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 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 03, 2006 · Filed February 03, 2006
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| CommonSEC Table I · non-derivative | Direct | 17,430 |
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 · Sale · Disposed 3,704 · Balance 17,430 F1: This amount includes 9895 shares in 401K and 1165 shares in dividend reinvestment. |
Filing footnotes · ownership attribution and instrument terms
F1: This amount includes 9895 shares in 401K and 1165 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 |
|---|---|---|---|---|---|---|
| February 03, 2006 Filed Feb 3, 2006 16:08 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 3,704 | $67.90 | $251,501.60 |
DisclosureSEC source: 0000018230-06-000099 · edgar.xml · nonDerivative · entry 1 Adams Kent M · CIK 0001312218 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,430 F1 · balance_after: This amount includes 9895 shares in 401K and 1165 shares in dividend reinvestment. Read SEC document |
| January 31, 2006 Filed Feb 1, 2006 19:30 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 5,570 | $0.00 Strike: $16.45 | $0.00 |
DisclosureSEC source: 0000018230-06-000068 · edgar.xml · derivative · entry 5 Adams Kent M · CIK 0001312218 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 5,570 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. 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 |
| January 31, 2006 Filed Feb 1, 2006 19:30 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 2,680 | $0.00 Strike: $16.45 | $0.00 |
DisclosureSEC source: 0000018230-06-000068 · edgar.xml · derivative · entry 4 Adams Kent M · CIK 0001312218 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 2,680 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. 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 |
| January 31, 2006 Filed Feb 1, 2006 19:30 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 5,570 | $16.45 | $91,643.77 |
DisclosureSEC source: 0000018230-06-000068 · edgar.xml · nonDerivative · entry 3 Adams Kent M · CIK 0001312218 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,134 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 9895 shares in 401K and 1165 shares in dividend reinvestment. 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 2252 additional shares of common stock. Read SEC document |
| January 31, 2006 Filed Feb 1, 2006 19:30 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 2,680 | $66.90 | $179,292.00 |
DisclosureSEC source: 0000018230-06-000068 · edgar.xml · nonDerivative · entry 2 Adams Kent M · CIK 0001312218 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,564 Read SEC document |
| January 31, 2006 Filed Feb 1, 2006 19:30 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 2,680 | $16.45 | $44,094.31 |
DisclosureSEC source: 0000018230-06-000068 · edgar.xml · nonDerivative · entry 1 Adams Kent M · CIK 0001312218 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,244 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 |
| May 06, 2005 Filed May 9, 2005 14:06 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 3,473 | $90.80 | $315,348.40 |
DisclosureSEC source: 0000018230-05-000385 · edgar.xml · nonDerivative · entry 1 Adams Kent M · CIK 0001312218 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,717 F1 · balance_after: This amount includes 4900 shares in 401K and 565 shares in dividend reinvestment. Read SEC document |
| February 18, 2005 Filed Feb 22, 2005 18:59 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherOption (NQ) · Derivative | 27,000 | $0.00 Strike: $91.29 | $0.00 |
DisclosureSEC source: 0000018230-05-000194 · edgar.xml · derivative · entry 2 Adams Kent M · CIK 0001312218 · 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 01, 2005 Filed Feb 2, 2005 20:13 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 1,728 | $0.00 Strike: $30.16 | $0.00 |
DisclosureSEC source: 0000018230-05-000089 · edgar.xml · derivative · entry 8 Adams Kent M · CIK 0001312218 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 1,728 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. 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 01, 2005 Filed Feb 2, 2005 20:13 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 703 | $0.00 Strike: $30.16 | $0.00 |
DisclosureSEC source: 0000018230-05-000089 · edgar.xml · derivative · entry 7 Adams Kent M · CIK 0001312218 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 703 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. 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 01, 2005 Filed Feb 2, 2005 20:13 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 532 | $0.00 Strike: $30.16 | $0.00 |
DisclosureSEC source: 0000018230-05-000089 · edgar.xml · derivative · entry 6 Adams Kent M · CIK 0001312218 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 532 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. 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 01, 2005 Filed Feb 2, 2005 20:13 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 579 | $89.85 | $52,020.26 |
DisclosureSEC source: 0000018230-05-000089 · edgar.xml · nonDerivative · entry 5 Adams Kent M · CIK 0001312218 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,164 F1 · balance_after: This amount includes 4874 shares in 401K and 565 shares in dividend reinvestment. Read SEC document |
| February 01, 2005 Filed Feb 2, 2005 20:13 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 1,728 | $30.16 | $52,109.91 |
DisclosureSEC source: 0000018230-05-000089 · edgar.xml · nonDerivative · entry 4 Adams Kent M · CIK 0001312218 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,743 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, 2005 Filed Feb 2, 2005 20:13 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 703 | $30.16 | $21,199.81 |
DisclosureSEC source: 0000018230-05-000089 · edgar.xml · nonDerivative · entry 3 Adams Kent M · CIK 0001312218 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,015 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, 2005 Filed Feb 2, 2005 20:13 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 532 | $89.54 | $47,635.28 |
DisclosureSEC source: 0000018230-05-000089 · edgar.xml · nonDerivative · entry 2 Adams Kent M · CIK 0001312218 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,312 Read SEC document |
| February 01, 2005 Filed Feb 2, 2005 20:13 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 532 | $30.16 | $16,043.10 |
DisclosureSEC source: 0000018230-05-000089 · edgar.xml · nonDerivative · entry 1 Adams Kent M · CIK 0001312218 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,844 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.