Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CATERPILLAR INCCAT · Entity 2808 | Vice President | January 26, 2006 | January 27, 2006 |
| OLD SECOND BANCORP INCOSBC · Entity 2238 | Director | January 02, 2019 | January 04, 2019 |
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 26, 2006 · Filed January 27, 2006
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| CommonSEC Table I · non-derivative | Direct | 19,342 |
Reported balance
After 2006-01-26 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2006-01-26 · Sale · Disposed 5,000 · Balance 19,342 F1: This amount includes 4717 shares in SEIP and 36 shares in dividend reinvestment. |
| CommonSEC Table I · non-derivative | IndirectOwned by Wife | 15,467 |
Reported balance
Holding disclosure · report date 2006-01-26 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 15,467 F2: Reporting person disclaims beneficial ownership. |
Filing footnotes · ownership attribution and instrument terms
F1: This amount includes 4717 shares in SEIP and 36 shares in dividend reinvestment.
F2: Reporting person disclaims beneficial ownership.
OLD SECOND BANCORP INC
Report date January 02, 2019 · Filed January 04, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Old Second Bancorp, Inc. Common StockSEC Table I · non-derivative | Direct | 60,189 |
Reported balance
After 2019-01-02 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2019-01-02 · Grant · Acquired 1,500 · Balance 60,189 F3: These shares represent an exercise of options. F1: Included in this total are 1,500 shares in Mr. Palmer's name alone and 58,689 in Mr. Palmer's name as trustee. |
| Old Second Bancorp, Inc. Common StockSEC Table I · non-derivative | IndirectSpouse's Trust | 37,727 |
Reported balance
Holding disclosure · report date 2019-01-02 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 37,727 F2: These shares are held in a brokerage account on behalf of Mr.Palmer's spouse's Trust account. |
| Old Second Bancorp Inc. Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $7.49 · Expires 2019-02-17 | Direct | 1,500 |
Reported balance
Holding disclosure · report date 2019-01-02 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance 1,500 |
Filing footnotes · ownership attribution and instrument terms
F1: Included in this total are 1,500 shares in Mr. Palmer's name alone and 58,689 in Mr. Palmer's name as trustee.
F2: These shares are held in a brokerage account on behalf of Mr.Palmer's spouse's Trust account.
F3: These shares represent an exercise of options.
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 02, 2019 Filed Jan 4, 2019 19:42 UTC | OLD SECOND BANCORP INC OSBC · Entity 2238 | GrantOld Second Bancorp, Inc. Common Stock | 1,500 | $7.49 | $11,235.00 |
DisclosureSEC source: 0001179110-19-000398 · edgar.xml · nonDerivative · entry 1 PALMER GERALD · CIK 0001171803 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,189 F3 · shares: These shares represent an exercise of options. F1 · balance_after: Included in this total are 1,500 shares in Mr. Palmer's name alone and 58,689 in Mr. Palmer's name as trustee. Read SEC document |
| April 17, 2018 Filed Apr 18, 2018 21:47 UTC | OLD SECOND BANCORP INC OSBC · Entity 2238 | GrantOld Second Bancorp, Inc. Common Stock | 5,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001179110-18-005778 · edgar.xml · nonDerivative · entry 1 PALMER GERALD · CIK 0001171803 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,689 F3 · shares: These shares represent Performance Based Restricted Stock Units granted in 2018 under the Long Term Incentive Program. These shares have a 3-year cliff vesting. F4 · price: Does not apply. F1 · balance_after: Included in this total are 47,189 shares in Mr. Palmer's name as Trustee, 6,500 shares of restricted stock units and 5,000 shares of Performance Based restricted stock units in Mr. Palmer's name. Read SEC document |
| February 20, 2018 Filed Feb 22, 2018 17:02 UTC | OLD SECOND BANCORP INC OSBC · Entity 2238 | GrantOld Second Bancorp, Inc. Common Stock | 1,500 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001179110-18-002571 · edgar.xml · nonDerivative · entry 1 PALMER GERALD · CIK 0001171803 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,698 F3 · shares: These shares represent Restricted Stock Units granted in 2018 under the Long Term Incentive Program. These shares have a 3-year cliff vesting. F4 · price: Does not apply. F1 · balance_after: Included in this total are 47,189 shares in Mr. Palmer's name as Trustee and 6,500 shares of restricted stock units in Mr. Palmer's name. Read SEC document |
