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 02, 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 02, 2006
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| CommonSEC Table I · non-derivative | Direct | 100,720 |
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 60,000 · Balance 100,720 |
| CommonSEC Table I · non-derivative | Direct | 40,720 |
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 60,000 · Balance 40,720 F1: This amount includes 3435 shares in EIP-1 and 28 shares in dividend reinvestment.. |
| Employee Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $38.63 · Expires 2014-06-08 | Direct | 0 |
Reported balance
After 2006-02-01 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2006-02-01 · Exercise / conversion · Disposed 60,000 · Balance 0 F3: (Right to buy) with tandem tax withholding rights. F4: 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 Wife | 20,000 |
Reported balance
Holding disclosure · report date 2006-02-01 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 20,000 F2: Reporting person disclaims beneficial ownership. |
Filing footnotes · ownership attribution and instrument terms
F1: This amount includes 3435 shares in EIP-1 and 28 shares in dividend reinvestment..
F2: Reporting person disclaims beneficial ownership.
F3: (Right to buy) with tandem tax withholding rights.
F4: 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 2, 2006 16:17 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 60,000 | $0.00 Strike: $38.63 | $0.00 |
DisclosureSEC source: 0000018230-06-000093 · edgar.xml · derivative · entry 4 BUSSELL RODNEY L · CIK 0001171776 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 60,000 shares Expires 2014-06-08 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. 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 01, 2006 Filed Feb 2, 2006 16:17 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 60,000 | $69.00 | $4,140,000.00 |
DisclosureSEC source: 0000018230-06-000093 · edgar.xml · nonDerivative · entry 2 BUSSELL RODNEY L · CIK 0001171776 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,720 F1 · balance_after: This amount includes 3435 shares in EIP-1 and 28 shares in dividend reinvestment.. Read SEC document |
| February 01, 2006 Filed Feb 2, 2006 16:17 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 60,000 | $38.63 | $2,317,650.00 |
DisclosureSEC source: 0000018230-06-000093 · edgar.xml · nonDerivative · entry 1 BUSSELL RODNEY L · CIK 0001171776 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,720 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 12, 2005 Filed Dec 14, 2005 15:54 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 175 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000787 · edgar.xml · nonDerivative · entry 1 BUSSELL RODNEY L · CIK 0001171776 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,671 F1 · balance_after: This amount includes 3414 shares in EIP-1. Read SEC document |
| September 07, 2005 Filed Sep 8, 2005 13:48 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 36,000 | $0.00 Strike: $27.14 | $0.00 |
DisclosureSEC source: 0000018230-05-000606 · edgar.xml · derivative · entry 4 BUSSELL RODNEY L · CIK 0001171776 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 36,000 shares Expires 2013-06-10 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. 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 |
| September 07, 2005 Filed Sep 8, 2005 13:48 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 36,000 | $59.00 | $2,124,000.00 |
DisclosureSEC source: 0000018230-05-000606 · edgar.xml · nonDerivative · entry 2 BUSSELL RODNEY L · CIK 0001171776 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,845 F1 · balance_after: This amount includes 3414 shares in EIP-1 and 152 shares in dividend reinvestment. Read SEC document |
| September 07, 2005 Filed Sep 8, 2005 13:48 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 36,000 | $27.14 | $977,130.00 |
DisclosureSEC source: 0000018230-05-000606 · edgar.xml · nonDerivative · entry 1 BUSSELL RODNEY L · CIK 0001171776 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,845 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 |
| August 01, 2005 Filed Aug 2, 2005 19:25 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 3,208 | $0.00 Strike: $31.17 | $0.00 |
DisclosureSEC source: 0000018230-05-000543 · edgar.xml · derivative · entry 7 BUSSELL RODNEY L · CIK 0001171776 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 3,208 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. 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 |
| August 01, 2005 Filed Aug 2, 2005 19:25 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 3,590 | $0.00 Strike: $27.84 | $0.00 |
DisclosureSEC source: 0000018230-05-000543 · edgar.xml · derivative · entry 6 BUSSELL RODNEY L · CIK 0001171776 · 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. 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 |
| August 01, 2005 Filed Aug 2, 2005 19:25 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 3,868 | $0.00 Strike: $25.83 | $0.00 |
DisclosureSEC source: 0000018230-05-000543 · edgar.xml · derivative · entry 5 BUSSELL RODNEY L · CIK 0001171776 · 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. 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 |
| August 01, 2005 Filed Aug 2, 2005 19:25 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 3,208 | $31.17 | $99,999.46 |
