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 | 50,221 |
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 13,330 · Balance 50,221 |
| CommonSEC Table I · non-derivative | Direct | 63,933 |
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 13,712 · Balance 63,933 |
| CommonSEC Table I · non-derivative | Direct | 36,891 |
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 27,042 · Balance 36,891 |
| CommonSEC Table I · non-derivative | Direct | 40,759 |
Reported balance
After 2006-01-31 transaction · row 4
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 4 · 2006-01-31 · Exercise / conversion · Acquired 3,868 · Balance 40,759 |
| CommonSEC Table I · non-derivative | Direct | 44,349 |
Reported balance
After 2006-01-31 transaction · row 5
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 5 · 2006-01-31 · Exercise / conversion · Acquired 3,590 · Balance 44,349 F1: This amount includes 16,726 shares in 401K; 313 shares in SEIP and 517 shares in dividend reinvestment. |
| Employee Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $27.84 · Expires 2008-06-09 | Direct | 0 |
Reported balance
After 2006-01-31 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2006-01-31 · Exercise / conversion · Disposed 13,330 · 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. |
| Employee Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $31.17 · Expires 2009-06-08 | Direct | 0 |
Reported balance
After 2006-01-31 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2006-01-31 · Exercise / conversion · Disposed 13,712 · 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. |
| Employee Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $25.83 · Expires 2007-06-10 | Direct | 0 |
Reported balance
After 2006-01-31 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2006-01-31 · Exercise / conversion · Disposed 3,868 · 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. |
| Employee Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $27.84 · Expires 2008-06-09 | Direct | 0 |
Reported balance
After 2006-01-31 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2006-01-31 · Exercise / conversion · Disposed 3,590 · 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 16,726 shares in 401K; 313 shares in SEIP and 517 shares in dividend reinvestment.
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 17:20 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 3,590 | $0.00 Strike: $27.84 | $0.00 |
DisclosureSEC source: 0000018230-06-000058 · edgar.xml · derivative · entry 9 SCHENA CHRISTIANO V · CIK 0001204588 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 3,590 shares Expires 2008-06-09 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 17:20 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 3,868 | $0.00 Strike: $25.83 | $0.00 |
DisclosureSEC source: 0000018230-06-000058 · edgar.xml · derivative · entry 8 SCHENA CHRISTIANO V · CIK 0001204588 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 3,868 shares Expires 2007-06-10 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 17:20 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 13,712 | $0.00 Strike: $31.17 | $0.00 |
DisclosureSEC source: 0000018230-06-000058 · edgar.xml · derivative · entry 7 SCHENA CHRISTIANO V · CIK 0001204588 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 13,712 shares Expires 2009-06-08 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 17:20 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 13,330 | $0.00 Strike: $27.84 | $0.00 |
DisclosureSEC source: 0000018230-06-000058 · edgar.xml · derivative · entry 6 SCHENA CHRISTIANO V · CIK 0001204588 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 13,330 shares Expires 2008-06-09 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 17:20 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 3,590 | $27.84 | $99,959.24 |
DisclosureSEC source: 0000018230-06-000058 · edgar.xml · nonDerivative · entry 5 SCHENA CHRISTIANO V · CIK 0001204588 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,349 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 16,726 shares in 401K; 313 shares in SEIP and 517 shares in dividend reinvestment. Read SEC document |
| January 31, 2006 Filed Feb 1, 2006 17:20 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 3,868 | $25.83 | $99,903.09 |
DisclosureSEC source: 0000018230-06-000058 · edgar.xml · nonDerivative · entry 4 SCHENA CHRISTIANO V · CIK 0001204588 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,759 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 17:20 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 27,042 | $67.63 | $1,828,799.08 |
DisclosureSEC source: 0000018230-06-000058 · edgar.xml · nonDerivative · entry 3 SCHENA CHRISTIANO V · CIK 0001204588 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,891 Read SEC document |
| January 31, 2006 Filed Feb 1, 2006 17:20 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 13,712 | $31.17 | $427,429.09 |
DisclosureSEC source: 0000018230-06-000058 · edgar.xml · nonDerivative · entry 2 SCHENA CHRISTIANO V · CIK 0001204588 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,933 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 17:20 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 13,330 | $27.84 | $371,157.85 |
DisclosureSEC source: 0000018230-06-000058 · edgar.xml · nonDerivative · entry 1 SCHENA CHRISTIANO V · CIK 0001204588 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,221 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 |
