2006-02-03 · Exercise / conversion · Disposed 3,702 · 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 8249 shares in 401K.
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 |
|---|---|---|---|---|---|---|
| January 07, 2019 Filed Jan 9, 2019 13:47 UTC | BLACK BOX CORP BBOX · Entity 161174 | Disposition to issuerEmployee Stock Option (Right to Purchase) · Derivative | 30,000 | $0.00 Strike: $2.85 | $0.00 |
DisclosureSEC source: 0000849547-19-000007 · wf-form4_154705963399755.xml · derivative · entry 2 HELLER JOHN S · CIK 0001287966 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 30,000 shares Expires not disclosed F2 · date: Pursuant to the Merger Agreement, at the Effective Time, each out-of-the-money Company option that was outstanding and unexercised (whether vested or unvested) was cancelled and terminated for no consideration. This option was out-of-the-money at the Effective Time. F2 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each out-of-the-money Company option that was outstanding and unexercised (whether vested or unvested) was cancelled and terminated for no consideration. This option was out-of-the-money at the Effective Time. F2 · derivative.expiration_date: Pursuant to the Merger Agreement, at the Effective Time, each out-of-the-money Company option that was outstanding and unexercised (whether vested or unvested) was cancelled and terminated for no consideration. This option was out-of-the-money at the Effective Time. Read SEC document |
| January 07, 2019 Filed Jan 9, 2019 13:47 UTC | BLACK BOX CORP BBOX · Entity 161174 | OtherCommon Stock, $.001 par value | 52,320 | $1.10 | $57,552.00 |
DisclosureSEC source: 0000849547-19-000007 · wf-form4_154705963399755.xml · nonDerivative · entry 1 HELLER JOHN S · CIK 0001287966 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · date: On November 11, 2018, Black Box Corporation (the "Company") entered into an Agreement and Plan of Merger (the "Merger Agreement") with AGC Networks Pte Ltd. ("Top Parent"), BBX Main Inc., a wholly owned subsidiary of Top Parent ("Parent"), BBX Inc., a wholly owned subsidiary of Parent ("BBX Intermediate"), and Host Merger Sub Inc., a wholly owned subsidiary of BBX Intermediate ("Merger Sub"). Pursuant to the terms of the Merger Agreement, and the tender offer commenced in connection therewith, each share of Company common stock held by the Reporting Person was tendered for $1.10 per share, net to the holder thereof, in cash, without interest thereon (the "Offer Price"). Pursuant to the Merger Agreement, on January 7, 2019 (the "Effective Time"), Merger Sub was merged with and into the Company, with the Company being the surviving corporation and becoming a wholly owned subsidiary of BBX Intermediate. F1 · price: On November 11, 2018, Black Box Corporation (the "Company") entered into an Agreement and Plan of Merger (the "Merger Agreement") with AGC Networks Pte Ltd. ("Top Parent"), BBX Main Inc., a wholly owned subsidiary of Top Parent ("Parent"), BBX Inc., a wholly owned subsidiary of Parent ("BBX Intermediate"), and Host Merger Sub Inc., a wholly owned subsidiary of BBX Intermediate ("Merger Sub"). Pursuant to the terms of the Merger Agreement, and the tender offer commenced in connection therewith, each share of Company common stock held by the Reporting Person was tendered for $1.10 per share, net to the holder thereof, in cash, without interest thereon (the "Offer Price"). Pursuant to the Merger Agreement, on January 7, 2019 (the "Effective Time"), Merger Sub was merged with and into the Company, with the Company being the surviving corporation and becoming a wholly owned subsidiary of BBX Intermediate. Read SEC document |
| May 23, 2018 Filed May 25, 2018 11:06 UTC | BLACK BOX CORP BBOX · Entity 161174 | GrantEmployee Stock Option (Right to Purchase) · Derivative | 30,000 | $0.00 Strike: $2.85 | $0.00 |
DisclosureSEC source: 0000849547-18-000025 · wf-form4_152726076821766.xml · derivative · entry 1 HELLER JOHN S · CIK 0001287966 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2028-05-23 F2 · price: Granted under the Black Box Corporation 2008 Long-Term Incentive Plan. F1 · derivative.exercise_date: Options are exercisable on the 1st anniversary of the date of grant. Grant date is 10 years prior to the expiration date. Read SEC document |
| August 14, 2017 Filed Aug 16, 2017 09:07 UTC | BLACK BOX CORP BBOX · Entity 161174 | PurchaseCommon Stock, $.001 par value | 10,000 | $4.35 | $43,500.00 |
