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 | 24,563 |
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 · Exercise / conversion · Acquired 12,000 · Balance 24,563 |
| CommonSEC Table I · non-derivative | Direct | 12,563 |
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 · Sale · Disposed 12,000 · Balance 12,563 F1: This amount includes 3039 shares in 401K, 1034 shares in SEIP and 64 shares in dividend reinvestment. F2: On July 14, 2005, the common stock of Caterpillar Inc. split 2-for-1, resulting in the reporting person's acquisition of 4213 additional shares of common stock. |
| Employee Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $25.36 · Expires 2012-06-11 | 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 · Exercise / conversion · Disposed 12,000 · 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. |
Filing footnotes · ownership attribution and instrument terms
F1: This amount includes 3039 shares in 401K, 1034 shares in SEIP and 64 shares in dividend reinvestment.
F2: On July 14, 2005, the common stock of Caterpillar Inc. split 2-for-1, resulting in the reporting person's acquisition of 4213 additional shares of common stock.
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 |
|---|---|---|---|---|---|---|
| January 31, 2006 Filed Feb 1, 2006 17:20 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 12,000 | $0.00 Strike: $25.36 | $0.00 |
DisclosureSEC source: 0000018230-06-000059 · edgar.xml · derivative · entry 3 PFLEDERER MARK R · CIK 0001273772 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 12,000 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 |
| January 31, 2006 Filed Feb 1, 2006 17:20 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 12,000 | $66.93 | $803,136.00 |
DisclosureSEC source: 0000018230-06-000059 · edgar.xml · nonDerivative · entry 2 PFLEDERER MARK R · CIK 0001273772 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,563 F1 · balance_after: This amount includes 3039 shares in 401K, 1034 shares in SEIP and 64 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 4213 additional shares of common stock. Read SEC document |
| January 31, 2006 Filed Feb 1, 2006 17:20 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 12,000 | $25.36 | $304,290.00 |
DisclosureSEC source: 0000018230-06-000059 · edgar.xml · nonDerivative · entry 1 PFLEDERER MARK R · CIK 0001273772 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,563 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 |
| March 04, 2005 Filed Mar 8, 2005 16:44 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 591 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000278 · edgar.xml · derivative · entry 2 PFLEDERER MARK R · CIK 0001273772 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 591 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 |
| February 18, 2005 Filed Feb 22, 2005 19:33 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 204 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000205 · edgar.xml · derivative · entry 3 PFLEDERER MARK R · CIK 0001273772 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 204 Underlying: Common · 204 shares Expires not disclosed F4 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F5 · 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. F5 · 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 18, 2005 Filed Feb 22, 2005 19:33 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherOption (NQ) · Derivative | 30,000 | $0.00 Strike: $91.29 | $0.00 |
DisclosureSEC source: 0000018230-05-000205 · edgar.xml · derivative · entry 2 PFLEDERER MARK R · CIK 0001273772 · 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 |
| June 08, 2004 Filed Jun 10, 2004 16:10 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherOption (NQ) · Derivative | 27,000 | $0.00 Strike: $77.26 | $0.00 |
DisclosureSEC source: 0000018230-04-000418 · edgar.xml · derivative · entry 2 PFLEDERER MARK R · CIK 0001273772 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,000 Underlying: Common · 27,000 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 27,000 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 27,000 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 27,000 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 |
| March 31, 2004 Filed Apr 19, 2004 19:16 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 226 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000267 · edgar.xml · derivative · entry 2 PFLEDERER MARK R · CIK 0001273772 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 226 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 |
| January 20, 2004 Filed Jan 20, 2004 17:32 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 64 | $83.11 | $5,319.04 |
DisclosureSEC source: 0000018230-04-000055 · edgar.xml · nonDerivative · entry 1 PFLEDERER MARK R · CIK 0001273772 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,161 F1 · balance_after: This amount includes 861 shares in 401K, 61 shares in SEIP and 26 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.