| February 21, 2017 Filed Feb 22, 2017 22:54 UTC | OLD SECOND BANCORP INC OSBC · Entity 2238 | GrantOld Second Bancorp, Inc. Common Stock | 2,500 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001179110-17-002947 · edgar.xml · nonDerivative · entry 1 PALMER GERALD · CIK 0001171803 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,189 F3 · price: These shares represent Restricted Stock Units granted in 2017 under Old Second's Equity Award Program. These shares have a 3-year cliff vesting. F1 · balance_after: Included in this total are 47,189 shares in Mr. Palmer's name as Trustee and 5,000 shares of restricted stock units in Mr. Palmer's name. Read SEC document |
| January 26, 2006 Filed Jan 27, 2006 15:06 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 5,000 | $64.00 | $320,000.00 |
DisclosureSEC source: 0000018230-06-000051 · edgar.xml · nonDerivative · entry 1 PALMER GERALD · CIK 0001171803 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,342 F1 · balance_after: This amount includes 4717 shares in SEIP and 36 shares in dividend reinvestment. Read SEC document |
| January 12, 2006 Filed Jan 13, 2006 21:25 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 5,000 | $62.00 | $310,000.00 |
DisclosureSEC source: 0000018230-06-000038 · edgar.xml · nonDerivative · entry 1 PALMER GERALD · CIK 0001171803 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,306 F1 · balance_after: This amount includes 4717 shares in SEIP. Read SEC document |
| January 06, 2006 Filed Jan 9, 2006 16:17 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 19,396 | $0.00 Strike: $31.17 | $0.00 |
DisclosureSEC source: 0000018230-06-000026 · edgar.xml · derivative · entry 4 PALMER GERALD · CIK 0001171803 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 19,396 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. 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 06, 2006 Filed Jan 9, 2006 16:17 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 24,396 | $60.00 | $1,463,760.00 |
DisclosureSEC source: 0000018230-06-000026 · edgar.xml · nonDerivative · entry 2 PALMER GERALD · CIK 0001171803 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,306 F1 · balance_after: This amount includes 4717 shares in SEIP. Read SEC document |
| January 06, 2006 Filed Jan 9, 2006 16:17 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 19,396 | $31.17 | $604,610.17 |
DisclosureSEC source: 0000018230-06-000026 · edgar.xml · nonDerivative · entry 1 PALMER GERALD · CIK 0001171803 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,702 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 |
| December 14, 2005 Filed Dec 14, 2005 16:29 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 500 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000790 · edgar.xml · nonDerivative · entry 1 PALMER GERALD · CIK 0001171803 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,191 F1 · balance_after: This amount includes 4640 shares in SEIP. Read SEC document |
| November 22, 2005 Filed Nov 23, 2005 14:08 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 19,396 | $0.00 Strike: $31.17 | $0.00 |
DisclosureSEC source: 0000018230-05-000748 · edgar.xml · derivative · entry 4 PALMER GERALD · CIK 0001171803 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 19,396 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. 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 |
| November 22, 2005 Filed Nov 23, 2005 14:08 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 19,396 | $58.50 | $1,134,666.00 |
DisclosureSEC source: 0000018230-05-000748 · edgar.xml · nonDerivative · entry 2 PALMER GERALD · CIK 0001171803 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,691 F1 · balance_after: This amount includes 4640 shares in SEIP. Read SEC document |
| November 22, 2005 Filed Nov 23, 2005 14:08 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 19,396 | $31.17 | $604,610.17 |
DisclosureSEC source: 0000018230-05-000748 · edgar.xml · nonDerivative · entry 1 PALMER GERALD · CIK 0001171803 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 85,087 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 |
| November 18, 2005 Filed Nov 21, 2005 14:33 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 5,000 | $58.00 | $290,000.00 |
DisclosureSEC source: 0000018230-05-000744 · edgar.xml · nonDerivative · entry 1 PALMER GERALD · CIK 0001171803 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,691 F1 · balance_after: This amount includes 4640 shares in SEIP. Read SEC document |
| November 16, 2005 Filed Nov 16, 2005 19:55 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 19,205 | $0.00 Strike: $27.84 | $0.00 |
DisclosureSEC source: 0000018230-05-000736 · edgar.xml · derivative · entry 4 PALMER GERALD · CIK 0001171803 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 19,205 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. 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 |