DisclosureSEC source: 0000849547-17-000080 · wf-form4_150288884690041.xml · nonDerivative · entry 1 HELLER JOHN S · CIK 0001287966 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,320 F1 · price: Represents the weighted average purchase price per share. Actual per share purchase prices ranged from $4.325 to $4.35. The Reporting Person has provided the issuer with full information regarding the number of shares purchased at each separate price. The issuer undertakes, on behalf of the Reporting Person, to provide such information to the Staff of the SEC or a security holder of the issuer upon request. Read SEC document |
| May 24, 2017 Filed May 26, 2017 16:21 UTC | BLACK BOX CORP BBOX · Entity 161174 | GrantCommon Stock, $.001 par value | 12,350 | $0.00 | $0.00 |
DisclosureSEC source: 0000849547-17-000053 · wf-form4_149583005505794.xml · nonDerivative · entry 1 HELLER JOHN S · CIK 0001287966 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,320 F1 · shares: Grant of restricted stock units, 100% of which vested immediately on the date of grant, under the Black Box Corporation 2008 Long-Term Incentive Plan. F1 · price: Grant of restricted stock units, 100% of which vested immediately on the date of grant, under the Black Box Corporation 2008 Long-Term Incentive Plan. F2 · balance_after: This number includes restricted stock units previously granted under the Black Box 2008 Long-Term Incentive Plan. Read SEC document |
| February 03, 2006 Filed Feb 6, 2006 20:57 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 3,702 | $0.00 Strike: $19.20 | $0.00 |
DisclosureSEC source: 0000018230-06-000107 · edgar.xml · derivative · entry 7 HELLER JOHN S · CIK 0001287966 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 3,702 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 |
| February 03, 2006 Filed Feb 6, 2006 20:57 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 3,208 | $0.00 Strike: $31.17 | $0.00 |
DisclosureSEC source: 0000018230-06-000107 · edgar.xml · derivative · entry 6 HELLER JOHN S · CIK 0001287966 · Vice 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 |
| February 03, 2006 Filed Feb 6, 2006 20:57 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 13,068 | $0.00 Strike: $25.36 | $0.00 |
DisclosureSEC source: 0000018230-06-000107 · edgar.xml · derivative · entry 5 HELLER JOHN S · CIK 0001287966 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 13,068 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. 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, 2006 Filed Feb 6, 2006 20:57 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 3,702 | $19.20 | $71,090.25 |
DisclosureSEC source: 0000018230-06-000107 · edgar.xml · nonDerivative · entry 4 HELLER JOHN S · CIK 0001287966 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,210 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 8249 shares in 401K. Read SEC document |
| February 03, 2006 Filed Feb 6, 2006 20:57 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 3,208 | $31.17 | $99,999.46 |
DisclosureSEC source: 0000018230-06-000107 · edgar.xml · nonDerivative · entry 3 HELLER JOHN S · CIK 0001287966 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,503 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 03, 2006 Filed Feb 6, 2006 20:57 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 13,068 | $68.18 | $890,920.05 |
DisclosureSEC source: 0000018230-06-000107 · edgar.xml · nonDerivative · entry 2 HELLER JOHN S · CIK 0001287966 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,300 Read SEC document |
| February 03, 2006 Filed Feb 6, 2006 20:57 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 13,068 | $25.36 | $331,371.81 |
DisclosureSEC source: 0000018230-06-000107 · edgar.xml · nonDerivative · entry 1 HELLER JOHN S · CIK 0001287966 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,368 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 16, 2005 Filed Nov 17, 2005 22:00 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 3,590 | $0.00 Strike: $27.84 | $0.00 |
DisclosureSEC source: 0000018230-05-000742 · edgar.xml · derivative · entry 6 HELLER JOHN S · CIK 0001287966 · Vice President 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. 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 16, 2005 Filed Nov 17, 2005 22:00 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 1,400 | $0.00 Strike: $25.83 | $0.00 |
