Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CATERPILLAR INCCAT · Entity 2808 | Vice President | December 07, 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 December 07, 2005 · Filed December 07, 2005
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| CommonSEC Table I · non-derivative | Direct | 26,014 |
Reported balance
After 2005-12-07 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2005-12-07 · Gift · Disposed 164 · Balance 26,014 F1: This amount includes 20,386 shares in 401K, 60 shares in SEIP and 44 shares in dividend reinvestment. |
Filing footnotes · ownership attribution and instrument terms
F1: This amount includes 20,386 shares in 401K, 60 shares in SEIP and 44 shares in dividend reinvestment.
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 07, 2005 Filed Dec 7, 2005 17:30 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 164 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000779 · edgar.xml · nonDerivative · entry 1 SPRINGER WILLIAM F · CIK 0001172566 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,014 F1 · balance_after: This amount includes 20,386 shares in 401K, 60 shares in SEIP and 44 shares in dividend reinvestment. Read SEC document |
| August 01, 2005 Filed Aug 1, 2005 15:01 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 200 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000519 · edgar.xml · nonDerivative · entry 2 SPRINGER WILLIAM F · CIK 0001172566 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,178 F1 · balance_after: This amount includes 20,386 shares in 401K, 60 shares in SEIP and 44 shares in dividend reinvestment. F2 · balance_after: On July 14, 2005, the common stock of Caterpillar Inc. split 2-for-1, resulting in the reporting person's acquisition of 3344 additional shares of common stock. Read SEC document |
| July 29, 2005 Filed Aug 1, 2005 15:01 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 800 | $54.05 | $43,240.00 |
DisclosureSEC source: 0000018230-05-000519 · edgar.xml · nonDerivative · entry 1 SPRINGER WILLIAM F · CIK 0001172566 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,378 Read SEC document |
| June 03, 2005 Filed Jun 6, 2005 19:49 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 990 | $0.00 Strike: $30.16 | $0.00 |
DisclosureSEC source: 0000018230-05-000424 · edgar.xml · derivative · entry 3 SPRINGER WILLIAM F · CIK 0001172566 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 990 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 |
| June 03, 2005 Filed Jun 6, 2005 19:49 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 315 | $94.68 | $29,822.63 |
DisclosureSEC source: 0000018230-05-000424 · edgar.xml · nonDerivative · entry 2 SPRINGER WILLIAM F · CIK 0001172566 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,497 F1 · balance_after: This amount includes 10,114 shares in 401K, 30 shares in SEIP and 9 shares in dividend reinvestment. Read SEC document |
| June 03, 2005 Filed Jun 6, 2005 19:49 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 990 | $30.16 | $29,854.64 |
DisclosureSEC source: 0000018230-05-000424 · edgar.xml · nonDerivative · entry 1 SPRINGER WILLIAM F · CIK 0001172566 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,812 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 02, 2005 Filed Mar 7, 2005 21:05 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 100 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000267 · edgar.xml · nonDerivative · entry 1 SPRINGER WILLIAM F · CIK 0001172566 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,726 F1 · balance_after: This amount includes 10,018 shares in 401K, 30 shares in SEIP and 9 shares in dividend reinvestment. Read SEC document |
| February 25, 2005 Filed Feb 28, 2005 20:17 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 400 | $95.00 | $38,000.00 |
DisclosureSEC source: 0000018230-05-000223 · edgar.xml · nonDerivative · entry 1 SPRINGER WILLIAM F · CIK 0001172566 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,826 F1 · balance_after: This amount includes 10,018 shares in 401K, 30 shares in SEIP and 9 shares in dividend reinvestment. Read SEC document |
| February 18, 2005 Filed Feb 22, 2005 18:45 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherOption (NQ) · Derivative | 33,000 | $0.00 Strike: $91.29 | $0.00 |
