Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CATERPILLAR INCCAT · Entity 2808 | Vice President | November 28, 2005 | December 07, 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 November 28, 2005 · Filed December 07, 2005
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| CommonSEC Table I · non-derivative | Direct | 37,098 |
Reported balance
After 2005-11-28 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2005-11-28 · Gift · Disposed 300 · Balance 37,098 |
| CommonSEC Table I · non-derivative | Direct | 36,318 |
Reported balance
After 2005-11-30 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2005-11-30 · Gift · Disposed 780 · Balance 36,318 F1: This amount includes 11,820 shares in 401K, 46 shares in SEIP and 3158 shares in dividend reinvestment. |
| CommonSEC Table I · non-derivative | IndirectOwned by Wife | 25,096 |
Reported balance
Holding disclosure · report date 2005-11-28 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 25,096 F2: Reporting person disclaims beneficial ownership. |
Filing footnotes · ownership attribution and instrument terms
F1: This amount includes 11,820 shares in 401K, 46 shares in SEIP and 3158 shares in dividend reinvestment.
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 |
|---|---|---|---|---|---|---|
| November 30, 2005 Filed Dec 7, 2005 17:33 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 780 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000781 · edgar.xml · nonDerivative · entry 2 GALES THOMAS A · CIK 0001171773 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,318 F1 · balance_after: This amount includes 11,820 shares in 401K, 46 shares in SEIP and 3158 shares in dividend reinvestment. Read SEC document |
| November 28, 2005 Filed Dec 7, 2005 17:33 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 300 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000781 · edgar.xml · nonDerivative · entry 1 GALES THOMAS A · CIK 0001171773 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,098 Read SEC document |
| November 16, 2005 Filed Nov 17, 2005 21:59 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 3,208 | $0.00 Strike: $31.17 | $0.00 |
DisclosureSEC source: 0000018230-05-000741 · edgar.xml · derivative · entry 10 GALES THOMAS A · CIK 0001171773 · 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 tax witholding rights F4 · derivative.exercise_date: Exercisable in thirds, 1/3 after 1 year, 1/3 after 2 years, 1/3 after 3 years Read SEC document |
| November 16, 2005 Filed Nov 17, 2005 21:59 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 3,590 | $0.00 Strike: $27.84 | $0.00 |
DisclosureSEC source: 0000018230-05-000741 · edgar.xml · derivative · entry 9 GALES THOMAS A · CIK 0001171773 · 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. F3 · security: (Right to buy) with tax witholding rights F4 · derivative.exercise_date: Exercisable in thirds, 1/3 after 1 year, 1/3 after 2 years, 1/3 after 3 years Read SEC document |
| November 16, 2005 Filed Nov 17, 2005 21:59 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 3,868 | $0.00 Strike: $25.83 | $0.00 |
DisclosureSEC source: 0000018230-05-000741 · edgar.xml · derivative · entry 8 GALES THOMAS A · CIK 0001171773 · 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. F3 · security: (Right to buy) with tax witholding rights F4 · derivative.exercise_date: Exercisable in thirds, 1/3 after 1 year, 1/3 after 2 years, 1/3 after 3 years Read SEC document |
| November 16, 2005 Filed Nov 17, 2005 21:59 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,767 | $56.58 | $99,976.86 |
DisclosureSEC source: 0000018230-05-000741 · edgar.xml · nonDerivative · entry 6 GALES THOMAS A · CIK 0001171773 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,398 F1 · balance_after: This amount includes 11,820 shares in 401K, 46 shares in SEIP and 3158 shares in dividend reinvestment. Read SEC document |
| November 16, 2005 Filed Nov 17, 2005 21:59 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 3,208 | $31.17 | $99,999.46 |
DisclosureSEC source: 0000018230-05-000741 · edgar.xml · nonDerivative · entry 5 GALES THOMAS A · CIK 0001171773 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,165 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 21:59 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,766 | $56.58 | $99,920.28 |
DisclosureSEC source: 0000018230-05-000741 · edgar.xml · nonDerivative · entry 4 GALES THOMAS A · CIK 0001171773 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,957 Read SEC document |
| November 16, 2005 Filed Nov 17, 2005 21:59 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 3,590 | $27.84 | $99,959.24 |
DisclosureSEC source: 0000018230-05-000741 · edgar.xml · nonDerivative · entry 3 GALES THOMAS A · CIK 0001171773 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,723 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 21:59 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,765 | $56.58 | $99,863.70 |
DisclosureSEC source: 0000018230-05-000741 · edgar.xml · nonDerivative · entry 2 GALES THOMAS A · CIK 0001171773 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,133 Read SEC document |
| November 16, 2005 Filed Nov 17, 2005 21:59 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 3,868 | $25.83 | $99,903.09 |
DisclosureSEC source: 0000018230-05-000741 · edgar.xml · nonDerivative · entry 1 GALES THOMAS A · CIK 0001171773 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,898 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 19, 2005 Filed Jul 20, 2005 13:45 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 15,000 | $0.00 Strike: $19.20 | $0.00 |