DisclosureSEC source: 0000018230-05-000742 · edgar.xml · derivative · entry 5 HELLER JOHN S · CIK 0001287966 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 1,400 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 |
| November 16, 2005 Filed Nov 17, 2005 22:00 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,766 | $56.58 | $99,920.28 |
DisclosureSEC source: 0000018230-05-000742 · edgar.xml · nonDerivative · entry 4 HELLER JOHN S · CIK 0001287966 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,243 F1 · balance_after: This amount includes 8192 shares in 401K. Read SEC document |
| November 16, 2005 Filed Nov 17, 2005 22:00 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 3,590 | $27.84 | $99,959.24 |
DisclosureSEC source: 0000018230-05-000742 · edgar.xml · nonDerivative · entry 3 HELLER JOHN S · CIK 0001287966 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,009 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 16, 2005 Filed Nov 17, 2005 22:00 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 639 | $56.58 | $36,154.62 |
DisclosureSEC source: 0000018230-05-000742 · edgar.xml · nonDerivative · entry 2 HELLER JOHN S · CIK 0001287966 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,419 Read SEC document |
| November 16, 2005 Filed Nov 17, 2005 22:00 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 1,400 | $25.83 | $36,159.34 |
DisclosureSEC source: 0000018230-05-000742 · edgar.xml · nonDerivative · entry 1 HELLER JOHN S · CIK 0001287966 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,058 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 |
| September 07, 2005 Filed Sep 8, 2005 13:46 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 14,000 | $0.00 Strike: $26.77 | $0.00 |
DisclosureSEC source: 0000018230-05-000605 · edgar.xml · derivative · entry 3 HELLER JOHN S · CIK 0001287966 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 14,000 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 |
| September 07, 2005 Filed Sep 8, 2005 13:46 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 14,000 | $59.00 | $826,000.00 |
DisclosureSEC source: 0000018230-05-000605 · edgar.xml · nonDerivative · entry 2 HELLER JOHN S · CIK 0001287966 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,658 F1 · balance_after: This amount includes 8192 shares in 401K. Read SEC document |
| September 07, 2005 Filed Sep 8, 2005 13:46 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 14,000 | $26.77 | $374,710.00 |
DisclosureSEC source: 0000018230-05-000605 · edgar.xml · nonDerivative · entry 1 HELLER JOHN S · CIK 0001287966 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,658 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 28, 2005 Filed Jul 29, 2005 14:41 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 5,792 | $0.00 Strike: $31.17 | $0.00 |
DisclosureSEC source: 0000018230-05-000508 · edgar.xml · derivative · entry 3 HELLER JOHN S · CIK 0001287966 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 5,792 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 |
| July 28, 2005 Filed Jul 29, 2005 14:41 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 5,792 | $54.00 | $312,768.00 |
DisclosureSEC source: 0000018230-05-000508 · edgar.xml · nonDerivative · entry 2 HELLER JOHN S · CIK 0001287966 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,658 F1 · balance_after: This amount includes 8192 shares in 401K. F2 · balance_after: On July 14, 2005, the common stock of Caterpillar Inc. split 2-for-1, resulting in the reporting person's acquisition of 3733 additional shares of common stock. Read SEC document |
| July 28, 2005 Filed Jul 29, 2005 14:41 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 5,792 | $31.17 | $180,547.64 |
DisclosureSEC source: 0000018230-05-000508 · edgar.xml · nonDerivative · entry 1 HELLER JOHN S · CIK 0001287966 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,450 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 17:44 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherOption (NQ) · Derivative | 27,000 | $0.00 Strike: $91.29 | $0.00 |
DisclosureSEC source: 0000018230-05-000173 · edgar.xml · derivative · entry 2 HELLER JOHN S · CIK 0001287966 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,000 Underlying: Common · 27,000 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 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. F3 · 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. F3 · 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 |
