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 |
|---|---|---|---|
| CommonSEC Table I · non-derivative | Direct | 36,571 |
Reported balance
After 2006-01-31 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2006-01-31 · Sale · Disposed 4,715 · Balance 36,571 |
| CommonSEC Table I · non-derivative | Direct | 65,103 |
Reported balance
After 2006-01-31 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2006-01-31 · Exercise / conversion · Acquired 28,532 · Balance 65,103 |
| CommonSEC Table I · non-derivative | Direct | 36,571 |
Reported balance
After 2006-01-31 transaction · row 3
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 3 · 2006-01-31 · Sale · Disposed 28,532 · Balance 36,571 F1: This amount includes 10,948 shares in 401K and 6411 shares in SEIP. |
| Employee Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $19.20 · Expires 2010-06-12 | Direct | 0 |
Reported balance
After 2006-01-31 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2006-01-31 · Exercise / conversion · Disposed 28,532 · 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 10,948 shares in 401K and 6411 shares in SEIP.
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 |
|---|---|---|---|---|---|---|
| January 31, 2006 Filed Feb 1, 2006 19:15 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 28,532 | $0.00 Strike: $19.20 | $0.00 |
DisclosureSEC source: 0000018230-06-000064 · edgar.xml · derivative · entry 4 MURPHY DANIEL M · CIK 0001171791 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 28,532 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. 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 |
| January 31, 2006 Filed Feb 1, 2006 19:15 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 28,532 | $66.79 | $1,905,655.13 |
DisclosureSEC source: 0000018230-06-000064 · edgar.xml · nonDerivative · entry 3 MURPHY DANIEL M · CIK 0001171791 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,571 F1 · balance_after: This amount includes 10,948 shares in 401K and 6411 shares in SEIP. Read SEC document |
| January 31, 2006 Filed Feb 1, 2006 19:15 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 28,532 | $19.20 | $547,905.70 |
DisclosureSEC source: 0000018230-06-000064 · edgar.xml · nonDerivative · entry 2 MURPHY DANIEL M · CIK 0001171791 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,103 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 31, 2006 Filed Feb 1, 2006 19:15 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 4,715 | $66.79 | $314,895.99 |
DisclosureSEC source: 0000018230-06-000064 · edgar.xml · nonDerivative · entry 1 MURPHY DANIEL M · CIK 0001171791 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,571 Read SEC document |
| December 30, 2005 Filed Jan 5, 2006 16:26 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 172 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-06-000016 · edgar.xml · nonDerivative · entry 1 MURPHY DANIEL M · CIK 0001171791 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,945 F1 · balance_after: This amount includes 10,948 shares in 401K, 6,411 shares in SEIP and 2 shares in dividend reinvestment. F2 · balance_after: On July 14, 2005, the common stock of Caterpillar Inc. split 2-for-1, resulting in the reporting person's acquisition of 10.378 additional shares of common stock. Read SEC document |
| March 04, 2005 Filed Mar 8, 2005 16:47 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 393 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000281 · edgar.xml · derivative · entry 2 MURPHY DANIEL M · CIK 0001171791 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 393 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · 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. F3 · 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 01, 2005 Filed Mar 2, 2005 17:19 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon | 250 | $96.02 | $24,005.00 |
DisclosureSEC source: 0000018230-05-000251 · edgar.xml · nonDerivative · entry 1 MURPHY DANIEL M · CIK 0001171791 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,904 F2 · kind: Restricted stock awarded pursuant to Caterpillar Inc. 1996 Stock Option and Long-Term Incentive Plan. F1 · balance_after: This amount includes 6701 shares in 401K and 2825 shares in SEIP. Read SEC document |
| February 18, 2005 Filed Feb 22, 2005 17:23 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherOption (NQ) · Derivative | 30,000 | $0.00 Strike: $91.29 | $0.00 |
DisclosureSEC source: 0000018230-05-000164 · edgar.xml · derivative · entry 2 MURPHY DANIEL M · CIK 0001171791 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common · 30,000 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 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. F3 · 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. F3 · 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 |
| November 04, 2004 Filed Nov 4, 2004 22:27 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 5,978 | $85.00 | $508,130.00 |
DisclosureSEC source: 0000018230-04-000623 · edgar.xml · nonDerivative · entry 1 MURPHY DANIEL M · CIK 0001171791 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,478 F1 · balance_after: This amount includes 6687 shares in 401K and 2663 shares in SEIP. Read SEC document |
