Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CATERPILLAR INCCAT · Entity 2808 | Vice President | January 31, 2006 | February 01, 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 January 31, 2006 · Filed February 01, 2006
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Phantom Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2006-01-31 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2006-01-31 · Grant · Acquired 35 · Balance 0 F3: Security converts to common stock on a one-for-one basis. F4: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or other termination of service. |
| CommonSEC Table I · non-derivative | Direct | 43,564 |
Reported balance
Holding disclosure · report date 2006-01-31 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 43,564 F1: This amount includes 24,994 shares in 401K, 981 shares in SEIP and 391 shares in dividend reinvestment. |
| CommonSEC Table I · non-derivative | IndirectOwned by Wife | 390 |
Reported balance
Holding disclosure · report date 2006-01-31 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 390 F2: Reporting person disclaims beneficial ownership. |
Filing footnotes · ownership attribution and instrument terms
F1: This amount includes 24,994 shares in 401K, 981 shares in SEIP and 391 shares in dividend reinvestment.
F2: Reporting person disclaims beneficial ownership.
F3: Security converts to common stock on a one-for-one basis.
F4: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or other termination of service.
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 |
|---|---|---|---|---|---|---|
| May 07, 2004 Filed May 10, 2004 14:23 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,689 | $77.82 | $131,437.98 |
DisclosureSEC source: 0000018230-04-000298 · edgar.xml · nonDerivative · entry 2 BAHAJ ALI M · CIK 0001172565 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,472 F1 · balance_after: This amount includes 8684 shares in EIP-1, 34 shares in SEIP and 42 shares in dividend reinvestment. Read SEC document |
| May 07, 2004 Filed May 10, 2004 14:23 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 2,850 | $32.91 | $93,782.67 |
DisclosureSEC source: 0000018230-04-000298 · edgar.xml · nonDerivative · entry 1 BAHAJ ALI M · CIK 0001172565 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,161 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 8684 shares in EIP-1, 34 shares in SEIP and 42 shares in dividend reinvestment. Read SEC document |
| April 30, 2004 Filed May 4, 2004 20:41 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 27 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000290 · edgar.xml · derivative · entry 3 BAHAJ ALI M · CIK 0001172565 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 27 shares Expires 1988-08-08 F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F4 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or other termination of service. F4 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or other termination of service. Read SEC document |
| March 31, 2004 Filed Apr 2, 2004 16:58 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 24 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000212 · edgar.xml · derivative · entry 3 BAHAJ ALI M · CIK 0001172565 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 24 shares Expires 1988-08-08 F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F4 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or other termination of service. F4 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or other termination of service. Read SEC document |
| March 31, 2004 Filed Apr 19, 2004 18:42 UTC Amendment | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 538 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000258 · edgar.xml · derivative · entry 3 BAHAJ ALI M · CIK 0001172565 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 538 shares Expires 1988-08-08 F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F4 · derivative.exercise_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or other termination of service. F4 · derivative.expiration_date: The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or other termination of service. Read SEC document |
| March 05, 2004 Filed Mar 8, 2004 14:03 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 2,000 | $0.00 Strike: $32.91 | $0.00 |
DisclosureSEC source: 0000018230-04-000157 · edgar.xml · derivative · entry 3 BAHAJ ALI M · CIK 0001172565 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 2,000 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 |
| March 05, 2004 Filed Mar 8, 2004 14:03 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 2,000 | $32.91 | $65,812.40 |
DisclosureSEC source: 0000018230-04-000157 · edgar.xml · nonDerivative · entry 1 BAHAJ ALI M · CIK 0001172565 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,170 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 8543 shares in EIP-1, 34 shares in SEIP and 42 shares in dividend reinvestment. Read SEC document |
| January 20, 2004 Filed Jan 20, 2004 16:55 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 63 | $83.11 | $5,235.93 |
DisclosureSEC source: 0000018230-04-000043 · edgar.xml · nonDerivative · entry 1 BAHAJ ALI M · CIK 0001172565 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,170 F1 · balance_after: This amount includes 8543 shares in EIP-1, 34 shares in SEIP and 42 shares in dividend reinvestment. Read SEC document |
| July 28, 2003 Filed Jul 29, 2003 19:27 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 1,038 | $0.00 Strike: $32.91 | $0.00 |
DisclosureSEC source: 0000018230-03-000347 · edgar.xml · derivative · entry 5 BAHAJ ALI M · CIK 0001172565 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 1,038 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. 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 28, 2003 Filed Jul 29, 2003 19:27 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 1,500 | $0.00 Strike: $30.16 | $0.00 |
DisclosureSEC source: 0000018230-03-000347 · edgar.xml · derivative · entry 4 BAHAJ ALI M · CIK 0001172565 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 1,500 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. 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 28, 2003 Filed Jul 29, 2003 19:27 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 1,038 | $32.91 | $34,156.64 |
DisclosureSEC source: 0000018230-03-000347 · edgar.xml · nonDerivative · entry 2 BAHAJ ALI M · CIK 0001172565 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,159 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 8501 shares in EIP-1, 34 shares in SEIP and 10 shares in dividend reinvestment. Read SEC document |
| July 28, 2003 Filed Jul 29, 2003 19:27 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 1,500 | $30.16 | $45,234.30 |
DisclosureSEC source: 0000018230-03-000347 · edgar.xml · nonDerivative · entry 1 BAHAJ ALI M · CIK 0001172565 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,121 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 05, 2003 Filed May 7, 2003 14:05 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 1,300 | $0.00 Strike: $30.16 | $0.00 |
DisclosureSEC source: 0000018230-03-000200 · edgar.xml · derivative · entry 3 BAHAJ ALI M · CIK 0001172565 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 1,300 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. 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 |
| May 05, 2003 Filed May 7, 2003 14:05 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherCommon | 0 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-03-000200 · edgar.xml · nonDerivative · entry 2 BAHAJ ALI M · CIK 0001172565 · Vice President 10b5-1 filing: Not disclosed Ownership: Indirect · Owned by Wife Disclosed balance after: 195 F5 · kind: Wife had no transactions to report. F2 · ownership.nature: Reporting person disclaims beneficial ownership. Read SEC document |
| May 05, 2003 Filed May 7, 2003 14:05 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 1,300 | $30.16 | $39,203.06 |
DisclosureSEC source: 0000018230-03-000200 · edgar.xml · nonDerivative · entry 1 BAHAJ ALI M · CIK 0001172565 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,499 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 8379 shares in EIP-1, 34 shares in SEIP and 10 shares in dividend reinvestment. 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.