| February 07, 2005 Filed Feb 8, 2005 20:00 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 1,816 | $0.00 Strike: $38.41 | $0.00 |
DisclosureSEC source: 0000018230-05-000124 · edgar.xml · derivative · entry 6 HELLER JOHN S · CIK 0001287966 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 1,816 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 |
| February 07, 2005 Filed Feb 8, 2005 20:00 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 1,234 | $0.00 Strike: $51.66 | $0.00 |
DisclosureSEC source: 0000018230-05-000124 · edgar.xml · derivative · entry 5 HELLER JOHN S · CIK 0001287966 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 1,234 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 |
| February 07, 2005 Filed Feb 8, 2005 20:00 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 1,139 | $91.65 | $104,389.35 |
DisclosureSEC source: 0000018230-05-000124 · edgar.xml · nonDerivative · entry 4 HELLER JOHN S · CIK 0001287966 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,715 F1 · balance_after: This amount includes 3982 shares in 401K. Read SEC document |
| February 07, 2005 Filed Feb 8, 2005 20:00 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 1,816 | $38.41 | $69,745.84 |
DisclosureSEC source: 0000018230-05-000124 · edgar.xml · nonDerivative · entry 3 HELLER JOHN S · CIK 0001287966 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,854 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 07, 2005 Filed Feb 8, 2005 20:00 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 695 | $91.72 | $63,741.93 |
DisclosureSEC source: 0000018230-05-000124 · edgar.xml · nonDerivative · entry 2 HELLER JOHN S · CIK 0001287966 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,038 Read SEC document |
| February 07, 2005 Filed Feb 8, 2005 20:00 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 1,234 | $51.66 | $63,743.75 |
DisclosureSEC source: 0000018230-05-000124 · edgar.xml · nonDerivative · entry 1 HELLER JOHN S · CIK 0001287966 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,733 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 03, 2005 Filed Jan 4, 2005 15:40 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 2,705 | $0.00 Strike: $55.69 | $0.00 |
DisclosureSEC source: 0000018230-05-000022 · edgar.xml · derivative · entry 3 HELLER JOHN S · CIK 0001287966 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 2,705 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 |
| January 03, 2005 Filed Jan 4, 2005 15:40 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 2,705 | $96.10 | $259,950.50 |
DisclosureSEC source: 0000018230-05-000022 · edgar.xml · nonDerivative · entry 2 HELLER JOHN S · CIK 0001287966 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,490 F1 · balance_after: This amount includes 3973 shares in 401K. Read SEC document |
| January 03, 2005 Filed Jan 4, 2005 15:40 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 2,705 | $55.69 | $150,634.69 |
DisclosureSEC source: 0000018230-05-000022 · edgar.xml · nonDerivative · entry 1 HELLER JOHN S · CIK 0001287966 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,195 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 |
| September 29, 2004 Filed Sep 30, 2004 18:44 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 310 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000529 · edgar.xml · nonDerivative · entry 1 HELLER JOHN S · CIK 0001287966 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,431 F1 · balance_after: This amount includes 3914 shares in 401K. Read SEC document |
| June 08, 2004 Filed Jun 10, 2004 15:14 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherOption (NQ) · Derivative | 27,000 | $0.00 Strike: $77.26 | $0.00 |
DisclosureSEC source: 0000018230-04-000399 · edgar.xml · derivative · entry 2 HELLER JOHN S · CIK 0001287966 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,000 Underlying: Common · 27,000 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 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 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 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 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 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 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.