DisclosureSEC source: 0000018230-05-000543 · edgar.xml · nonDerivative · entry 3 BUSSELL RODNEY L · CIK 0001171776 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,845 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 3414 shares in EIP-1 and 152 shares in dividend reinvestment. Read SEC document |
| August 01, 2005 Filed Aug 2, 2005 19:25 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 3,590 | $27.84 | $99,959.24 |
DisclosureSEC source: 0000018230-05-000543 · edgar.xml · nonDerivative · entry 2 BUSSELL RODNEY L · CIK 0001171776 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,637 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 |
| August 01, 2005 Filed Aug 2, 2005 19:25 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 3,868 | $25.83 | $99,903.09 |
DisclosureSEC source: 0000018230-05-000543 · edgar.xml · nonDerivative · entry 1 BUSSELL RODNEY L · CIK 0001171776 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,047 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 |
| July 26, 2005 Filed Jul 28, 2005 16:04 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 54,000 | $0.00 Strike: $25.36 | $0.00 |
DisclosureSEC source: 0000018230-05-000498 · edgar.xml · derivative · entry 6 BUSSELL RODNEY L · CIK 0001171776 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 54,000 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. 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 |
| July 26, 2005 Filed Jul 28, 2005 16:04 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 21,150 | $0.00 Strike: $26.77 | $0.00 |
DisclosureSEC source: 0000018230-05-000498 · edgar.xml · derivative · entry 5 BUSSELL RODNEY L · CIK 0001171776 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 21,150 shares Expires 2011-06-12 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. 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 |
| July 26, 2005 Filed Jul 28, 2005 16:04 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 75,150 | $51.96 | $3,904,433.28 |
DisclosureSEC source: 0000018230-05-000498 · edgar.xml · nonDerivative · entry 3 BUSSELL RODNEY L · CIK 0001171776 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,179 F1 · balance_after: This amount includes 3414 shares in EIP-1 and 152 shares in dividend reinvestment. Read SEC document |
| July 26, 2005 Filed Jul 28, 2005 16:04 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 54,000 | $25.36 | $1,369,305.00 |
DisclosureSEC source: 0000018230-05-000498 · edgar.xml · nonDerivative · entry 2 BUSSELL RODNEY L · CIK 0001171776 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 105,329 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 |
| July 26, 2005 Filed Jul 28, 2005 16:04 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 21,150 | $26.77 | $566,079.75 |
DisclosureSEC source: 0000018230-05-000498 · edgar.xml · nonDerivative · entry 1 BUSSELL RODNEY L · CIK 0001171776 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,329 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 |
| July 20, 2005 Filed Jul 21, 2005 15:28 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 13,712 | $0.00 Strike: $31.17 | $0.00 |
DisclosureSEC source: 0000018230-05-000489 · edgar.xml · derivative · entry 4 BUSSELL RODNEY L · CIK 0001171776 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 13,712 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. 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 |
| July 20, 2005 Filed Jul 21, 2005 15:28 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 10,300 | $52.91 | $544,973.00 |
DisclosureSEC source: 0000018230-05-000489 · edgar.xml · nonDerivative · entry 2 BUSSELL RODNEY L · CIK 0001171776 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,179 F1 · balance_after: This amount includes 3414 shares in EIP-1 and 152 shares in dividend reinvestment. Read SEC document |
| July 20, 2005 Filed Jul 21, 2005 15:28 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 13,712 | $31.17 | $427,429.09 |
DisclosureSEC source: 0000018230-05-000489 · edgar.xml · nonDerivative · entry 1 BUSSELL RODNEY L · CIK 0001171776 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,479 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 |
| July 19, 2005 Filed Jul 20, 2005 18:48 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 13,330 | $0.00 Strike: $27.84 | $0.00 |
DisclosureSEC source: 0000018230-05-000484 · edgar.xml · derivative · entry 7 BUSSELL RODNEY L · CIK 0001171776 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 13,330 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. 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 |
| July 19, 2005 Filed Jul 20, 2005 18:48 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 9,499 | $52.84 | $501,927.16 |
DisclosureSEC source: 0000018230-05-000484 · edgar.xml · nonDerivative · entry 4 BUSSELL RODNEY L · CIK 0001171776 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,767 F1 · balance_after: This amount includes 3414 shares in EIP-1 and 152 shares in dividend reinvestment. 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 7772 additional shares of common stock. Read SEC document |
| July 19, 2005 Filed Jul 20, 2005 18:48 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 13,330 | $27.84 | $371,157.85 |
DisclosureSEC source: 0000018230-05-000484 · edgar.xml · nonDerivative · entry 3 BUSSELL RODNEY L · CIK 0001171776 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,266 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 |
| July 18, 2005 Filed Jul 20, 2005 18:48 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 10,972 | $0.00 Strike: $25.83 | $0.00 |
