Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CATERPILLAR INCCAT · Entity 2808 | Vice President | December 13, 2005 | December 14, 2005 |
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 13, 2005 · Filed December 14, 2005
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| CommonSEC Table I · non-derivative | Direct | 65,458 |
Reported balance
After 2005-12-13 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2005-12-13 · Gift · Disposed 100 · Balance 65,458 F1: This amount includes 21,970 shares in 401K and 4458 shares in SEIP. |
| CommonSEC Table I · non-derivative | IndirectOwned by Wife | 3,296 |
Reported balance
Holding disclosure · report date 2005-12-13 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 3,296 F2: Reporting person disclaims beneficial ownership. |
Filing footnotes · ownership attribution and instrument terms
F1: This amount includes 21,970 shares in 401K and 4458 shares in SEIP.
F2: 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 |
|---|---|---|---|---|---|---|
| December 13, 2005 Filed Dec 14, 2005 15:55 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 100 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000788 · edgar.xml · nonDerivative · entry 1 BANWART SIDNEY C · CIK 0001171787 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,458 F1 · balance_after: This amount includes 21,970 shares in 401K and 4458 shares in SEIP. Read SEC document |
| November 08, 2005 Filed Nov 9, 2005 17:52 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 400 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000727 · edgar.xml · nonDerivative · entry 1 BANWART SIDNEY C · CIK 0001171787 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,558 F1 · balance_after: This amount includes 21,970 shares in 401K and 4458 shares in SEIP. Read SEC document |
| September 13, 2005 Filed Sep 15, 2005 17:08 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 5,202 | $0.00 Strike: $19.20 | $0.00 |
DisclosureSEC source: 0000018230-05-000617 · edgar.xml · derivative · entry 4 BANWART SIDNEY C · CIK 0001171787 · 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. 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 |
| September 13, 2005 Filed Sep 15, 2005 17:08 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,682 | $59.39 | $99,885.57 |
DisclosureSEC source: 0000018230-05-000617 · edgar.xml · nonDerivative · entry 2 BANWART SIDNEY C · CIK 0001171787 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,958 F1 · balance_after: This amount includes 21,970 shares in 401K and 4458 shares in SEIP. Read SEC document |
| September 13, 2005 Filed Sep 15, 2005 17:08 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 5,202 | $19.20 | $99,895.05 |
DisclosureSEC source: 0000018230-05-000617 · edgar.xml · nonDerivative · entry 1 BANWART SIDNEY C · CIK 0001171787 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,640 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 |
| September 08, 2005 Filed Sep 9, 2005 15:50 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 3,208 | $0.00 Strike: $31.17 | $0.00 |
DisclosureSEC source: 0000018230-05-000608 · edgar.xml · derivative · entry 4 BANWART SIDNEY C · CIK 0001171787 · 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. 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 |
| September 08, 2005 Filed Sep 9, 2005 15:50 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,707 | $58.55 | $99,944.85 |
DisclosureSEC source: 0000018230-05-000608 · edgar.xml · nonDerivative · entry 2 BANWART SIDNEY C · CIK 0001171787 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,438 F1 · balance_after: This amount includes 21,970 shares in 401K and 4458 shares in SEIP. Read SEC document |
| September 08, 2005 Filed Sep 9, 2005 15:50 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 3,208 | $31.17 | $99,999.46 |
DisclosureSEC source: 0000018230-05-000608 · edgar.xml · nonDerivative · entry 1 BANWART SIDNEY C · CIK 0001171787 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,145 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 |
| August 23, 2005 Filed Aug 24, 2005 14:43 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 40 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000582 · edgar.xml · nonDerivative · entry 1 BANWART SIDNEY C · CIK 0001171787 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,937 F1 · balance_after: This amount includes 21,970 shares in 401K and 4458 shares in SEIP. Read SEC document |
| August 01, 2005 Filed Aug 2, 2005 19:24 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 3,590 | $0.00 Strike: $27.84 | $0.00 |
DisclosureSEC source: 0000018230-05-000542 · edgar.xml · derivative · entry 7 BANWART SIDNEY C · CIK 0001171787 · 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. 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 |
| August 01, 2005 Filed Aug 2, 2005 19:24 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 3,868 | $0.00 Strike: $25.83 | $0.00 |
DisclosureSEC source: 0000018230-05-000542 · edgar.xml · derivative · entry 6 BANWART SIDNEY C · CIK 0001171787 · 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. 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 |