DisclosureSEC source: 0000018230-05-000480 · edgar.xml · derivative · entry 4 GALES THOMAS A · CIK 0001171773 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 15,000 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 tax witholding rights F4 · derivative.exercise_date: Exercisable in thirds, 1/3 after 1 year, 1/3 after 2 years, 1/3 after 3 years Read SEC document |
| July 19, 2005 Filed Jul 20, 2005 13:45 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 15,000 | $52.50 | $787,500.00 |
DisclosureSEC source: 0000018230-05-000480 · edgar.xml · nonDerivative · entry 2 GALES THOMAS A · CIK 0001171773 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,030 F1 · balance_after: This amount includes 11,820 shares in 401K, 46 shares in SEIP and 3158 shares in dividend reinvestment. F5 · balance_after: On July 14, 2005, the common stock of Caterpillar Inc. split 2-for-1, resulting in the reporting person's acquisition of 8,503 additional shares of common stock. Read SEC document |
| July 19, 2005 Filed Jul 20, 2005 13:45 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 15,000 | $19.20 | $288,048.00 |
DisclosureSEC source: 0000018230-05-000480 · edgar.xml · nonDerivative · entry 1 GALES THOMAS A · CIK 0001171773 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,030 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 17, 2005 Filed Jun 20, 2005 19:48 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 7,500 | $0.00 Strike: $38.41 | $0.00 |
DisclosureSEC source: 0000018230-05-000442 · edgar.xml · derivative · entry 4 GALES THOMAS A · CIK 0001171773 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 7,500 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 tax witholding rights F4 · derivative.exercise_date: Exercisable in thirds, 1/3 after 1 year, 1/3 after 2 years, 1/3 after 3 years Read SEC document |
| June 17, 2005 Filed Jun 20, 2005 19:48 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 7,500 | $100.00 | $750,000.00 |
DisclosureSEC source: 0000018230-05-000442 · edgar.xml · nonDerivative · entry 2 GALES THOMAS A · CIK 0001171773 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,891 F1 · balance_after: This amount includes 5856 shares in 401K, 22 shares in SEIP and 1510 shares in dividend reinvestment. Read SEC document |
| June 17, 2005 Filed Jun 20, 2005 19:48 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 7,500 | $38.41 | $288,045.00 |
DisclosureSEC source: 0000018230-05-000442 · edgar.xml · nonDerivative · entry 1 GALES THOMAS A · CIK 0001171773 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,391 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 2, 2005 17:17 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon | 250 | $96.02 | $24,005.00 |
DisclosureSEC source: 0000018230-05-000250 · edgar.xml · nonDerivative · entry 1 GALES THOMAS A · CIK 0001171773 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,891 F3 · kind: Restricted stock awarded pursuant to Caterpillar Inc. 1996 Stock Option and Long-Term Incentive Plan. F1 · balance_after: This amount includes 5856 shares in 401K, 22 shares in SEIP and 1510 shares in dividend reinvestment. Read SEC document |
| February 25, 2005 Filed Feb 28, 2005 20:16 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 5,000 | $0.00 Strike: $38.41 | $0.00 |
DisclosureSEC source: 0000018230-05-000222 · edgar.xml · derivative · entry 4 GALES THOMAS A · CIK 0001171773 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 5,000 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 |
| February 25, 2005 Filed Feb 28, 2005 20:16 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 5,000 | $95.00 | $475,000.00 |
DisclosureSEC source: 0000018230-05-000222 · edgar.xml · nonDerivative · entry 2 GALES THOMAS A · CIK 0001171773 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,641 F1 · balance_after: This amount includes 5856 shares in 401K, 22 shares in SEIP and 1510 shares in dividend reinvestment. Read SEC document |
| February 25, 2005 Filed Feb 28, 2005 20:16 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 5,000 | $38.41 | $192,031.50 |
DisclosureSEC source: 0000018230-05-000222 · edgar.xml · nonDerivative · entry 1 GALES THOMAS A · CIK 0001171773 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,641 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 13:57 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherOption (NQ) · Derivative | 30,000 | $0.00 Strike: $91.29 | $0.00 |
DisclosureSEC source: 0000018230-05-000142 · edgar.xml · derivative · entry 3 GALES THOMAS A · CIK 0001171773 · 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 23, 2004 Filed Jan 3, 2005 14:57 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 1,600 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000002 · edgar.xml · nonDerivative · entry 5 GALES THOMAS A · CIK 0001171773 · Vice President 10b5-1 filing: Not disclosed Ownership: Indirect · Owned by Wife Disclosed balance after: 12,548 F2 · ownership.nature: Reporting person disclaims beneficial ownership. Read SEC document |
| December 23, 2004 Filed Jan 3, 2005 14:57 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 1,600 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000002 · edgar.xml · nonDerivative · entry 4 GALES THOMAS A · CIK 0001171773 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,628 F1 · balance_after: This amount includes 5843 shares in 401K, 22 shares in SEIP and 1510 shares in dividend reinvestment. Read SEC document |
