Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CATERPILLAR INCCAT · Entity 2808 | Vice President | February 02, 2006 | February 03, 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 02, 2006 · Filed February 03, 2006
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| CommonSEC Table I · non-derivative | Direct | 41,855 |
Reported balance
After 2006-02-02 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2006-02-02 · Gift · Disposed 200 · Balance 41,855 |
| CommonSEC Table I · non-derivative | Direct | 47,931 |
Reported balance
After 2006-02-02 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2006-02-02 · Exercise / conversion · Acquired 6,076 · Balance 47,931 |
| CommonSEC Table I · non-derivative | Direct | 46,473 |
Reported balance
After 2006-02-02 transaction · row 3
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 3 · 2006-02-02 · Tax withholding · Disposed 1,458 · Balance 46,473 |
| CommonSEC Table I · non-derivative | Direct | 52,997 |
Reported balance
After 2006-02-02 transaction · row 4
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 4 · 2006-02-02 · Exercise / conversion · Acquired 6,524 · Balance 52,997 |
| CommonSEC Table I · non-derivative | Direct | 49,915 |
Reported balance
After 2006-02-02 transaction · row 5
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 5 · 2006-02-02 · Tax withholding · Disposed 3,082 · Balance 49,915 F1: This amount includes 15,112 shares in 401K and 1797 shares in dividend reinvestment. F3: On July 14, 2005, the common stock of Caterpillar Inc. split 2-for-1, resulting in the reporting person's acquisition of 12,573 additional shares of common stock. |
| Employee Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $16.45 · Expires 2006-06-11 | Direct | 0 |
Reported balance
After 2006-02-02 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2006-02-02 · Exercise / conversion · Disposed 6,076 · Balance 0 F5: (Right to buy) with tandem tax withholding rights. F6: 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 $16.45 · Expires 2006-06-11 | Direct | 0 |
Reported balance
After 2006-02-02 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2006-02-02 · Exercise / conversion · Disposed 6,524 · Balance 0 F5: (Right to buy) with tandem tax withholding rights. F6: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. |
| CommonSEC Table I · non-derivative | IndirectOwned by Son | 400 |
Reported balance
Holding disclosure · report date 2006-02-02 · row 6
Holding and transaction disclosures are not merged.
1 source rowRow 6 · Balance 400 F4: On July 14, 2005, the common stock of Caterpillar Inc. split 2-for-1, resulting in the reporting person's acquisition of 200 additional shares of common stock. F2: Reporting person disclaims beneficial ownership. |
Filing footnotes · ownership attribution and instrument terms
F1: This amount includes 15,112 shares in 401K and 1797 shares in dividend reinvestment.
F2: Reporting person disclaims beneficial ownership.
F3: On July 14, 2005, the common stock of Caterpillar Inc. split 2-for-1, resulting in the reporting person's acquisition of 12,573 additional shares of common stock.
F4: On July 14, 2005, the common stock of Caterpillar Inc. split 2-for-1, resulting in the reporting person's acquisition of 200 additional shares of common stock.
F5: (Right to buy) with tandem tax withholding rights.