| November 16, 2005 Filed Nov 16, 2005 19:55 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 19,205 | $56.00 | $1,075,480.00 |
DisclosureSEC source: 0000018230-05-000736 · edgar.xml · nonDerivative · entry 2 PALMER GERALD · CIK 0001171803 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,691 F1 · balance_after: This amount includes 4640 shares in SEIP. Read SEC document |
| November 16, 2005 Filed Nov 16, 2005 19:55 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 19,205 | $27.84 | $534,740.18 |
DisclosureSEC source: 0000018230-05-000736 · edgar.xml · nonDerivative · entry 1 PALMER GERALD · CIK 0001171803 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,896 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 |
| November 16, 2005 Filed Nov 17, 2005 18:56 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 19,205 | $0.00 Strike: $27.84 | $0.00 |
DisclosureSEC source: 0000018230-05-000738 · edgar.xml · derivative · entry 4 PALMER GERALD · CIK 0001171803 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 19,205 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. 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 |
| November 16, 2005 Filed Nov 17, 2005 18:56 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 19,205 | $57.00 | $1,094,685.00 |
DisclosureSEC source: 0000018230-05-000738 · edgar.xml · nonDerivative · entry 2 PALMER GERALD · CIK 0001171803 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,691 F1 · balance_after: This amount includes 4640 shares in SEIP. Read SEC document |
| November 16, 2005 Filed Nov 17, 2005 18:56 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 19,205 | $27.84 | $534,740.18 |
DisclosureSEC source: 0000018230-05-000738 · edgar.xml · nonDerivative · entry 1 PALMER GERALD · CIK 0001171803 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,896 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 05, 2005 Filed Nov 9, 2005 21:36 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 4,205 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000729 · edgar.xml · nonDerivative · entry 2 PALMER GERALD · CIK 0001171803 · Vice President 10b5-1 filing: Not disclosed Ownership: Indirect · Owned by wife Disclosed balance after: 15,467 F2 · ownership.nature: Reporting person disclaims beneficial ownership. Read SEC document |
| October 05, 2005 Filed Nov 9, 2005 21:36 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 4,205 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000729 · edgar.xml · nonDerivative · entry 1 PALMER GERALD · CIK 0001171803 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,691 F1 · balance_after: This amount includes 4640 shares in SEIP. Read SEC document |
| August 03, 2005 Filed Aug 4, 2005 12:40 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 3,284 | $54.34 | $178,452.56 |
DisclosureSEC source: 0000018230-05-000550 · edgar.xml · nonDerivative · entry 1 PALMER GERALD · CIK 0001171803 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,896 F1 · balance_after: This amount includes 4640 shares in SEIP. Read SEC document |
| July 28, 2005 Filed Jul 29, 2005 14:43 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 19,700 | $53.40 | $1,051,980.00 |
DisclosureSEC source: 0000018230-05-000510 · edgar.xml · nonDerivative · entry 2 PALMER GERALD · CIK 0001171803 · Vice President 10b5-1 filing: Not disclosed Ownership: Indirect · Owned by wife Disclosed balance after: 11,262 F2 · ownership.nature: Reporting person disclaims beneficial ownership. Read SEC document |
| July 28, 2005 Filed Jul 29, 2005 14:43 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 17,802 | $54.00 | $961,308.00 |
DisclosureSEC source: 0000018230-05-000510 · edgar.xml · nonDerivative · entry 1 PALMER GERALD · CIK 0001171803 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 78,180 F1 · balance_after: This amount includes 4640 shares in SEIP. Read SEC document |
| July 27, 2005 Filed Jul 28, 2005 16:12 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 5,202 | $0.00 Strike: $19.20 | $0.00 |
DisclosureSEC source: 0000018230-05-000502 · edgar.xml · derivative · entry 8 PALMER GERALD · CIK 0001171803 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 5,202 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. F5 · security: (Right to buy) with tandem tax withholding rights. F6 · 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 27, 2005 Filed Jul 28, 2005 16:12 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 3,208 | $0.00 Strike: $31.17 | $0.00 |
DisclosureSEC source: 0000018230-05-000502 · edgar.xml · derivative · entry 7 PALMER GERALD · CIK 0001171803 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 3,208 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. F5 · security: (Right to buy) with tandem tax withholding rights. F6 · 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 27, 2005 Filed Jul 28, 2005 16:12 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 5,202 | $19.20 | $99,895.05 |
