Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CATERPILLAR INCCAT · Entity 2808 | Vice President | December 31, 2005 | January 18, 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 December 31, 2005 · Filed January 18, 2006
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| CommonSEC Table I · non-derivative | Direct | 42,346 |
Reported balance
After 2005-01-04 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2005-01-04 · Gift · Disposed 2,940 · Balance 42,346 F2: This amount was adjusted for the 2-for-1 stock split on July 14, 2005. |
| CommonSEC Table I · non-derivative | Direct | 27,220 |
Reported balance
After 2005-02-02 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2005-02-02 · Gift · Disposed 15,126 · Balance 27,220 F2: This amount was adjusted for the 2-for-1 stock split on July 14, 2005. |
| CommonSEC Table I · non-derivative | Direct | 23,220 |
Reported balance
After 2005-08-31 transaction · row 3
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 3 · 2005-08-31 · Gift · Disposed 4,000 · Balance 23,220 |
| CommonSEC Table I · non-derivative | Direct | 20,720 |
Reported balance
After 2005-11-15 transaction · row 4
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 4 · 2005-11-15 · Sale · Disposed 2,500 · Balance 20,720 F1: This amount includes 2457 shares in 401K, 6820 shares in SEIP and 1 share in dividend reinvestment. |
| CommonSEC Table I · non-derivative | IndirectOwned by Wife | 34,964 |
Last balance in matching sequence
After 2005-02-02 transaction · row 6
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 5 · 2005-01-04 · Gift · Acquired 2,940 · Balance 19,838 F2: This amount was adjusted for the 2-for-1 stock split on July 14, 2005. F3: Reporting person disclaims beneficial ownership. Row 6 · 2005-02-02 · Gift · Acquired 15,126 · Balance 34,964 F2: This amount was adjusted for the 2-for-1 stock split on July 14, 2005. F3: Reporting person disclaims beneficial ownership. |
Filing footnotes · ownership attribution and instrument terms
F1: This amount includes 2457 shares in 401K, 6820 shares in SEIP and 1 share in dividend reinvestment.
F2: This amount was adjusted for the 2-for-1 stock split on July 14, 2005.
F3: Reporting person disclaims beneficial ownership.
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 |
|---|---|---|---|---|---|---|
| February 01, 2005 Filed Feb 2, 2005 15:23 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 2,000 | $90.17 | $180,340.00 |
DisclosureSEC source: 0000018230-05-000075 · edgar.xml · nonDerivative · entry 10 WESTERN DONALD G · CIK 0001171772 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,861 Read SEC document |
| February 01, 2005 Filed Feb 2, 2005 15:23 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 5,100 | $90.15 | $459,765.00 |
DisclosureSEC source: 0000018230-05-000075 · edgar.xml · nonDerivative · entry 9 WESTERN DONALD G · CIK 0001171772 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,861 Read SEC document |
| February 01, 2005 Filed Feb 2, 2005 15:23 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 300 | $90.14 | $27,042.00 |
DisclosureSEC source: 0000018230-05-000075 · edgar.xml · nonDerivative · entry 8 WESTERN DONALD G · CIK 0001171772 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,961 Read SEC document |
| February 01, 2005 Filed Feb 2, 2005 15:23 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 1,000 | $90.13 | $90,130.00 |
DisclosureSEC source: 0000018230-05-000075 · edgar.xml · nonDerivative · entry 7 WESTERN DONALD G · CIK 0001171772 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,261 Read SEC document |
| February 01, 2005 Filed Feb 2, 2005 15:23 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 61 | $90.12 | $5,497.32 |
DisclosureSEC source: 0000018230-05-000075 · edgar.xml · nonDerivative · entry 6 WESTERN DONALD G · CIK 0001171772 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,261 Read SEC document |
| February 01, 2005 Filed Feb 2, 2005 15:23 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 400 | $90.07 | $36,028.00 |
DisclosureSEC source: 0000018230-05-000075 · edgar.xml · nonDerivative · entry 5 WESTERN DONALD G · CIK 0001171772 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,322 Read SEC document |
| February 01, 2005 Filed Feb 2, 2005 15:23 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 15,700 | $90.06 | $1,413,942.00 |
DisclosureSEC source: 0000018230-05-000075 · edgar.xml · nonDerivative · entry 4 WESTERN DONALD G · CIK 0001171772 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,722 Read SEC document |
| February 01, 2005 Filed Feb 2, 2005 15:23 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 500 | $90.05 | $45,025.00 |
DisclosureSEC source: 0000018230-05-000075 · edgar.xml · nonDerivative · entry 3 WESTERN DONALD G · CIK 0001171772 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,422 Read SEC document |
