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 |
|---|---|---|---|---|---|---|
| July 21, 2003 Filed Jul 23, 2003 16:09 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,530 | $65.33 | $99,947.25 |
DisclosureSEC source: 0000018230-03-000315 · edgar.xml · nonDerivative · entry 2 BUSSELL RODNEY L · CIK 0001171776 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,416 Read SEC document |
| July 21, 2003 Filed Jul 23, 2003 16:09 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 3,038 | $32.91 | $99,969.04 |
DisclosureSEC source: 0000018230-03-000315 · edgar.xml · nonDerivative · entry 1 BUSSELL RODNEY L · CIK 0001171776 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,946 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.