| November 02, 2004 Filed Nov 3, 2004 15:38 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 100 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000612 · edgar.xml · nonDerivative · entry 1 MURPHY DANIEL M · CIK 0001171791 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,456 F1 · balance_after: This amount includes 6687 shares in 401K and 2663 shares in SEIP. Read SEC document |
| August 02, 2004 Filed Aug 3, 2004 13:20 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 400 | $72.88 | $29,152.00 |
DisclosureSEC source: 0000018230-04-000488 · edgar.xml · nonDerivative · entry 1 MURPHY DANIEL M · CIK 0001171791 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,322 F1 · balance_after: This amount includes 6651 shares in 401K and 2465 shares in SEIP. Read SEC document |
| June 08, 2004 Filed Jun 10, 2004 15:37 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherOption (NQ) · Derivative | 30,000 | $0.00 Strike: $77.26 | $0.00 |
DisclosureSEC source: 0000018230-04-000409 · edgar.xml · derivative · entry 2 MURPHY DANIEL M · CIK 0001171791 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common · 30,000 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 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. F3 · 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. F3 · 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 |
| May 11, 2004 Filed May 12, 2004 14:25 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 378 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000308 · edgar.xml · nonDerivative · entry 1 MURPHY DANIEL M · CIK 0001171791 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,450 F1 · balance_after: This amount includes 6417 shares in 401K and 2427 shares in SEIP. Read SEC document |
| May 11, 2004 Filed May 12, 2004 14:24 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 378 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000309 · edgar.xml · nonDerivative · entry 1 MURPHY DANIEL M · CIK 0001171791 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,450 F1 · balance_after: This amount includes 6417 shares in 401K and 2427 shares in SEIP. Read SEC document |
| May 11, 2004 Filed May 12, 2004 14:21 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 378 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000310 · edgar.xml · nonDerivative · entry 1 MURPHY DANIEL M · CIK 0001171791 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,450 F1 · balance_after: This amount includes 6417 shares in 401K and 2427 shares in SEIP. Read SEC document |
| May 11, 2004 Filed May 12, 2004 14:30 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 378 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000311 · edgar.xml · nonDerivative · entry 1 MURPHY DANIEL M · CIK 0001171791 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,450 F1 · balance_after: This amount includes 6417 shares in 401K and 2427 shares in SEIP. Read SEC document |
| April 19, 2004 Filed Apr 20, 2004 20:16 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 375 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000269 · edgar.xml · nonDerivative · entry 1 MURPHY DANIEL M · CIK 0001171791 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,551 F1 · balance_after: This amount includes 6224 shares in 401K and 2343 shares in SEIP. Read SEC document |
| March 31, 2004 Filed Apr 19, 2004 19:04 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 454 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000266 · edgar.xml · derivative · entry 2 MURPHY DANIEL M · CIK 0001171791 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 454 shares Expires 1988-08-08 F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · 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. F3 · 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 |
| February 20, 2004 Filed Feb 23, 2004 15:25 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 1,734 | $0.00 Strike: $38.41 | $0.00 |
DisclosureSEC source: 0000018230-04-000132 · edgar.xml · derivative · entry 3 MURPHY DANIEL M · CIK 0001171791 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 1,734 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. 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 20, 2004 Filed Feb 23, 2004 15:25 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 860 | $77.37 | $66,538.20 |
DisclosureSEC source: 0000018230-04-000132 · edgar.xml · nonDerivative · entry 2 MURPHY DANIEL M · CIK 0001171791 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,926 F1 · balance_after: This amount includes 6224 shares in 401K and 2343 shares in SEIP. Read SEC document |
| February 20, 2004 Filed Feb 23, 2004 15:25 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 1,734 | $38.41 | $66,596.52 |
DisclosureSEC source: 0000018230-04-000132 · edgar.xml · nonDerivative · entry 1 MURPHY DANIEL M · CIK 0001171791 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,786 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 17:28 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 402 | $83.11 | $33,410.22 |
DisclosureSEC source: 0000018230-04-000052 · edgar.xml · nonDerivative · entry 1 MURPHY DANIEL M · CIK 0001171791 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,052 F1 · balance_after: This amount includes 6224 shares in 401K and 2343 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.