| February 01, 2005 Filed Feb 2, 2005 15:23 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 21,399 | $38.41 | $821,856.41 |
DisclosureSEC source: 0000018230-05-000075 · edgar.xml · nonDerivative · entry 2 WESTERN DONALD G · CIK 0001171772 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,922 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 01, 2005 Filed Feb 2, 2005 15:23 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 3,662 | $32.91 | $120,502.50 |
DisclosureSEC source: 0000018230-05-000075 · edgar.xml · nonDerivative · entry 1 WESTERN DONALD G · CIK 0001171772 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,523 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 21, 2005 Filed Jan 24, 2005 21:20 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 2,601 | $0.00 Strike: $38.41 | $0.00 |
DisclosureSEC source: 0000018230-05-000034 · edgar.xml · derivative · entry 13 WESTERN DONALD G · CIK 0001171772 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 2,601 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. 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 21, 2005 Filed Jan 24, 2005 21:20 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 1,604 | $0.00 Strike: $62.34 | $0.00 |
DisclosureSEC source: 0000018230-05-000034 · edgar.xml · derivative · entry 12 WESTERN DONALD G · CIK 0001171772 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 1,604 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 21, 2005 Filed Jan 24, 2005 21:20 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 1,795 | $0.00 Strike: $55.69 | $0.00 |
DisclosureSEC source: 0000018230-05-000034 · edgar.xml · derivative · entry 11 WESTERN DONALD G · CIK 0001171772 · 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 |
| January 21, 2005 Filed Jan 24, 2005 21:20 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 1,934 | $0.00 Strike: $51.66 | $0.00 |
DisclosureSEC source: 0000018230-05-000034 · edgar.xml · derivative · entry 10 WESTERN DONALD G · CIK 0001171772 · 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 |
| January 21, 2005 Filed Jan 24, 2005 21:20 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,111 | $89.86 | $99,834.46 |
DisclosureSEC source: 0000018230-05-000034 · edgar.xml · nonDerivative · entry 8 WESTERN DONALD G · CIK 0001171772 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,861 F1 · balance_after: This amount includes 265 shares in 401K and 3359 shares in SEIP. (1470 shares were distributed from 401K plan and 10,833 shares were rolled over to an IRA from the 401K plan 12/16/04.) Read SEC document |
| January 21, 2005 Filed Jan 24, 2005 21:20 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 2,601 | $38.41 | $99,894.79 |
DisclosureSEC source: 0000018230-05-000034 · edgar.xml · nonDerivative · entry 7 WESTERN DONALD G · CIK 0001171772 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,972 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 21, 2005 Filed Jan 24, 2005 21:20 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,112 | $89.86 | $99,924.32 |
DisclosureSEC source: 0000018230-05-000034 · edgar.xml · nonDerivative · entry 6 WESTERN DONALD G · CIK 0001171772 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,371 Read SEC document |
| January 21, 2005 Filed Jan 24, 2005 21:20 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 1,604 | $62.34 | $99,999.46 |
DisclosureSEC source: 0000018230-05-000034 · edgar.xml · nonDerivative · entry 5 WESTERN DONALD G · CIK 0001171772 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,483 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 21, 2005 Filed Jan 24, 2005 21:20 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,112 | $89.86 | $99,924.32 |
DisclosureSEC source: 0000018230-05-000034 · edgar.xml · nonDerivative · entry 4 WESTERN DONALD G · CIK 0001171772 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,879 Read SEC document |
| January 21, 2005 Filed Jan 24, 2005 21:20 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 1,795 | $55.69 | $99,959.06 |
DisclosureSEC source: 0000018230-05-000034 · edgar.xml · nonDerivative · entry 3 WESTERN DONALD G · CIK 0001171772 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,991 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 21, 2005 Filed Jan 24, 2005 21:20 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,111 | $89.86 | $99,834.46 |
DisclosureSEC source: 0000018230-05-000034 · edgar.xml · nonDerivative · entry 2 WESTERN DONALD G · CIK 0001171772 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,196 Read SEC document |
| January 21, 2005 Filed Jan 24, 2005 21:20 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 1,934 | $51.66 | $99,903.09 |
