Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| 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.
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 | 26,874 |
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 5,400 · Balance 26,874 |
| CommonSEC Table I · non-derivative | Direct | 21,474 |
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 5,400 · Balance 21,474 F1: This amount includes 4539 shares in 401K and 381 shares in SEIP. |
| 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 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2006-02-03 · Exercise / conversion · Disposed 5,400 · 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 4539 shares in 401K and 381 shares in SEIP.
F2: (Right to buy) with tandem tax withholding rights.
F3: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| February 03, 2006 Filed Feb 6, 2006 15:25 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 5,400 | $0.00 Strike: $19.20 | $0.00 |
DisclosureSEC source: 0000018230-06-000105 · edgar.xml · derivative · entry 3 Curfman Christopher C · CIK 0001307211 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 5,400 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 15:25 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 5,400 | $68.58 | $370,321.20 |
DisclosureSEC source: 0000018230-06-000105 · edgar.xml · nonDerivative · entry 2 Curfman Christopher C · CIK 0001307211 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,474 F1 · balance_after: This amount includes 4539 shares in 401K and 381 shares in SEIP. Read SEC document |
| February 03, 2006 Filed Feb 6, 2006 15:25 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 5,400 | $19.20 | $103,697.28 |
DisclosureSEC source: 0000018230-06-000105 · edgar.xml · nonDerivative · entry 1 Curfman Christopher C · CIK 0001307211 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,874 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 07, 2005 Filed Nov 9, 2005 17:44 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 5,202 | $0.00 Strike: $19.20 | $0.00 |
DisclosureSEC source: 0000018230-05-000725 · edgar.xml · derivative · entry 6 Curfman Christopher C · CIK 0001307211 · Vice 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 |
| November 07, 2005 Filed Nov 9, 2005 17:44 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 3,880 | $0.00 Strike: $16.45 | $0.00 |
DisclosureSEC source: 0000018230-05-000725 · edgar.xml · derivative · entry 5 Curfman Christopher C · CIK 0001307211 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 3,880 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 |
| November 07, 2005 Filed Nov 9, 2005 17:44 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,848 | $54.03 | $99,847.44 |
DisclosureSEC source: 0000018230-05-000725 · edgar.xml · nonDerivative · entry 4 Curfman Christopher C · CIK 0001307211 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,253 F1 · balance_after: This amount includes 4443 shares in 401K and 378 shares in SEIP. Read SEC document |
| November 07, 2005 Filed Nov 9, 2005 17:44 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 5,202 | $19.20 | $99,895.05 |
DisclosureSEC source: 0000018230-05-000725 · edgar.xml · nonDerivative · entry 3 Curfman Christopher C · CIK 0001307211 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,101 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 07, 2005 Filed Nov 9, 2005 17:44 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,181 | $54.03 | $63,809.43 |
DisclosureSEC source: 0000018230-05-000725 · edgar.xml · nonDerivative · entry 2 Curfman Christopher C · CIK 0001307211 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,899 Read SEC document |
| November 07, 2005 Filed Nov 9, 2005 17:44 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 3,880 | $16.45 | $63,838.03 |
DisclosureSEC source: 0000018230-05-000725 · edgar.xml · nonDerivative · entry 1 Curfman Christopher C · CIK 0001307211 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,080 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 04, 2005 Filed Nov 7, 2005 21:22 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 7,200 | $0.00 Strike: $19.20 | $0.00 |
DisclosureSEC source: 0000018230-05-000721 · edgar.xml · derivative · entry 5 Curfman Christopher C · CIK 0001307211 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 7,200 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 |
| November 04, 2005 Filed Nov 7, 2005 21:22 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherCommon | 86 | $53.55 | $4,605.32 |
DisclosureSEC source: 0000018230-05-000721 · edgar.xml · nonDerivative · entry 4 Curfman Christopher C · CIK 0001307211 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,200 F1 · balance_after: This amount includes 4443 shares in 401K and 378 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 1240 additional shares of common stock. Read SEC document |
| November 04, 2005 Filed Nov 7, 2005 21:22 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 7,200 | $53.78 | $387,238.32 |
DisclosureSEC source: 0000018230-05-000721 · edgar.xml · nonDerivative · entry 3 Curfman Christopher C · CIK 0001307211 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,114 Read SEC document |
| November 04, 2005 Filed Nov 7, 2005 21:22 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 7,200 | $19.20 | $138,263.04 |
DisclosureSEC source: 0000018230-05-000721 · edgar.xml · nonDerivative · entry 2 Curfman Christopher C · CIK 0001307211 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,314 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 03, 2005 Filed Nov 7, 2005 21:22 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 4,000 | $53.70 | $214,800.00 |
DisclosureSEC source: 0000018230-05-000721 · edgar.xml · nonDerivative · entry 1 Curfman Christopher C · CIK 0001307211 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,114 Read SEC document |
| February 18, 2005 Filed Feb 22, 2005 14:01 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherOption (NQ) · Derivative | 27,000 | $0.00 Strike: $91.29 | $0.00 |
DisclosureSEC source: 0000018230-05-000144 · edgar.xml · derivative · entry 2 Curfman Christopher C · CIK 0001307211 · 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.