Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CATERPILLAR INCCAT · Entity 2808 | Vice President | February 01, 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 01, 2006 · Filed February 03, 2006
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| CommonSEC Table I · non-derivative | Direct | 7,945 |
Reported balance
After 2006-02-01 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2006-02-01 · Other · Acquired 2,245 · Balance 7,945 |
| CommonSEC Table I · non-derivative | Direct | 17,337 |
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 9,392 · Balance 17,337 |
| CommonSEC Table I · non-derivative | Direct | 33,057 |
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 · Exercise / conversion · Acquired 15,720 · Balance 33,057 |
| CommonSEC Table I · non-derivative | Direct | 7,945 |
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 · Sale · Disposed 25,112 · Balance 7,945 |
| CommonSEC Table I · non-derivative | Direct | 11,813 |
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 · Exercise / conversion · Acquired 3,868 · Balance 11,813 |
| CommonSEC Table I · non-derivative | Direct | 10,356 |
Reported balance
After 2006-02-02 transaction · row 6
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 6 · 2006-02-02 · Tax withholding · Disposed 1,457 · Balance 10,356 |
| CommonSEC Table I · non-derivative | Direct | 13,946 |
Reported balance
After 2006-02-02 transaction · row 7
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 7 · 2006-02-02 · Exercise / conversion · Acquired 3,590 · Balance 13,946 |
| CommonSEC Table I · non-derivative | Direct | 12,488 |
Reported balance
After 2006-02-02 transaction · row 8
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 8 · 2006-02-02 · Tax withholding · Disposed 1,458 · Balance 12,488 F1: This amount includes 2245 shares in 401K and 28 shares in dividend reinvestment. |
| Employee Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $31.17 · Expires 2009-06-08 | Direct | 0 |
Reported balance
After 2006-02-02 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2006-02-02 · Exercise / conversion · Disposed 9,392 · 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 $25.36 · Expires 2012-06-11 | Direct | 0 |
Reported balance
After 2006-02-02 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2006-02-02 · Exercise / conversion · Disposed 15,720 · 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 $25.83 · Expires 2007-06-10 | Direct | 0 |
Reported balance
After 2006-02-02 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2006-02-02 · Exercise / conversion · Disposed 3,868 · 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 $27.84 · Expires 2008-06-09 | Direct | 0 |
Reported balance
After 2006-02-02 transaction · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · 2006-02-02 · Exercise / conversion · Disposed 3,590 · 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 2245 shares in 401K and 28 shares in dividend reinvestment.
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 02, 2006 Filed Feb 3, 2006 21:25 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 3,590 | $0.00 Strike: $27.84 | $0.00 |
DisclosureSEC source: 0000018230-06-000101 · edgar.xml · derivative · entry 12 Mayo William D · CIK 0001342651 · 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 |
| February 02, 2006 Filed Feb 3, 2006 21:25 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 3,868 | $0.00 Strike: $25.83 | $0.00 |
DisclosureSEC source: 0000018230-06-000101 · edgar.xml · derivative · entry 11 Mayo William D · CIK 0001342651 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 3,868 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 02, 2006 Filed Feb 3, 2006 21:25 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 15,720 | $0.00 Strike: $25.36 | $0.00 |
DisclosureSEC source: 0000018230-06-000101 · edgar.xml · derivative · entry 10 Mayo William D · CIK 0001342651 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 15,720 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 02, 2006 Filed Feb 3, 2006 21:25 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 9,392 | $0.00 Strike: $31.17 | $0.00 |
DisclosureSEC source: 0000018230-06-000101 · edgar.xml · derivative · entry 9 Mayo William D · CIK 0001342651 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 9,392 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 02, 2006 Filed Feb 3, 2006 21:25 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,458 | $68.55 | $99,938.61 |
DisclosureSEC source: 0000018230-06-000101 · edgar.xml · nonDerivative · entry 8 Mayo William D · CIK 0001342651 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,488 F1 · balance_after: This amount includes 2245 shares in 401K and 28 shares in dividend reinvestment. Read SEC document |
| February 02, 2006 Filed Feb 3, 2006 21:25 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 3,590 | $27.84 | $99,959.24 |
DisclosureSEC source: 0000018230-06-000101 · edgar.xml · nonDerivative · entry 7 Mayo William D · CIK 0001342651 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,946 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 21:25 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,457 | $68.55 | $99,870.07 |
DisclosureSEC source: 0000018230-06-000101 · edgar.xml · nonDerivative · entry 6 Mayo William D · CIK 0001342651 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,356 Read SEC document |
| February 02, 2006 Filed Feb 3, 2006 21:25 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 3,868 | $25.83 | $99,903.09 |
DisclosureSEC source: 0000018230-06-000101 · edgar.xml · nonDerivative · entry 5 Mayo William D · CIK 0001342651 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,813 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 21:25 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 25,112 | $68.08 | $1,709,624.96 |
DisclosureSEC source: 0000018230-06-000101 · edgar.xml · nonDerivative · entry 4 Mayo William D · CIK 0001342651 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,945 Read SEC document |
| February 02, 2006 Filed Feb 3, 2006 21:25 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 15,720 | $25.36 | $398,619.90 |
DisclosureSEC source: 0000018230-06-000101 · edgar.xml · nonDerivative · entry 3 Mayo William D · CIK 0001342651 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,057 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 21:25 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 9,392 | $31.17 | $292,766.48 |
DisclosureSEC source: 0000018230-06-000101 · edgar.xml · nonDerivative · entry 2 Mayo William D · CIK 0001342651 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,337 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 01, 2006 Filed Feb 3, 2006 21:25 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherCommon | 2,245 | $68.40 | $153,564.51 |
DisclosureSEC source: 0000018230-06-000101 · edgar.xml · nonDerivative · entry 1 Mayo William D · CIK 0001342651 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,945 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.