DisclosureSEC source: 0000018230-05-000502 · edgar.xml · nonDerivative · entry 4 PALMER GERALD · CIK 0001171803 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,982 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 4640 shares in SEIP. F3 · balance_after: On July 14, 2005, the common stock of Caterpillar Inc. split 2-for-1, resulting in the reporting person's acquisition of 41,466 additional shares of common stock. Read SEC document |
| July 27, 2005 Filed Jul 28, 2005 16:12 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 3,208 | $31.17 | $99,999.46 |
DisclosureSEC source: 0000018230-05-000502 · edgar.xml · nonDerivative · entry 3 PALMER GERALD · CIK 0001171803 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,780 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 27, 2005 Filed Jan 6, 2006 22:50 UTC Amendment | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 5,202 | $0.00 Strike: $19.20 | $0.00 |
DisclosureSEC source: 0000018230-06-000021 · edgar.xml · derivative · entry 8 PALMER GERALD · CIK 0001171803 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 5,202 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. F6 · security: (Right to buy) with tandem tax withholding rights. F7 · 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 27, 2005 Filed Jan 6, 2006 22:50 UTC Amendment | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 3,208 | $0.00 Strike: $31.17 | $0.00 |
DisclosureSEC source: 0000018230-06-000021 · edgar.xml · derivative · entry 7 PALMER GERALD · CIK 0001171803 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 3,208 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. F6 · security: (Right to buy) with tandem tax withholding rights. F7 · 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 27, 2005 Filed Jan 6, 2006 22:50 UTC Amendment | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 5,202 | $19.20 | $99,895.05 |
DisclosureSEC source: 0000018230-06-000021 · edgar.xml · nonDerivative · entry 4 PALMER GERALD · CIK 0001171803 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,020 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 4640 shares in SEIP. F4 · balance_after: On July 14, 2005, the common stock of Caterpillar Inc. split 2-for-1, resulting in the reporting person's acquisition of 41,466 additional shares of common stock. F5 · balance_after: The number of shares reported as beneficially owned was incorrectly calculated on this Form 4 and was also incorrect on subsequent Forms 4 filed by the reporting person through year-end 2005. Read SEC document |
| July 27, 2005 Filed Jan 6, 2006 22:50 UTC Amendment | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 3,208 | $31.17 | $99,999.46 |
DisclosureSEC source: 0000018230-06-000021 · edgar.xml · nonDerivative · entry 3 PALMER GERALD · CIK 0001171803 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,818 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 16:12 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 38,132 | $0.00 Strike: $25.83 | $0.00 |
DisclosureSEC source: 0000018230-05-000502 · edgar.xml · derivative · entry 6 PALMER GERALD · CIK 0001171803 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 38,132 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. F5 · security: (Right to buy) with tandem tax withholding rights. F6 · 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 16:12 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 38,132 | $51.87 | $1,977,746.69 |
DisclosureSEC source: 0000018230-05-000502 · edgar.xml · nonDerivative · entry 2 PALMER GERALD · CIK 0001171803 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,572 Read SEC document |
| July 26, 2005 Filed Jul 28, 2005 16:12 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 38,132 | $25.83 | $984,877.11 |
DisclosureSEC source: 0000018230-05-000502 · edgar.xml · nonDerivative · entry 1 PALMER GERALD · CIK 0001171803 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 125,704 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 Jan 6, 2006 22:50 UTC Amendment | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 38,132 | $0.00 Strike: $25.83 | $0.00 |
DisclosureSEC source: 0000018230-06-000021 · edgar.xml · derivative · entry 6 PALMER GERALD · CIK 0001171803 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 38,132 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. F6 · security: (Right to buy) with tandem tax withholding rights. F7 · 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 Jan 6, 2006 22:50 UTC Amendment | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 38,132 | $51.87 | $1,977,746.69 |