DisclosureSEC source: 0000018230-05-000484 · edgar.xml · derivative · entry 6 BUSSELL RODNEY L · CIK 0001171776 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 10,972 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. 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 |
| July 18, 2005 Filed Jul 20, 2005 18:48 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 7,146 | $51.06 | $364,839.03 |
DisclosureSEC source: 0000018230-05-000484 · edgar.xml · nonDerivative · entry 2 BUSSELL RODNEY L · CIK 0001171776 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,936 Read SEC document |
| July 18, 2005 Filed Jul 20, 2005 18:48 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 10,972 | $25.83 | $283,385.91 |
DisclosureSEC source: 0000018230-05-000484 · edgar.xml · nonDerivative · entry 1 BUSSELL RODNEY L · CIK 0001171776 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,082 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 10, 2005 Filed May 12, 2005 13:42 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 4,957 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000390 · edgar.xml · nonDerivative · entry 2 BUSSELL RODNEY L · CIK 0001171776 · Vice President 10b5-1 filing: Not disclosed Ownership: Indirect · Owned by Wife Disclosed balance after: 10,000 F2 · ownership.nature: Reporting person disclaims beneficial ownership. Read SEC document |
| May 10, 2005 Filed May 12, 2005 13:42 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 4,957 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000390 · edgar.xml · nonDerivative · entry 1 BUSSELL RODNEY L · CIK 0001171776 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,531 F1 · balance_after: This amount includes 1700 shares in EIP-1 and 59 shares in dividend reinvestment. Read SEC document |
| March 01, 2005 Filed Mar 3, 2005 15:36 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 197 | $96.02 | $18,915.94 |
DisclosureSEC source: 0000018230-05-000257 · edgar.xml · nonDerivative · entry 1 BUSSELL RODNEY L · CIK 0001171776 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,480 F3 · kind: Amount reflects shares sold to satisfy tax withholding requirements upon the vesting of previously restricted stock. F1 · balance_after: This amount includes 1692 shares in EIP-1 and 59 shares in dividend reinvestment. Read SEC document |
| February 18, 2005 Filed Feb 22, 2005 16:47 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherOption (NQ) · Derivative | 30,000 | $0.00 Strike: $91.29 | $0.00 |
DisclosureSEC source: 0000018230-05-000151 · edgar.xml · derivative · entry 3 BUSSELL RODNEY L · CIK 0001171776 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common · 30,000 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 30,000 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 30,000 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 30,000 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 |
| December 03, 2004 Filed Dec 6, 2004 19:51 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 110 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000697 · edgar.xml · nonDerivative · entry 1 BUSSELL RODNEY L · CIK 0001171776 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,673 F1 · balance_after: This amount includes 1688 shares in EIP-1 and 59 shares in dividend reinvestment. Read SEC document |
| June 08, 2004 Filed Jun 10, 2004 15:04 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherOption (NQ) · Derivative | 30,000 | $0.00 Strike: $77.26 | $0.00 |
DisclosureSEC source: 0000018230-04-000394 · edgar.xml · derivative · entry 3 BUSSELL RODNEY L · CIK 0001171776 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common · 30,000 shares Expires 2014-06-08 F3 · security: This option was granted with attached tax withholding rights. F4 · kind: Grant to reporting person of option to buy 30,000 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. F4 · price: Grant to reporting person of option to buy 30,000 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. F4 · derivative.exercise_date: Grant to reporting person of option to buy 30,000 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 |
| April 01, 2004 Filed Apr 2, 2004 14:52 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon | 500 | $79.27 | $39,635.00 |
DisclosureSEC source: 0000018230-04-000204 · edgar.xml · nonDerivative · entry 1 BUSSELL RODNEY L · CIK 0001171776 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,534 F3 · kind: Restricted stock awarded pursuant to Caterpillar Inc. 1996 Stock Option and Long-Term Incentive Plan. F1 · balance_after: This amount includes 1663 shares in EIP-1 and 852 shares in dividend reinvestment. Read SEC document |
| March 01, 2004 Filed Mar 22, 2004 18:48 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 197 | $76.73 | $15,115.81 |
DisclosureSEC source: 0000018230-04-000171 · edgar.xml · nonDerivative · entry 1 BUSSELL RODNEY L · CIK 0001171776 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,034 F3 · kind: Amount reflects shares automatically sold to satisfy tax withholding requirements upon the vesting of previously restricted stock. F1 · balance_after: This amount includes 1663 shares in EIP-1 and 852 shares in dividend reinvestment. Read SEC document |
| January 30, 2004 Filed Feb 2, 2004 19:17 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 8,299 | $0.00 Strike: $38.41 | $0.00 |
