Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CATERPILLAR INCCAT · Entity 2808 | Vice President | November 22, 2005 | November 23, 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 22, 2005 · Filed November 23, 2005
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| CommonSEC Table I · non-derivative | Direct | 15,006 |
Reported balance
After 2005-11-22 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2005-11-22 · Gift · Disposed 150 · Balance 15,006 F1: This amount includes 8844 shares in 401K and 48 shares in dividend reinvestment. |
Filing footnotes · ownership attribution and instrument terms
F1: This amount includes 8844 shares in 401K and 48 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 |
|---|---|---|---|---|---|---|
| November 22, 2005 Filed Nov 23, 2005 14:06 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 150 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000747 · edgar.xml · nonDerivative · entry 1 Rohner William J · CIK 0001307210 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,006 F1 · balance_after: This amount includes 8844 shares in 401K and 48 shares in dividend reinvestment. Read SEC document |
| October 31, 2005 Filed Nov 1, 2005 15:29 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherCommon | 8,844 | $52.59 | $465,105.96 |
DisclosureSEC source: 0000018230-05-000703 · edgar.xml · nonDerivative · entry 1 Rohner William J · CIK 0001307210 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,156 F1 · balance_after: This amount includes 8844 shares in 401K and 48 shares in dividend reinvestment. Read SEC document |
| August 10, 2005 Filed Aug 11, 2005 15:32 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 2,216 | $55.00 | $121,880.00 |
DisclosureSEC source: 0000018230-05-000575 · edgar.xml · nonDerivative · entry 2 Rohner William J · CIK 0001307210 · Vice President 10b5-1 filing: Not disclosed Ownership: Indirect · Wife's Trust Disclosed balance after: 0 F2 · ownership.nature: Reporting person disclaims beneficial ownership. Read SEC document |
| August 02, 2005 Filed Aug 3, 2005 13:23 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 3,868 | $0.00 Strike: $25.83 | $0.00 |
DisclosureSEC source: 0000018230-05-000547 · edgar.xml · derivative · entry 8 Rohner William J · CIK 0001307210 · 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 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 |
| August 02, 2005 Filed Aug 3, 2005 13:23 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 2,750 | $0.00 Strike: $27.84 | $0.00 |
DisclosureSEC source: 0000018230-05-000547 · edgar.xml · derivative · entry 7 Rohner William J · CIK 0001307210 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 2,750 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 |
| August 02, 2005 Filed Aug 3, 2005 13:23 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 2,732 | $0.00 Strike: $25.83 | $0.00 |
DisclosureSEC source: 0000018230-05-000547 · edgar.xml · derivative · entry 6 Rohner William J · CIK 0001307210 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 2,732 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 |
| August 02, 2005 Filed Aug 3, 2005 13:23 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 5,482 | $54.28 | $297,535.55 |
DisclosureSEC source: 0000018230-05-000547 · edgar.xml · nonDerivative · entry 4 Rohner William J · CIK 0001307210 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,312 F1 · balance_after: This amount includes 48 shares in dividend reinvestment. Read SEC document |
| August 02, 2005 Filed Aug 3, 2005 13:23 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 3,868 | $25.83 | $99,903.09 |
DisclosureSEC source: 0000018230-05-000547 · edgar.xml · nonDerivative · entry 3 Rohner William J · CIK 0001307210 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,794 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 02, 2005 Filed Aug 3, 2005 13:23 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 2,750 | $27.84 | $76,570.45 |
DisclosureSEC source: 0000018230-05-000547 · edgar.xml · nonDerivative · entry 2 Rohner William J · CIK 0001307210 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,926 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 02, 2005 Filed Aug 3, 2005 13:23 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 2,732 | $25.83 | $70,562.37 |
DisclosureSEC source: 0000018230-05-000547 · edgar.xml · nonDerivative · entry 1 Rohner William J · CIK 0001307210 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,179 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 13:54 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 2,000 | $52.50 | $105,000.00 |
DisclosureSEC source: 0000018230-05-000481 · edgar.xml · nonDerivative · entry 2 Rohner William J · CIK 0001307210 · Vice President 10b5-1 filing: Not disclosed Ownership: Indirect · Wife's Trust Disclosed balance after: 2,216 F4 · balance_after: On July 14, 2005, the common stock of Caterpillar Inc. split 2-for-1, resulting in the reporting person's acquisition of 2108 additional shares of common stock. F2 · ownership.nature: Reporting person disclaims beneficial ownership. Read SEC document |
| June 20, 2005 Filed Jun 27, 2005 16:39 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 3,000 | $0.00 Strike: $51.66 | $0.00 |
DisclosureSEC source: 0000018230-05-000455 · edgar.xml · derivative · entry 4 Rohner William J · CIK 0001307210 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 3,000 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 |
| June 20, 2005 Filed Jun 27, 2005 16:39 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,972 | $100.42 | $198,018.38 |
DisclosureSEC source: 0000018230-05-000455 · edgar.xml · nonDerivative · entry 2 Rohner William J · CIK 0001307210 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,221 F1 · balance_after: This amount includes 23 shares in dividend reinvestment. Read SEC document |