DisclosureSEC source: 0000018230-06-000021 · edgar.xml · nonDerivative · entry 2 PALMER GERALD · CIK 0001171803 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,610 Read SEC document |
| July 26, 2005 Filed Jan 6, 2006 22:50 UTC Amendment | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 38,132 | $25.83 | $984,877.11 |
DisclosureSEC source: 0000018230-06-000021 · edgar.xml · nonDerivative · entry 1 PALMER GERALD · CIK 0001171803 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,742 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 18:57 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherOption (NQ) · Derivative | 30,000 | $0.00 Strike: $91.29 | $0.00 |
DisclosureSEC source: 0000018230-05-000193 · edgar.xml · derivative · entry 3 PALMER GERALD · CIK 0001171803 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common · 30,000 shares Expires 2015-02-18 F3 · security: This option was granted with attached tax withholding rights. F4 · 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. F4 · 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. F4 · 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 |
| December 21, 2004 Filed Dec 22, 2004 15:54 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 457 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000718 · edgar.xml · nonDerivative · entry 1 PALMER GERALD · CIK 0001171803 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,270 F1 · balance_after: This amount includes 2285 shares in SEIP. Read SEC document |
| November 02, 2004 Filed Nov 4, 2004 19:53 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 1,795 | $0.00 Strike: $55.69 | $0.00 |
DisclosureSEC source: 0000018230-04-000618 · edgar.xml · derivative · entry 11 PALMER GERALD · CIK 0001171803 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 1,795 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. 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 |
| November 02, 2004 Filed Nov 4, 2004 19:53 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 1,934 | $0.00 Strike: $51.66 | $0.00 |
DisclosureSEC source: 0000018230-04-000618 · edgar.xml · derivative · entry 10 PALMER GERALD · CIK 0001171803 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 1,934 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 |
| November 02, 2004 Filed Nov 4, 2004 19:53 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 17,962 | $0.00 Strike: $32.91 | $0.00 |
DisclosureSEC source: 0000018230-04-000618 · edgar.xml · derivative · entry 9 PALMER GERALD · CIK 0001171803 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 17,962 shares Expires 2005-06-11 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 |
| November 02, 2004 Filed Nov 4, 2004 19:53 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 862 | $81.97 | $70,658.14 |
DisclosureSEC source: 0000018230-04-000618 · edgar.xml · nonDerivative · entry 7 PALMER GERALD · CIK 0001171803 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,727 F1 · balance_after: This amount includes 2285 shares in SEIP. Read SEC document |
| November 02, 2004 Filed Nov 4, 2004 19:53 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 17,100 | $81.90 | $1,400,490.00 |
DisclosureSEC source: 0000018230-04-000618 · edgar.xml · nonDerivative · entry 6 PALMER GERALD · CIK 0001171803 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,589 Read SEC document |
| November 02, 2004 Filed Nov 4, 2004 19:53 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,212 | $82.45 | $99,923.34 |
DisclosureSEC source: 0000018230-04-000618 · edgar.xml · nonDerivative · entry 5 PALMER GERALD · CIK 0001171803 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,689 Read SEC document |
| November 02, 2004 Filed Nov 4, 2004 19:53 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 1,795 | $55.69 | $99,959.06 |
DisclosureSEC source: 0000018230-04-000618 · edgar.xml · nonDerivative · entry 4 PALMER GERALD · CIK 0001171803 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,901 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 |
| November 02, 2004 Filed Nov 4, 2004 19:53 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,211 | $82.45 | $99,840.90 |
DisclosureSEC source: 0000018230-04-000618 · edgar.xml · nonDerivative · entry 3 PALMER GERALD · CIK 0001171803 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,106 Read SEC document |
| November 02, 2004 Filed Nov 4, 2004 19:53 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 1,934 | $51.66 | $99,903.09 |
DisclosureSEC source: 0000018230-04-000618 · edgar.xml · nonDerivative · entry 2 PALMER GERALD · CIK 0001171803 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,317 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.