DisclosureSEC source: 0000018230-04-000120 · edgar.xml · derivative · entry 7 BUSSELL RODNEY L · CIK 0001171776 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 8,299 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. 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 30, 2004 Filed Feb 2, 2004 19:17 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 2,601 | $0.00 Strike: $38.41 | $0.00 |
DisclosureSEC source: 0000018230-04-000120 · edgar.xml · derivative · entry 6 BUSSELL RODNEY L · CIK 0001171776 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 2,601 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. 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 30, 2004 Filed Feb 2, 2004 19:17 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 5,357 | $77.73 | $416,399.61 |
DisclosureSEC source: 0000018230-04-000120 · edgar.xml · nonDerivative · entry 4 BUSSELL RODNEY L · CIK 0001171776 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,231 F1 · balance_after: This amount includes 1663 shares in EIP-1 and 852 shares in dividend reinvestment. Read SEC document |
| January 30, 2004 Filed Feb 2, 2004 19:17 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 8,299 | $38.41 | $318,733.88 |
DisclosureSEC source: 0000018230-04-000120 · edgar.xml · nonDerivative · entry 3 BUSSELL RODNEY L · CIK 0001171776 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,588 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 |
| January 30, 2004 Filed Feb 2, 2004 19:17 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,285 | $77.73 | $99,883.05 |
DisclosureSEC source: 0000018230-04-000120 · edgar.xml · nonDerivative · entry 2 BUSSELL RODNEY L · CIK 0001171776 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,289 Read SEC document |
| January 30, 2004 Filed Feb 2, 2004 19:17 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 2,601 | $38.41 | $99,894.79 |
DisclosureSEC source: 0000018230-04-000120 · edgar.xml · nonDerivative · entry 1 BUSSELL RODNEY L · CIK 0001171776 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,574 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 |
| January 20, 2004 Filed Jan 20, 2004 17:45 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 130 | $83.11 | $10,804.30 |
DisclosureSEC source: 0000018230-04-000062 · edgar.xml · nonDerivative · entry 1 BUSSELL RODNEY L · CIK 0001171776 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,973 F1 · balance_after: This amount includes 1663 shares in EIP-1 and 852 shares in dividend reinvestment. Read SEC document |
| August 08, 2003 Filed Aug 11, 2003 14:54 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 150 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-03-000391 · edgar.xml · nonDerivative · entry 2 BUSSELL RODNEY L · CIK 0001171776 · Vice President 10b5-1 filing: Not disclosed Ownership: Indirect · Owned by Wife Disclosed balance after: 5,043 F2 · ownership.nature: Reporting person disclaims beneficial ownership. Read SEC document |
| July 22, 2003 Filed Jul 24, 2003 16:38 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 1,620 | $0.00 Strike: $32.91 | $0.00 |
DisclosureSEC source: 0000018230-03-000325 · edgar.xml · derivative · entry 3 BUSSELL RODNEY L · CIK 0001171776 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 1,620 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 |
| July 22, 2003 Filed Jul 24, 2003 16:38 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,060 | $64.41 | $68,269.30 |
DisclosureSEC source: 0000018230-03-000325 · edgar.xml · nonDerivative · entry 2 BUSSELL RODNEY L · CIK 0001171776 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,944 F1 · balance_after: This amount includes 1654 shares in EIP-1 and 702 shares in dividend reinvestment. In addition, 5,193 shares are held indirectly by wife. Read SEC document |
| July 22, 2003 Filed Jul 24, 2003 16:38 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 1,620 | $32.91 | $53,308.04 |
DisclosureSEC source: 0000018230-03-000325 · edgar.xml · nonDerivative · entry 1 BUSSELL RODNEY L · CIK 0001171776 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,004 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 |
| July 21, 2003 Filed Jul 23, 2003 16:09 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 2,762 | $0.00 Strike: $32.91 | $0.00 |
DisclosureSEC source: 0000018230-03-000315 · edgar.xml · derivative · entry 6 BUSSELL RODNEY L · CIK 0001171776 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 2,762 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 |
| July 21, 2003 Filed Jul 23, 2003 16:09 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 3,038 | $0.00 Strike: $32.91 | $0.00 |
DisclosureSEC source: 0000018230-03-000315 · edgar.xml · derivative · entry 5 BUSSELL RODNEY L · CIK 0001171776 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 3,038 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 |
| July 21, 2003 Filed Jul 23, 2003 16:09 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,794 | $65.33 | $117,193.05 |
DisclosureSEC source: 0000018230-03-000315 · edgar.xml · nonDerivative · entry 4 BUSSELL RODNEY L · CIK 0001171776 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,384 F1 · balance_after: This amount includes 1654 shares in EIP-1 and 702 shares in dividend reinvestment. In addition, 5,193 shares are held indirectly by wife. Read SEC document |
| July 21, 2003 Filed Jul 23, 2003 16:09 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 2,762 | $32.91 | $90,886.92 |
DisclosureSEC source: 0000018230-03-000315 · edgar.xml · nonDerivative · entry 3 BUSSELL RODNEY L · CIK 0001171776 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,178 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.