| December 20, 2004 Filed Jan 3, 2005 14:57 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 200 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000002 · edgar.xml · nonDerivative · entry 3 GALES THOMAS A · CIK 0001171773 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,228 Read SEC document |
| December 16, 2004 Filed Jan 3, 2005 14:57 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 200 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000002 · edgar.xml · nonDerivative · entry 2 GALES THOMAS A · CIK 0001171773 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,428 Read SEC document |
| December 13, 2004 Filed Jan 3, 2005 14:57 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 200 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000002 · edgar.xml · nonDerivative · entry 1 GALES THOMAS A · CIK 0001171773 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,628 Read SEC document |
| November 23, 2004 Filed Nov 24, 2004 15:39 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 2,601 | $0.00 Strike: $38.41 | $0.00 |
DisclosureSEC source: 0000018230-04-000664 · edgar.xml · derivative · entry 4 GALES THOMAS A · CIK 0001171773 · 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 |
| November 23, 2004 Filed Nov 24, 2004 15:39 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,099 | $90.88 | $99,877.12 |
DisclosureSEC source: 0000018230-04-000664 · edgar.xml · nonDerivative · entry 2 GALES THOMAS A · CIK 0001171773 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,750 F1 · balance_after: This amount includes 5843 shares in 401K, 22 shares in SEIP and 1432 shares in dividend reinvestment. Read SEC document |
| November 23, 2004 Filed Nov 24, 2004 15:39 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 2,601 | $38.41 | $99,894.79 |
DisclosureSEC source: 0000018230-04-000664 · edgar.xml · nonDerivative · entry 1 GALES THOMAS A · CIK 0001171773 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,849 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 15:07 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherOption (NQ) · Derivative | 27,000 | $0.00 Strike: $77.26 | $0.00 |
DisclosureSEC source: 0000018230-04-000396 · edgar.xml · derivative · entry 3 GALES THOMAS A · CIK 0001171773 · 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 |
| January 20, 2004 Filed Jan 20, 2004 17:48 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 188 | $83.11 | $15,624.68 |
DisclosureSEC source: 0000018230-04-000064 · edgar.xml · nonDerivative · entry 1 GALES THOMAS A · CIK 0001171773 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,088 F1 · balance_after: This amount includes 5756 shares in 401K, 22 shares in SEIP and 1359 shares in dividend reinvestment. Read SEC document |
| December 18, 2003 Filed Jan 7, 2004 15:43 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 900 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000022 · edgar.xml · nonDerivative · entry 2 GALES THOMAS A · CIK 0001171773 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,193 F1 · balance_after: This amount includes 5762 shares in 401K, 22 shares in SEIP and 1270 shares in dividend reinvestment. Read SEC document |
| December 08, 2003 Filed Jan 7, 2004 15:43 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 1 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000022 · edgar.xml · nonDerivative · entry 1 GALES THOMAS A · CIK 0001171773 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,093 Read SEC document |
| December 05, 2003 Filed Dec 8, 2003 16:21 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 4,382 | $0.00 Strike: $32.91 | $0.00 |
DisclosureSEC source: 0000018230-03-000515 · edgar.xml · derivative · entry 7 GALES THOMAS A · CIK 0001171773 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 4,382 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 |
| December 05, 2003 Filed Dec 8, 2003 16:21 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 3,038 | $0.00 Strike: $32.91 | $0.00 |
DisclosureSEC source: 0000018230-03-000515 · edgar.xml · derivative · entry 6 GALES THOMAS A · CIK 0001171773 · 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 |
| December 05, 2003 Filed Dec 8, 2003 16:21 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 2,543 | $76.56 | $194,692.08 |
DisclosureSEC source: 0000018230-03-000515 · edgar.xml · nonDerivative · entry 4 GALES THOMAS A · CIK 0001171773 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,092 F1 · balance_after: This amount includes 5762 shares in 401K, 22 shares in SEIP and 1270 shares in dividend reinvestment. Read SEC document |
| December 05, 2003 Filed Dec 8, 2003 16:21 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 4,382 | $32.91 | $144,194.97 |
DisclosureSEC source: 0000018230-03-000515 · edgar.xml · nonDerivative · entry 3 GALES THOMAS A · CIK 0001171773 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,635 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 05, 2003 Filed Dec 8, 2003 16:21 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,305 | $76.56 | $99,910.80 |
DisclosureSEC source: 0000018230-03-000515 · edgar.xml · nonDerivative · entry 2 GALES THOMAS A · CIK 0001171773 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,253 Read SEC document |
| December 05, 2003 Filed Dec 8, 2003 16:21 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 3,038 | $32.91 | $99,969.04 |
DisclosureSEC source: 0000018230-03-000515 · edgar.xml · nonDerivative · entry 1 GALES THOMAS A · CIK 0001171773 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,558 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.