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 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2006-01-31 · Grant · Acquired 35 · Balance 0 F2: Security converts to common stock on a one-for-one basis. F3: 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 | 21,056 |
Reported balance
Holding disclosure · report date 2006-01-31 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 21,056 F1: This amount includes 13,563 shares in 401K, 2918 shares in SEIP and 73 shares in dividend reinvestment. |
Filing footnotes · ownership attribution and instrument terms
F1: This amount includes 13,563 shares in 401K, 2918 shares in SEIP and 73 shares in dividend reinvestment.
F2: Security converts to common stock on a one-for-one basis.
F3: 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 |
|---|---|---|---|---|---|---|
| July 18, 2003 Filed Aug 4, 2003 19:27 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 466 | $64.63 | $30,117.58 |
DisclosureSEC source: 0000018230-03-000378 · edgar.xml · nonDerivative · entry 2 PARKER JAMES J · CIK 0001173559 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,447 F1 · balance_after: This amount includes 3152 shares in EIP-1, 2551 shares in 401K and 757 shares in SEIP. Read SEC document |
| July 18, 2003 Filed Aug 4, 2003 19:27 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 1,000 | $30.16 | $30,156.20 |
DisclosureSEC source: 0000018230-03-000378 · edgar.xml · nonDerivative · entry 1 PARKER JAMES J · CIK 0001173559 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,913 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 30, 2003 Filed Jul 10, 2003 16:11 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 34 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-03-000280 · edgar.xml · derivative · entry 1 PARKER JAMES J · CIK 0001173559 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 34 shares Expires 1988-08-08 F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · 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. F2 · 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. F1 · balance_after: Directly held shares from Table I are 7,913 shares that includes 3152 shares in EIP-1, 2551 shares in 401K and 757 shares in SEIP. Read SEC document |
| May 30, 2003 Filed Jun 2, 2003 22:13 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 37 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-03-000228 · edgar.xml · derivative · entry 1 PARKER JAMES J · CIK 0001173559 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 37 shares Expires 1988-08-08 F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · 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. F2 · 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. F1 · balance_after: Directly held shares from Table I are 7,502 shares that includes 3107 shares in EIP-1, 2191 shares in 401K and 751 shares in SEIP. 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.