| August 01, 2005 Filed Aug 2, 2005 19:24 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,847 | $54.10 | $99,922.70 |
DisclosureSEC source: 0000018230-05-000542 · edgar.xml · nonDerivative · entry 4 BANWART SIDNEY C · CIK 0001171787 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,977 F1 · balance_after: This amount includes 21,970 shares in 401K and 4458 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 15,392 additional shares of common stock. Read SEC document |
| August 01, 2005 Filed Aug 2, 2005 19:24 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 3,590 | $27.84 | $99,959.24 |
DisclosureSEC source: 0000018230-05-000542 · edgar.xml · nonDerivative · entry 3 BANWART SIDNEY C · CIK 0001171787 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,824 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 |
| August 01, 2005 Filed Aug 2, 2005 19:24 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,846 | $54.10 | $99,868.60 |
DisclosureSEC source: 0000018230-05-000542 · edgar.xml · nonDerivative · entry 2 BANWART SIDNEY C · CIK 0001171787 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,234 Read SEC document |
| August 01, 2005 Filed Aug 2, 2005 19:24 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 3,868 | $25.83 | $99,903.09 |
DisclosureSEC source: 0000018230-05-000542 · edgar.xml · nonDerivative · entry 1 BANWART SIDNEY C · CIK 0001171787 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,080 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 |
| June 03, 2005 Filed Jun 6, 2005 19:48 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 25 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000423 · edgar.xml · nonDerivative · entry 1 BANWART SIDNEY C · CIK 0001171787 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,602 F1 · balance_after: This amount includes 10,992 shares in 401K, 2220 shares in SEIP and 1903 shares in dividend reinvestment. Read SEC document |
| May 09, 2005 Filed May 12, 2005 14:48 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 100 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000392 · edgar.xml · nonDerivative · entry 1 BANWART SIDNEY C · CIK 0001171787 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,627 F1 · balance_after: This amount includes 10,992 shares in 401K, 2220 shares in SEIP and 1903 shares in dividend reinvestment. Read SEC document |
| March 04, 2005 Filed Mar 7, 2005 15:51 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 15,000 | $0.00 Strike: $62.34 | $0.00 |
DisclosureSEC source: 0000018230-05-000265 · edgar.xml · derivative · entry 4 BANWART SIDNEY C · CIK 0001171787 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 15,000 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 |
| March 04, 2005 Filed Mar 7, 2005 15:51 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 15,000 | $99.00 | $1,485,000.00 |
DisclosureSEC source: 0000018230-05-000265 · edgar.xml · nonDerivative · entry 2 BANWART SIDNEY C · CIK 0001171787 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,707 F1 · balance_after: This amount includes 10,983 shares in 401K, 2209 shares in SEIP and 1903 shares in dividend reinvestment. Read SEC document |
| March 04, 2005 Filed Mar 7, 2005 15:51 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 15,000 | $62.34 | $935,157.00 |
DisclosureSEC source: 0000018230-05-000265 · edgar.xml · nonDerivative · entry 1 BANWART SIDNEY C · CIK 0001171787 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,707 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 01, 2005 Filed Mar 1, 2005 21:31 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 19,205 | $0.00 Strike: $55.69 | $0.00 |
DisclosureSEC source: 0000018230-05-000245 · edgar.xml · derivative · entry 4 BANWART SIDNEY C · CIK 0001171787 · 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 |
| March 01, 2005 Filed Mar 1, 2005 21:31 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 19,205 | $97.00 | $1,862,885.00 |
DisclosureSEC source: 0000018230-05-000245 · edgar.xml · nonDerivative · entry 2 BANWART SIDNEY C · CIK 0001171787 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,707 F1 · balance_after: This amount includes 10,983 shares in 401K, 2209 shares in SEIP and 1903 shares in dividend reinvestment. Read SEC document |
| March 01, 2005 Filed Mar 1, 2005 21:31 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 19,205 | $55.69 | $1,069,478.44 |
DisclosureSEC source: 0000018230-05-000245 · edgar.xml · nonDerivative · entry 1 BANWART SIDNEY C · CIK 0001171787 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,912 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 17:11 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherOption (NQ) · Derivative | 30,000 | $0.00 Strike: $91.29 | $0.00 |
DisclosureSEC source: 0000018230-05-000162 · edgar.xml · derivative · entry 3 BANWART SIDNEY C · CIK 0001171787 · 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 |