DisclosureSEC source: 0000018230-05-000181 · edgar.xml · derivative · entry 2 SPRINGER WILLIAM F · CIK 0001172566 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,000 Underlying: Common · 33,000 shares Expires 2015-02-18 F2 · security: This option was granted with attached tax withholding rights. F3 · kind: Grant to reporting person of option to buy 33,000 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable immediately. F3 · price: Grant to reporting person of option to buy 33,000 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable immediately. F3 · derivative.exercise_date: Grant to reporting person of option to buy 33,000 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 13, 2004 Filed Dec 15, 2004 17:14 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 50 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000706 · edgar.xml · nonDerivative · entry 2 SPRINGER WILLIAM F · CIK 0001172566 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,195 F1 · balance_after: This amount includes 9996 shares in 401K and 30 shares in SEIP. Read SEC document |
| December 09, 2004 Filed Dec 15, 2004 17:14 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 25 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000706 · edgar.xml · nonDerivative · entry 1 SPRINGER WILLIAM F · CIK 0001172566 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,245 Read SEC document |
| October 29, 2004 Filed Nov 1, 2004 22:48 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 1,262 | $0.00 Strike: $32.91 | $0.00 |
DisclosureSEC source: 0000018230-04-000602 · edgar.xml · derivative · entry 3 SPRINGER WILLIAM F · CIK 0001172566 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 1,262 shares Expires 2006-06-11 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: (Right to Buy) with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| October 29, 2004 Filed Nov 1, 2004 22:48 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 737 | $80.14 | $59,059.50 |
DisclosureSEC source: 0000018230-04-000602 · edgar.xml · nonDerivative · entry 2 SPRINGER WILLIAM F · CIK 0001172566 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,270 F1 · balance_after: This amount includes 9996 shares in 401K and 30 shares in SEIP. Read SEC document |
| October 29, 2004 Filed Nov 1, 2004 22:48 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 1,262 | $32.91 | $41,527.62 |
DisclosureSEC source: 0000018230-04-000602 · edgar.xml · nonDerivative · entry 1 SPRINGER WILLIAM F · CIK 0001172566 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,007 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, 2004 Filed Oct 29, 2004 13:03 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 300 | $79.95 | $23,985.00 |
DisclosureSEC source: 0000018230-04-000588 · edgar.xml · nonDerivative · entry 1 SPRINGER WILLIAM F · CIK 0001172566 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,745 F1 · balance_after: This amount includes 9996 shares in 401K and 30 shares in SEIP. Read SEC document |
| September 14, 2004 Filed Sep 14, 2004 21:05 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 200 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000513 · edgar.xml · nonDerivative · entry 1 SPRINGER WILLIAM F · CIK 0001172566 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,988 F1 · balance_after: This amount includes 9939 shares in 401K and 30 shares in SEIP. Read SEC document |
| June 08, 2004 Filed Jun 10, 2004 16:13 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherOption (NQ) · Derivative | 32,000 | $0.00 Strike: $77.26 | $0.00 |
DisclosureSEC source: 0000018230-04-000421 · edgar.xml · derivative · entry 2 SPRINGER WILLIAM F · CIK 0001172566 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,000 Underlying: Common · 32,000 shares Expires 2014-06-08 F2 · security: This option was granted with attached tax withholding rights. F3 · kind: Grant to reporting person of option to buy 32,000 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. F3 · price: Grant to reporting person of option to buy 32,000 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. F3 · derivative.exercise_date: Grant to reporting person of option to buy 32,000 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 23, 2004 Filed Feb 25, 2004 17:15 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 1,000 | $0.00 Strike: $32.91 | $0.00 |
DisclosureSEC source: 0000018230-04-000136 · edgar.xml · derivative · entry 6 SPRINGER WILLIAM F · CIK 0001172566 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 1,000 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.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| February 23, 2004 Filed Feb 25, 2004 17:15 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 950 | $0.00 Strike: $30.16 | $0.00 |