DisclosureSEC source: 0000018230-05-000034 · edgar.xml · nonDerivative · entry 1 WESTERN DONALD G · CIK 0001171772 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,307 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 04, 2005 Filed Jan 18, 2006 17:35 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 2,940 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-06-000041 · edgar.xml · nonDerivative · entry 5 WESTERN DONALD G · CIK 0001171772 · Vice President 10b5-1 filing: Not disclosed Ownership: Indirect · Owned by Wife Disclosed balance after: 19,838 F2 · shares: This amount was adjusted for the 2-for-1 stock split on July 14, 2005. F3 · ownership.nature: Reporting person disclaims beneficial ownership. Read SEC document |
| January 04, 2005 Filed Jan 18, 2006 17:35 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 2,940 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-06-000041 · edgar.xml · nonDerivative · entry 1 WESTERN DONALD G · CIK 0001171772 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,346 F2 · shares: This amount was adjusted for the 2-for-1 stock split on July 14, 2005. Read SEC document |
| November 08, 2004 Filed Nov 10, 2004 19:37 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 9,300 | $0.00 Strike: $32.91 | $0.00 |
DisclosureSEC source: 0000018230-04-000639 · edgar.xml · derivative · entry 4 WESTERN DONALD G · CIK 0001171772 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 9,300 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 |
| November 08, 2004 Filed Nov 10, 2004 19:37 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 5,225 | $86.84 | $453,739.00 |
DisclosureSEC source: 0000018230-04-000639 · edgar.xml · nonDerivative · entry 2 WESTERN DONALD G · CIK 0001171772 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,335 F1 · balance_after: This amount includes 12,537 shares in 401K and 3352 shares in SEIP. Read SEC document |
| November 08, 2004 Filed Nov 10, 2004 19:37 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 9,300 | $32.91 | $306,027.66 |
DisclosureSEC source: 0000018230-04-000639 · edgar.xml · nonDerivative · entry 1 WESTERN DONALD G · CIK 0001171772 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,560 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 01, 2004 Filed Oct 7, 2004 17:54 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 6,274 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000561 · edgar.xml · nonDerivative · entry 3 WESTERN DONALD G · CIK 0001171772 · Vice President 10b5-1 filing: Not disclosed Ownership: Indirect · Owned by Wife Disclosed balance after: 8,449 F3 · kind: Notified on 10/1/04 that transfer of 6274 shares from joint direct account to indirect account occurred in 1996. F2 · ownership.nature: Reporting person disclaims beneficial ownership. Read SEC document |
| October 01, 2004 Filed Oct 7, 2004 17:54 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 6,274 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000561 · edgar.xml · nonDerivative · entry 1 WESTERN DONALD G · CIK 0001171772 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,175 F3 · kind: Notified on 10/1/04 that transfer of 6274 shares from joint direct account to indirect account occurred in 1996. F1 · balance_after: This amount includes 12,470 shares in 401K and 3334 shares in SEIP. Read SEC document |
| September 29, 2004 Filed Oct 7, 2004 17:54 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 3,500 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000561 · edgar.xml · nonDerivative · entry 2 WESTERN DONALD G · CIK 0001171772 · Vice President 10b5-1 filing: Not disclosed Ownership: Indirect · Owned by Wife Disclosed balance after: 2,175 F2 · ownership.nature: Reporting person disclaims beneficial ownership. Read SEC document |
| June 08, 2004 Filed Jun 10, 2004 16:17 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherOption (NQ) · Derivative | 27,000 | $0.00 Strike: $77.26 | $0.00 |
DisclosureSEC source: 0000018230-04-000423 · edgar.xml · derivative · entry 3 WESTERN DONALD G · CIK 0001171772 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,000 Underlying: Common · 27,000 shares Expires 2014-06-08 F3 · security: This option was granted with attached tax withholding rights. F4 · 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. F4 · 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. F4 · 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 |
| February 20, 2004 Filed Feb 23, 2004 22:30 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 5,675 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000134 · edgar.xml · nonDerivative · entry 2 WESTERN DONALD G · CIK 0001171772 · Vice President 10b5-1 filing: Not disclosed Ownership: Indirect · Owned by Wife Disclosed balance after: 5,675 F2 · ownership.nature: Reporting person disclaims beneficial ownership. Read SEC document |