| February 03, 2005 Filed Feb 7, 2005 14:10 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 1,516 | $0.00 Strike: $30.16 | $0.00 |
DisclosureSEC source: 0000018230-05-000116 · edgar.xml · derivative · entry 7 BANWART SIDNEY C · CIK 0001171787 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 1,516 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. 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 |
| February 03, 2005 Filed Feb 7, 2005 14:10 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 3,038 | $0.00 Strike: $32.91 | $0.00 |
DisclosureSEC source: 0000018230-05-000116 · edgar.xml · derivative · entry 6 BANWART SIDNEY C · CIK 0001171787 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 3,038 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 |
| February 03, 2005 Filed Feb 7, 2005 14:10 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 501 | $91.15 | $45,666.15 |
DisclosureSEC source: 0000018230-05-000116 · edgar.xml · nonDerivative · entry 4 BANWART SIDNEY C · CIK 0001171787 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,707 F1 · balance_after: This amount includes 10,983 shares in 401K, 2209 shares in SEIP and 1903 shares in dividend reinvestment. Read SEC document |
| February 03, 2005 Filed Feb 7, 2005 14:10 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 1,516 | $30.16 | $45,716.80 |
DisclosureSEC source: 0000018230-05-000116 · edgar.xml · nonDerivative · entry 3 BANWART SIDNEY C · CIK 0001171787 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,208 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 03, 2005 Filed Feb 7, 2005 14:10 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,096 | $91.15 | $99,900.40 |
DisclosureSEC source: 0000018230-05-000116 · edgar.xml · nonDerivative · entry 2 BANWART SIDNEY C · CIK 0001171787 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,692 Read SEC document |
| February 03, 2005 Filed Feb 7, 2005 14:10 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 3,038 | $32.91 | $99,969.04 |
DisclosureSEC source: 0000018230-05-000116 · edgar.xml · nonDerivative · entry 1 BANWART SIDNEY C · CIK 0001171787 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,788 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, 2004 Filed Nov 19, 2004 19:34 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 300 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000656 · edgar.xml · nonDerivative · entry 1 BANWART SIDNEY C · CIK 0001171787 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,779 F1 · balance_after: This amount includes 11,017 shares in 401K, 2204 shares in SEIP and 1903 shares in dividend reinvestment. Read SEC document |
| November 05, 2004 Filed Nov 8, 2004 14:54 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 410 | $87.00 | $35,670.00 |
DisclosureSEC source: 0000018230-04-000631 · edgar.xml · nonDerivative · entry 1 BANWART SIDNEY C · CIK 0001171787 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,079 F1 · balance_after: This amount includes 11,017 shares in 401K, 2204 shares in SEIP and 1903 shares in dividend reinvestment. Read SEC document |
| November 04, 2004 Filed Nov 5, 2004 14:00 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 936 | $85.00 | $79,560.00 |
DisclosureSEC source: 0000018230-04-000626 · edgar.xml · nonDerivative · entry 2 BANWART SIDNEY C · CIK 0001171787 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,489 F1 · balance_after: This amount includes 11,017 shares in 401K, 2204 shares in SEIP and 1903 shares in dividend reinvestment. Read SEC document |
| November 04, 2004 Filed Nov 5, 2004 14:00 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 2,154 | $84.47 | $181,948.38 |
DisclosureSEC source: 0000018230-04-000626 · edgar.xml · nonDerivative · entry 1 BANWART SIDNEY C · CIK 0001171787 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,425 Read SEC document |
| November 03, 2004 Filed Nov 4, 2004 17:41 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 386 | $83.96 | $32,408.56 |
DisclosureSEC source: 0000018230-04-000616 · edgar.xml · nonDerivative · entry 1 BANWART SIDNEY C · CIK 0001171787 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,579 F1 · balance_after: This amount includes 11,017 shares in 401K, 2204 shares in SEIP and 1903 shares in dividend reinvestment. Read SEC document |
| October 01, 2004 Filed Oct 4, 2004 13:52 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 6,526 | $0.00 Strike: $51.66 | $0.00 |
DisclosureSEC source: 0000018230-04-000548 · edgar.xml · derivative · entry 10 BANWART SIDNEY C · CIK 0001171787 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 6,526 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 |
| October 01, 2004 Filed Oct 4, 2004 13:52 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 1,807 | $0.00 Strike: $32.91 | $0.00 |
DisclosureSEC source: 0000018230-04-000548 · edgar.xml · derivative · entry 9 BANWART SIDNEY C · CIK 0001171787 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 1,807 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 |
| October 01, 2004 Filed Oct 4, 2004 13:52 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 1,800 | $0.00 Strike: $30.16 | $0.00 |