DisclosureSEC source: 0000018230-04-000136 · edgar.xml · derivative · entry 5 SPRINGER WILLIAM F · CIK 0001172566 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 950 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 |
| February 23, 2004 Filed Feb 25, 2004 17:15 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 598 | $77.19 | $46,159.62 |
DisclosureSEC source: 0000018230-04-000136 · edgar.xml · nonDerivative · entry 4 SPRINGER WILLIAM F · CIK 0001172566 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,021 F1 · balance_after: This amount includes 9788 shares in 401K and 14 shares in SEIP. Read SEC document |
| February 23, 2004 Filed Feb 25, 2004 17:15 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 1,000 | $32.91 | $32,906.20 |
DisclosureSEC source: 0000018230-04-000136 · edgar.xml · nonDerivative · entry 3 SPRINGER WILLIAM F · CIK 0001172566 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,619 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 23, 2004 Filed Feb 25, 2004 17:15 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 371 | $77.19 | $28,637.49 |
DisclosureSEC source: 0000018230-04-000136 · edgar.xml · nonDerivative · entry 2 SPRINGER WILLIAM F · CIK 0001172566 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,619 Read SEC document |
| February 23, 2004 Filed Feb 25, 2004 17:15 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 950 | $30.16 | $28,648.39 |
DisclosureSEC source: 0000018230-04-000136 · edgar.xml · nonDerivative · entry 1 SPRINGER WILLIAM F · CIK 0001172566 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,990 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 20, 2004 Filed Jan 20, 2004 16:49 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 98 | $83.11 | $8,144.78 |
DisclosureSEC source: 0000018230-04-000040 · edgar.xml · nonDerivative · entry 1 SPRINGER WILLIAM F · CIK 0001172566 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,040 F1 · balance_after: This amount includes 9788 shares in 401K and 14 shares in SEIP. Read SEC document |
| November 11, 2003 Filed Nov 13, 2003 19:41 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 50 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-03-000492 · edgar.xml · nonDerivative · entry 4 SPRINGER WILLIAM F · CIK 0001172566 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,083 F1 · balance_after: This amount includes 9747 shares in 401K. Read SEC document |
| November 10, 2003 Filed Nov 13, 2003 19:41 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 25 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-03-000492 · edgar.xml · nonDerivative · entry 3 SPRINGER WILLIAM F · CIK 0001172566 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,133 Read SEC document |
| November 06, 2003 Filed Nov 13, 2003 19:41 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 20 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-03-000492 · edgar.xml · nonDerivative · entry 2 SPRINGER WILLIAM F · CIK 0001172566 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,158 Read SEC document |
| November 05, 2003 Filed Nov 13, 2003 19:41 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 150 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-03-000492 · edgar.xml · nonDerivative · entry 1 SPRINGER WILLIAM F · CIK 0001172566 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,178 Read SEC document |
| August 12, 2003 Filed Aug 13, 2003 15:21 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 2,080 | $0.00 Strike: $26.77 | $0.00 |
DisclosureSEC source: 0000018230-03-000399 · edgar.xml · derivative · entry 3 SPRINGER WILLIAM F · CIK 0001172566 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 2,080 shares Expires 2004-06-07 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: (Right to Buy) with tandem tax withholding rights. F3 · derivative.exercise_date: Exerciable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| August 12, 2003 Filed Aug 13, 2003 15:21 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 804 | $69.23 | $55,660.92 |
DisclosureSEC source: 0000018230-03-000399 · edgar.xml · nonDerivative · entry 2 SPRINGER WILLIAM F · CIK 0001172566 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,328 F1 · balance_after: This amount includes 9747 shares in 401K. Read SEC document |
| August 12, 2003 Filed Aug 13, 2003 15:21 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 2,080 | $26.77 | $55,672.45 |
DisclosureSEC source: 0000018230-03-000399 · edgar.xml · nonDerivative · entry 1 SPRINGER WILLIAM F · CIK 0001172566 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,132 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.