| July 26, 2005 Filed Jul 28, 2005 16:13 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 6,076 | $0.00 Strike: $16.45 | $0.00 |
DisclosureSEC source: 0000018230-05-000503 · edgar.xml · derivative · entry 6 SCHENA CHRISTIANO V · CIK 0001204588 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 6,076 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 26, 2005 Filed Jul 28, 2005 16:13 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 13,052 | $0.00 Strike: $25.83 | $0.00 |
DisclosureSEC source: 0000018230-05-000503 · edgar.xml · derivative · entry 5 SCHENA CHRISTIANO V · CIK 0001204588 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 13,052 shares Expires 2007-06-10 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 26, 2005 Filed Jul 28, 2005 16:13 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,925 | $51.92 | $99,946.00 |
DisclosureSEC source: 0000018230-05-000503 · edgar.xml · nonDerivative · entry 4 SCHENA CHRISTIANO V · CIK 0001204588 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,669 F1 · balance_after: This amount includes 16,620 shares in 401K; 310 shares in SEIP and 404 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 7592 additional shares of common stock. Read SEC document |
| July 26, 2005 Filed Jul 28, 2005 16:13 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 6,076 | $16.45 | $99,969.04 |
DisclosureSEC source: 0000018230-05-000503 · edgar.xml · nonDerivative · entry 3 SCHENA CHRISTIANO V · CIK 0001204588 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,594 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 |
| July 26, 2005 Filed Jul 28, 2005 16:13 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 13,052 | $51.92 | $677,680.72 |
DisclosureSEC source: 0000018230-05-000503 · edgar.xml · nonDerivative · entry 2 SCHENA CHRISTIANO V · CIK 0001204588 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,518 Read SEC document |
| July 26, 2005 Filed Jul 28, 2005 16:13 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 13,052 | $25.83 | $337,108.36 |
DisclosureSEC source: 0000018230-05-000503 · edgar.xml · nonDerivative · entry 1 SCHENA CHRISTIANO V · CIK 0001204588 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,570 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 |
| February 18, 2005 Filed Feb 22, 2005 18:47 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherOption (NQ) · Derivative | 30,000 | $0.00 Strike: $91.29 | $0.00 |
DisclosureSEC source: 0000018230-05-000182 · edgar.xml · derivative · entry 2 SCHENA CHRISTIANO V · CIK 0001204588 · 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 |
| October 27, 2004 Filed Oct 29, 2004 13:34 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 3,262 | $0.00 Strike: $32.91 | $0.00 |
DisclosureSEC source: 0000018230-04-000590 · edgar.xml · derivative · entry 3 SCHENA CHRISTIANO V · CIK 0001204588 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 3,262 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. 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 |
| October 27, 2004 Filed Oct 29, 2004 13:34 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,906 | $80.04 | $152,546.71 |
DisclosureSEC source: 0000018230-04-000590 · edgar.xml · nonDerivative · entry 2 SCHENA CHRISTIANO V · CIK 0001204588 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,760 F1 · balance_after: This amount includes 7892 shares in 401K; 154 shares in SEIP and 122 shares in dividend reinvestment. Read SEC document |
| October 27, 2004 Filed Oct 29, 2004 13:34 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 3,262 | $32.91 | $107,340.02 |
DisclosureSEC source: 0000018230-04-000590 · edgar.xml · nonDerivative · entry 1 SCHENA CHRISTIANO V · CIK 0001204588 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,666 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 |
| October 26, 2004 Filed Oct 28, 2004 14:12 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 1,000 | $79.29 | $79,290.00 |
DisclosureSEC source: 0000018230-04-000584 · edgar.xml · nonDerivative · entry 2 SCHENA CHRISTIANO V · CIK 0001204588 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,404 F1 · balance_after: This amount includes 7892 shares in 401K; 154 shares in SEIP and 122 shares in dividend reinvestment. Read SEC document |
| October 26, 2004 Filed Oct 28, 2004 14:12 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 1,221 | $79.26 | $96,776.46 |
DisclosureSEC source: 0000018230-04-000584 · edgar.xml · nonDerivative · entry 1 SCHENA CHRISTIANO V · CIK 0001204588 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,404 Read SEC document |
| June 08, 2004 Filed Jun 10, 2004 16:12 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherOption (NQ) · Derivative | 27,000 | $0.00 Strike: $77.26 | $0.00 |
DisclosureSEC source: 0000018230-04-000420 · edgar.xml · derivative · entry 2 SCHENA CHRISTIANO V · CIK 0001204588 · 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 |
| April 28, 2004 Filed Apr 29, 2004 15:18 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 2,984 | $0.00 Strike: $30.16 | $0.00 |
DisclosureSEC source: 0000018230-04-000275 · edgar.xml · derivative · entry 7 SCHENA CHRISTIANO V · CIK 0001204588 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 2,984 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. 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 |
| April 28, 2004 Filed Apr 29, 2004 15:18 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 2,800 | $80.51 | $225,428.00 |