DisclosureSEC source: 0000018230-04-000548 · edgar.xml · derivative · entry 8 BANWART SIDNEY C · CIK 0001171787 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 1,800 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. 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 |
| October 01, 2004 Filed Oct 4, 2004 13:52 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 4,877 | $80.45 | $392,330.27 |
DisclosureSEC source: 0000018230-04-000548 · edgar.xml · nonDerivative · entry 6 BANWART SIDNEY C · CIK 0001171787 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,951 F1 · balance_after: This amount includes 11,015 shares in 401K, 2192 shares in SEIP and 1903 shares in dividend reinvestment. Read SEC document |
| October 01, 2004 Filed Oct 4, 2004 13:52 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 6,526 | $51.66 | $337,108.36 |
DisclosureSEC source: 0000018230-04-000548 · edgar.xml · nonDerivative · entry 5 BANWART SIDNEY C · CIK 0001171787 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,828 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 4, 2004 13:52 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,053 | $80.45 | $84,708.59 |
DisclosureSEC source: 0000018230-04-000548 · edgar.xml · nonDerivative · entry 4 BANWART SIDNEY C · CIK 0001171787 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,302 Read SEC document |
| October 01, 2004 Filed Oct 4, 2004 13:52 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 1,807 | $32.91 | $59,461.50 |
DisclosureSEC source: 0000018230-04-000548 · edgar.xml · nonDerivative · entry 3 BANWART SIDNEY C · CIK 0001171787 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,355 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 4, 2004 13:52 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 674 | $80.45 | $54,219.93 |
DisclosureSEC source: 0000018230-04-000548 · edgar.xml · nonDerivative · entry 2 BANWART SIDNEY C · CIK 0001171787 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,548 Read SEC document |
| October 01, 2004 Filed Oct 4, 2004 13:52 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 1,800 | $30.16 | $54,281.16 |
DisclosureSEC source: 0000018230-04-000548 · edgar.xml · nonDerivative · entry 1 BANWART SIDNEY C · CIK 0001171787 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,222 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 |
| June 08, 2004 Filed Jun 10, 2004 15:00 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherOption (NQ) · Derivative | 30,000 | $0.00 Strike: $77.26 | $0.00 |
DisclosureSEC source: 0000018230-04-000392 · edgar.xml · derivative · entry 3 BANWART SIDNEY C · CIK 0001171787 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common · 30,000 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 30,000 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. 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 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 30,000 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| June 07, 2004 Filed Jun 9, 2004 13:32 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 812 | $0.00 Strike: $26.77 | $0.00 |
DisclosureSEC source: 0000018230-04-000349 · edgar.xml · derivative · entry 4 BANWART SIDNEY C · CIK 0001171787 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 812 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. 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 |
| June 07, 2004 Filed Jun 9, 2004 13:32 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 282 | $76.96 | $21,701.31 |
DisclosureSEC source: 0000018230-04-000349 · edgar.xml · nonDerivative · entry 2 BANWART SIDNEY C · CIK 0001171787 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,281 F1 · balance_after: This amount includes 10,884 shares in 401K, 2182 shares in SEIP and 1903 shares in dividend reinvestment. Read SEC document |
| June 07, 2004 Filed Jun 9, 2004 13:32 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 812 | $26.77 | $21,733.67 |
DisclosureSEC source: 0000018230-04-000349 · edgar.xml · nonDerivative · entry 1 BANWART SIDNEY C · CIK 0001171787 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,563 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 31, 2004 Filed Apr 19, 2004 18:47 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 617 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000260 · edgar.xml · derivative · entry 3 BANWART SIDNEY C · CIK 0001171787 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 617 shares Expires 1988-08-08 F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F4 · 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. F4 · 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 19:17 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 381 | $83.11 | $31,664.91 |
DisclosureSEC source: 0000018230-04-000078 · edgar.xml · nonDerivative · entry 1 BANWART SIDNEY C · CIK 0001171787 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,336 F1 · balance_after: This amount includes 10,659 shares in 401K, 2100 shares in SEIP and 1795 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.