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 | 31,432 |
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 · Exercise / conversion · Acquired 9,392 · Balance 31,432 |
| CommonSEC Table I · non-derivative | Direct | 22,040 |
Reported balance
After 2006-02-01 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2006-02-01 · Sale · Disposed 9,392 · Balance 22,040 |
| CommonSEC Table I · non-derivative | Direct | 25,630 |
Reported balance
After 2006-02-01 transaction · row 3
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 3 · 2006-02-01 · Exercise / conversion · Acquired 3,590 · Balance 25,630 |
| CommonSEC Table I · non-derivative | Direct | 24,174 |
Reported balance
After 2006-02-01 transaction · row 4
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 4 · 2006-02-01 · Tax withholding · Disposed 1,456 · Balance 24,174 F1: This amount includes 16,591 shares in EIP. |
| Employee Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $31.17 · Expires 2009-06-08 | Direct | 0 |
Reported balance
After 2006-02-01 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2006-02-01 · 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 $27.84 · Expires 2008-06-09 | Direct | 0 |
Reported balance
After 2006-02-01 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2006-02-01 · 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 16,591 shares in EIP.
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 01, 2006 Filed Feb 3, 2006 14:17 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 3,590 | $0.00 Strike: $27.84 | $0.00 |
DisclosureSEC source: 0000018230-06-000097 · edgar.xml · derivative · entry 6 FELLIN PAOLO · CIK 0001287964 · 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 01, 2006 Filed Feb 3, 2006 14:17 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 9,392 | $0.00 Strike: $31.17 | $0.00 |
DisclosureSEC source: 0000018230-06-000097 · edgar.xml · derivative · entry 5 FELLIN PAOLO · CIK 0001287964 · 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 01, 2006 Filed Feb 3, 2006 14:17 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,456 | $68.62 | $99,910.72 |
DisclosureSEC source: 0000018230-06-000097 · edgar.xml · nonDerivative · entry 4 FELLIN PAOLO · CIK 0001287964 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,174 F1 · balance_after: This amount includes 16,591 shares in EIP. Read SEC document |
| February 01, 2006 Filed Feb 3, 2006 14:17 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 3,590 | $27.84 | $99,959.24 |
DisclosureSEC source: 0000018230-06-000097 · edgar.xml · nonDerivative · entry 3 FELLIN PAOLO · CIK 0001287964 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,630 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 14:17 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 9,392 | $69.10 | $648,988.14 |
DisclosureSEC source: 0000018230-06-000097 · edgar.xml · nonDerivative · entry 2 FELLIN PAOLO · CIK 0001287964 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,040 Read SEC document |
| February 01, 2006 Filed Feb 3, 2006 14:17 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 9,392 | $31.17 | $292,766.48 |
DisclosureSEC source: 0000018230-06-000097 · edgar.xml · nonDerivative · entry 1 FELLIN PAOLO · CIK 0001287964 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,432 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 |
| December 22, 2005 Filed Dec 23, 2005 16:38 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 9,010 | $0.00 Strike: $27.84 | $0.00 |
DisclosureSEC source: 0000018230-05-000799 · edgar.xml · derivative · entry 3 FELLIN PAOLO · CIK 0001287964 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 9,010 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 |
| December 22, 2005 Filed Dec 23, 2005 16:38 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 4,323 | $58.02 | $250,820.46 |
DisclosureSEC source: 0000018230-05-000799 · edgar.xml · nonDerivative · entry 2 FELLIN PAOLO · CIK 0001287964 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,245 F1 · balance_after: This amount includes 15,796 shares in EIP. 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 381 additional shares of common stock. Read SEC document |
| December 22, 2005 Filed Dec 23, 2005 16:38 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 9,010 | $27.84 | $250,872.64 |
DisclosureSEC source: 0000018230-05-000799 · edgar.xml · nonDerivative · entry 1 FELLIN PAOLO · CIK 0001287964 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,568 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 14:00 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherOption (NQ) · Derivative | 27,000 | $0.00 Strike: $91.29 | $0.00 |
DisclosureSEC source: 0000018230-05-000143 · edgar.xml · derivative · entry 2 FELLIN PAOLO · CIK 0001287964 · 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 |
| September 29, 2004 Filed Sep 30, 2004 18:18 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 6,300 | $0.00 Strike: $51.66 | $0.00 |
DisclosureSEC source: 0000018230-04-000527 · edgar.xml · derivative · entry 5 FELLIN PAOLO · CIK 0001287964 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 6,300 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. F3 · security: (Right to Buy) with tandem tax withholding rights. F2 · 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 29, 2004 Filed Sep 30, 2004 18:18 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 4,040 | $0.00 Strike: $32.91 | $0.00 |
DisclosureSEC source: 0000018230-04-000527 · edgar.xml · derivative · entry 4 FELLIN PAOLO · CIK 0001287964 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 4,040 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. F2 · 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 29, 2004 Filed Sep 30, 2004 18:18 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 10,340 | $80.00 | $827,200.00 |
DisclosureSEC source: 0000018230-04-000527 · edgar.xml · nonDerivative · entry 3 FELLIN PAOLO · CIK 0001287964 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,463 F1 · balance_after: This amount includes 7082 shares in EIP. Read SEC document |
| September 29, 2004 Filed Sep 30, 2004 18:18 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 6,300 | $51.66 | $325,434.06 |
DisclosureSEC source: 0000018230-04-000527 · edgar.xml · nonDerivative · entry 2 FELLIN PAOLO · CIK 0001287964 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,803 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 18:18 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 4,040 | $32.91 | $132,941.05 |
DisclosureSEC source: 0000018230-04-000527 · edgar.xml · nonDerivative · entry 1 FELLIN PAOLO · CIK 0001287964 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,503 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 |
| June 08, 2004 Filed Jun 10, 2004 15:05 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherOption (NQ) · Derivative | 27,000 | $0.00 Strike: $77.26 | $0.00 |
DisclosureSEC source: 0000018230-04-000395 · edgar.xml · derivative · entry 2 FELLIN PAOLO · CIK 0001287964 · 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.