DisclosureSEC source: 0000018230-04-000275 · edgar.xml · nonDerivative · entry 5 SCHENA CHRISTIANO V · CIK 0001204588 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,025 F1 · balance_after: This amount includes 7411 shares in 401K; 63 shares in SEIP and 94 shares in dividend reinvestment. Read SEC document |
| April 28, 2004 Filed Apr 29, 2004 15:18 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 184 | $80.52 | $14,815.68 |
DisclosureSEC source: 0000018230-04-000275 · edgar.xml · nonDerivative · entry 4 SCHENA CHRISTIANO V · CIK 0001204588 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,825 Read SEC document |
| April 28, 2004 Filed Apr 29, 2004 15:18 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 2,984 | $30.16 | $89,986.10 |
DisclosureSEC source: 0000018230-04-000275 · edgar.xml · nonDerivative · entry 3 SCHENA CHRISTIANO V · CIK 0001204588 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,009 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 |
| April 27, 2004 Filed Apr 29, 2004 15:18 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 3,316 | $0.00 Strike: $30.16 | $0.00 |
DisclosureSEC source: 0000018230-04-000275 · edgar.xml · derivative · entry 6 SCHENA CHRISTIANO V · CIK 0001204588 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 3,316 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. 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 |
| April 27, 2004 Filed Apr 29, 2004 15:18 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,227 | $81.46 | $99,945.29 |
DisclosureSEC source: 0000018230-04-000275 · edgar.xml · nonDerivative · entry 2 SCHENA CHRISTIANO V · CIK 0001204588 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,025 Read SEC document |
| April 27, 2004 Filed Apr 29, 2004 15:18 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 3,316 | $30.16 | $99,997.96 |
DisclosureSEC source: 0000018230-04-000275 · edgar.xml · nonDerivative · entry 1 SCHENA CHRISTIANO V · CIK 0001204588 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,252 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 30, 2004 Filed Jan 30, 2004 18:46 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherCommon | 999 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000100 · edgar.xml · nonDerivative · entry 1 SCHENA CHRISTIANO V · CIK 0001204588 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,936 F2 · kind: Distribution of shares from termination of Stock Purchase Plan. F1 · balance_after: This amount includes 7411 shares in 401K; 63 shares in SEIP and 94 shares in dividend reinvestment. Read SEC document |
| January 20, 2004 Filed Jan 20, 2004 16:48 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 181 | $83.11 | $15,042.91 |
DisclosureSEC source: 0000018230-04-000039 · edgar.xml · nonDerivative · entry 1 SCHENA CHRISTIANO V · CIK 0001204588 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,937 F1 · balance_after: This amount includes 7411 shares in 401K; 63 shares in SEIP and 94 shares in dividend reinvestment. Read SEC document |
| July 31, 2003 Filed Jul 31, 2003 15:25 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 1,644 | $67.73 | $111,348.12 |
DisclosureSEC source: 0000018230-03-000353 · edgar.xml · nonDerivative · entry 4 SCHENA CHRISTIANO V · CIK 0001204588 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,299 F1 · balance_after: This amount includes 6880 shares in EIP-1, 347 shares in 401K and 66 shares in dividend reinvestment. Read SEC document |
| July 31, 2003 Filed Jul 31, 2003 15:25 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 1,900 | $67.70 | $128,630.00 |
DisclosureSEC source: 0000018230-03-000353 · edgar.xml · nonDerivative · entry 3 SCHENA CHRISTIANO V · CIK 0001204588 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,943 Read SEC document |
| July 31, 2003 Filed Aug 1, 2003 15:10 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 3,544 | $0.00 Strike: $26.77 | $0.00 |
DisclosureSEC source: 0000018230-03-000360 · edgar.xml · derivative · entry 2 SCHENA CHRISTIANO V · CIK 0001204588 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 3,544 shares Expires 2004-06-07 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 |
| July 31, 2003 Filed Aug 1, 2003 15:10 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 3,544 | $26.77 | $94,857.29 |
DisclosureSEC source: 0000018230-03-000360 · edgar.xml · nonDerivative · entry 1 SCHENA CHRISTIANO V · CIK 0001204588 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,843 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 6880 shares in EIP-1, 347 shares in 401K and 66 shares in dividend reinvestment. Read SEC document |
| July 30, 2003 Filed Jul 31, 2003 15:25 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 3,736 | $0.00 Strike: $26.77 | $0.00 |
DisclosureSEC source: 0000018230-03-000353 · edgar.xml · derivative · entry 5 SCHENA CHRISTIANO V · CIK 0001204588 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 3,736 shares Expires 2004-06-07 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 |
| July 30, 2003 Filed Jul 31, 2003 15:25 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,515 | $65.97 | $99,944.55 |
DisclosureSEC source: 0000018230-03-000353 · edgar.xml · nonDerivative · entry 2 SCHENA CHRISTIANO V · CIK 0001204588 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,843 Read SEC document |
| July 30, 2003 Filed Jul 31, 2003 15:25 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 3,736 | $26.77 | $99,996.28 |
DisclosureSEC source: 0000018230-03-000353 · edgar.xml · nonDerivative · entry 1 SCHENA CHRISTIANO V · CIK 0001204588 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,358 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.