| February 20, 2004 Filed Feb 23, 2004 22:30 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 5,675 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000134 · edgar.xml · nonDerivative · entry 1 WESTERN DONALD G · CIK 0001171772 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,300 F1 · balance_after: This amount includes 12,350 shares in 401K and 3305 shares in SEIP. Read SEC document |
| January 20, 2004 Filed Jan 20, 2004 19:26 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 437 | $83.11 | $36,319.07 |
DisclosureSEC source: 0000018230-04-000085 · edgar.xml · nonDerivative · entry 1 WESTERN DONALD G · CIK 0001171772 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,975 F1 · balance_after: This amount includes 12,350 shares in 401K and 3305 shares in SEIP. Read SEC document |
| January 06, 2004 Filed Jan 7, 2004 16:26 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 1,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000024 · edgar.xml · nonDerivative · entry 1 WESTERN DONALD G · CIK 0001171772 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,424 F1 · balance_after: This amount includes 12,362 shares in 401K and 3305 shares in SEIP. Read SEC document |
| December 16, 2003 Filed Dec 17, 2003 16:20 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 5,000 | $0.00 Strike: $32.91 | $0.00 |
DisclosureSEC source: 0000018230-03-000527 · edgar.xml · derivative · entry 3 WESTERN DONALD G · CIK 0001171772 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 5,000 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.expiration_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| December 16, 2003 Filed Dec 17, 2003 16:20 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 2,925 | $79.85 | $233,546.63 |
DisclosureSEC source: 0000018230-03-000527 · edgar.xml · nonDerivative · entry 2 WESTERN DONALD G · CIK 0001171772 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,424 F1 · balance_after: This amount includes 12,362 shares in 401K and 3305 shares in SEIP. Read SEC document |
| December 16, 2003 Filed Dec 17, 2003 16:20 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 5,000 | $32.91 | $164,531.00 |
DisclosureSEC source: 0000018230-03-000527 · edgar.xml · nonDerivative · entry 1 WESTERN DONALD G · CIK 0001171772 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,349 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. Read SEC document |
| October 28, 2003 Filed Oct 28, 2003 16:24 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 751 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-03-000476 · edgar.xml · nonDerivative · entry 1 WESTERN DONALD G · CIK 0001171772 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,301 F1 · balance_after: This amount includes 12,324 shares in 401K and 3295 shares in SEIP. Read SEC document |
| July 22, 2003 Filed Jul 22, 2003 17:52 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 2,160 | $65.10 | $140,616.00 |
DisclosureSEC source: 0000018230-03-000301 · edgar.xml · nonDerivative · entry 3 WESTERN DONALD G · CIK 0001171772 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,014 F1 · balance_after: This amount includes 12050 shares in EIP-1, 239 shares in 401K and 3292 shares in SEIP. Read SEC document |
| July 18, 2003 Filed Jul 22, 2003 17:52 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 7,684 | $0.00 Strike: $30.16 | $0.00 |
DisclosureSEC source: 0000018230-03-000301 · edgar.xml · derivative · entry 4 WESTERN DONALD G · CIK 0001171772 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 7,684 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 |
| July 18, 2003 Filed Jul 22, 2003 17:52 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 4,792 | $64.63 | $309,706.96 |
DisclosureSEC source: 0000018230-03-000301 · edgar.xml · nonDerivative · entry 2 WESTERN DONALD G · CIK 0001171772 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,174 Read SEC document |
| July 18, 2003 Filed Jul 22, 2003 17:52 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 7,684 | $30.16 | $231,720.24 |
DisclosureSEC source: 0000018230-03-000301 · edgar.xml · nonDerivative · entry 1 WESTERN DONALD G · CIK 0001171772 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,966 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 |
| May 05, 2003 Filed May 20, 2003 16:09 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 809 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-03-000212 · edgar.xml · nonDerivative · entry 1 WESTERN DONALD G · CIK 0001171772 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,080 F1 · balance_after: This amount includes 11877 shares in EIP-1, 237 shares in 401K and 3265 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.