| June 20, 2005 Filed Jun 27, 2005 16:39 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 3,000 | $51.66 | $154,968.60 |
DisclosureSEC source: 0000018230-05-000455 · edgar.xml · nonDerivative · entry 1 Rohner William J · CIK 0001307210 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,193 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 20:11 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 1,000 | $100.00 | $100,000.00 |
DisclosureSEC source: 0000018230-05-000447 · edgar.xml · nonDerivative · entry 2 Rohner William J · CIK 0001307210 · Vice President 10b5-1 filing: Not disclosed Ownership: Indirect · Wife's Trust Disclosed balance after: 2,108 F2 · ownership.nature: Reporting person disclaims beneficial ownership. Read SEC document |
| June 01, 2005 Filed Jun 3, 2005 14:46 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 1,000 | $95.00 | $95,000.00 |
DisclosureSEC source: 0000018230-05-000420 · edgar.xml · nonDerivative · entry 2 Rohner William J · CIK 0001307210 · Vice President 10b5-1 filing: Not disclosed Ownership: Indirect · Wife's Trust Disclosed balance after: 3,108 F2 · ownership.nature: Reporting person disclaims beneficial ownership. Read SEC document |
| May 06, 2005 Filed May 9, 2005 14:07 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 1,000 | $90.65 | $90,650.00 |
DisclosureSEC source: 0000018230-05-000386 · edgar.xml · nonDerivative · entry 2 Rohner William J · CIK 0001307210 · Vice President 10b5-1 filing: Not disclosed Ownership: Indirect · Wife's Trust Disclosed balance after: 4,108 F2 · ownership.nature: Reporting person disclaims beneficial ownership. Read SEC document |
| February 18, 2005 Filed Feb 22, 2005 18:48 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherOption (NQ) · Derivative | 27,000 | $0.00 Strike: $91.29 | $0.00 |
DisclosureSEC source: 0000018230-05-000183 · edgar.xml · derivative · entry 2 Rohner William J · CIK 0001307210 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,000 Underlying: Common · 27,000 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 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 immediately. F3 · 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 immediately. F3 · 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 immediately. Read SEC document |
| January 31, 2005 Filed Feb 2, 2005 18:44 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 55 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000080 · edgar.xml · derivative · entry 3 Rohner William J · CIK 0001307210 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 55 shares Expires not disclosed 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 31, 2005 Filed Feb 3, 2005 18:21 UTC Amendment | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 0 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000101 · edgar.xml · derivative · entry 3 Rohner William J · CIK 0001307210 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 0 shares Expires not disclosed F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F5 · shares: Shares were incorrectly stated and were not acquired in the Caterpillar Stock Fund. 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. F5 · derivative.underlying_shares: Shares were incorrectly stated and were not acquired in the Caterpillar Stock Fund. Read SEC document |
| January 27, 2005 Filed Jan 31, 2005 18:50 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 5,108 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000046 · edgar.xml · nonDerivative · entry 2 Rohner William J · CIK 0001307210 · Vice President 10b5-1 filing: Not disclosed Ownership: Indirect · Wife's Trust Disclosed balance after: 5,108 F2 · ownership.nature: Reporting person disclaims beneficial ownership. Read SEC document |
| January 27, 2005 Filed Jan 31, 2005 18:50 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 5,108 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000046 · edgar.xml · nonDerivative · entry 1 Rohner William J · CIK 0001307210 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 171 F1 · balance_after: This amount includes 1 share in dividend reinvestment. Read SEC document |
| January 04, 2005 Filed Jan 21, 2005 15:44 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 100 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000032 · edgar.xml · nonDerivative · entry 1 Rohner William J · CIK 0001307210 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,279 F1 · balance_after: This amount includes 261 shares in dividend reinvestment. Read SEC document |
| December 31, 2004 Filed Jan 4, 2005 15:38 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 50 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000021 · edgar.xml · derivative · entry 2 Rohner William J · CIK 0001307210 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 50 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · 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. F3 · 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 |
| December 31, 2004 Filed Feb 7, 2005 14:06 UTC Amendment | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 0 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000115 · edgar.xml · derivative · entry 2 Rohner William J · CIK 0001307210 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 0 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F4 · shares: Shares were incorrectly stated and were not acquired in the Caterpillar Stock Fund. F3 · 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. F3 · 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. F4 · derivative.underlying_shares: Shares were incorrectly stated and were not acquired in the Caterpillar Stock Fund. 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.