F6: 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 02, 2006 Filed Feb 3, 2006 22:02 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 6,524 | $0.00 Strike: $16.45 | $0.00 |
DisclosureSEC source: 0000018230-06-000103 · edgar.xml · derivative · entry 8 Williams Robert T · CIK 0001307209 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 6,524 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. F5 · security: (Right to buy) with tandem tax withholding rights. F6 · 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 02, 2006 Filed Feb 3, 2006 22:02 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 6,076 | $0.00 Strike: $16.45 | $0.00 |
DisclosureSEC source: 0000018230-06-000103 · edgar.xml · derivative · entry 7 Williams Robert T · CIK 0001307209 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 6,076 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. F5 · security: (Right to buy) with tandem tax withholding rights. F6 · 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 02, 2006 Filed Feb 3, 2006 22:02 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 3,082 | $68.55 | $211,255.69 |
DisclosureSEC source: 0000018230-06-000103 · edgar.xml · nonDerivative · entry 5 Williams Robert T · CIK 0001307209 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,915 F1 · balance_after: This amount includes 15,112 shares in 401K and 1797 shares in dividend reinvestment. F3 · balance_after: On July 14, 2005, the common stock of Caterpillar Inc. split 2-for-1, resulting in the reporting person's acquisition of 12,573 additional shares of common stock. Read SEC document |
| February 02, 2006 Filed Feb 3, 2006 22:02 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 6,524 | $16.45 | $107,340.02 |
DisclosureSEC source: 0000018230-06-000103 · edgar.xml · nonDerivative · entry 4 Williams Robert T · CIK 0001307209 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,997 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 02, 2006 Filed Feb 3, 2006 22:02 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,458 | $68.55 | $99,938.61 |
DisclosureSEC source: 0000018230-06-000103 · edgar.xml · nonDerivative · entry 3 Williams Robert T · CIK 0001307209 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,473 Read SEC document |
| February 02, 2006 Filed Feb 3, 2006 22:02 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 6,076 | $16.45 | $99,969.04 |
DisclosureSEC source: 0000018230-06-000103 · edgar.xml · nonDerivative · entry 2 Williams Robert T · CIK 0001307209 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,931 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 02, 2006 Filed Feb 3, 2006 22:02 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 200 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-06-000103 · edgar.xml · nonDerivative · entry 1 Williams Robert T · CIK 0001307209 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,855 Read SEC document |
| February 18, 2005 Filed Feb 22, 2005 19:02 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherOption (NQ) · Derivative | 27,000 | $0.00 Strike: $91.29 | $0.00 |
DisclosureSEC source: 0000018230-05-000196 · edgar.xml · derivative · entry 3 Williams Robert T · CIK 0001307209 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,000 Underlying: Common · 27,000 shares Expires 2015-02-18 F3 · security: This option was granted with attached tax withholding rights. F4 · 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. F4 · 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. F4 · 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 19:58 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 2,984 | $0.00 Strike: $30.16 | $0.00 |
DisclosureSEC source: 0000018230-05-000123 · edgar.xml · derivative · entry 8 Williams Robert T · CIK 0001307209 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 2,984 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. 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 |
| February 07, 2005 Filed Feb 8, 2005 19:58 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 3,316 | $0.00 Strike: $30.16 | $0.00 |
DisclosureSEC source: 0000018230-05-000123 · edgar.xml · derivative · entry 7 Williams Robert T · CIK 0001307209 · Vice 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. 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 |
| February 07, 2005 Filed Feb 8, 2005 19:58 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 200 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000123 · edgar.xml · nonDerivative · entry 5 Williams Robert T · CIK 0001307209 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,692 F1 · balance_after: This amount includes 7444 shares in 401K and 675 shares in dividend reinvestment. Read SEC document |
| February 07, 2005 Filed Feb 8, 2005 19:58 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,610 | $91.72 | $147,661.15 |
DisclosureSEC source: 0000018230-05-000123 · edgar.xml · nonDerivative · entry 4 Williams Robert T · CIK 0001307209 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,892 Read SEC document |
| February 07, 2005 Filed Feb 8, 2005 19:58 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 2,984 | $30.16 | $89,986.10 |
DisclosureSEC source: 0000018230-05-000123 · edgar.xml · nonDerivative · entry 3 Williams Robert T · CIK 0001307209 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,502 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 19:58 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,090 | $91.72 | $99,969.35 |
DisclosureSEC source: 0000018230-05-000123 · edgar.xml · nonDerivative · entry 2 Williams Robert T · CIK 0001307209 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,518 Read SEC document |
| February 07, 2005 Filed Feb 8, 2005 19:58 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 3,316 | $30.16 | $99,997.96 |
DisclosureSEC source: 0000018230-05-000123 · edgar.xml · nonDerivative · entry 1 Williams Robert T · CIK 0001307209 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,608 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.