Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CATERPILLAR INCCAT · Entity 2808 | Vice President | November 14, 2005 | November 15, 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 14, 2005 · Filed November 15, 2005
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| CommonSEC Table I · non-derivative | Direct | 76,394 |
Reported balance
After 2005-11-14 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2005-11-14 · Sale · Disposed 15,000 · Balance 76,394 F1: This amount includes 11,344 shares in 401K and 1538 shares in dividend reinvestment. F2: On July 14, 2005, the common stock of Caterpillar Inc. split 2-for-1, resulting in the reporting person's acquisition of 39,256 additional shares of common stock. |
Filing footnotes · ownership attribution and instrument terms
F1: This amount includes 11,344 shares in 401K and 1538 shares in dividend reinvestment.
F2: On July 14, 2005, the common stock of Caterpillar Inc. split 2-for-1, resulting in the reporting person's acquisition of 39,256 additional shares of common stock.
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 14, 2005 Filed Nov 15, 2005 20:07 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 15,000 | $55.00 | $825,000.00 |
DisclosureSEC source: 0000018230-05-000734 · edgar.xml · nonDerivative · entry 1 MACIER ROBERT R · CIK 0001171779 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,394 F1 · balance_after: This amount includes 11,344 shares in 401K and 1538 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 39,256 additional shares of common stock. Read SEC document |
| July 11, 2005 Filed Jul 12, 2005 19:11 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 14,000 | $0.00 Strike: $53.53 | $0.00 |
DisclosureSEC source: 0000018230-05-000476 · edgar.xml · derivative · entry 3 MACIER ROBERT R · CIK 0001171779 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 14,000 shares Expires 2011-06-12 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. F2 · security: (Right to buy) with tandem tax witholding rights F3 · 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 11, 2005 Filed Jul 12, 2005 19:11 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 10,555 | $99.48 | $1,049,958.63 |
DisclosureSEC source: 0000018230-05-000476 · edgar.xml · nonDerivative · entry 2 MACIER ROBERT R · CIK 0001171779 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,697 F1 · balance_after: This amount includes 5672 shares in 401K and 769 shares in dividend reinvestment. Read SEC document |
| July 11, 2005 Filed Jul 12, 2005 19:11 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 14,000 | $53.53 | $749,420.00 |
DisclosureSEC source: 0000018230-05-000476 · edgar.xml · nonDerivative · entry 1 MACIER ROBERT R · CIK 0001171779 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,252 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 23, 2005 Filed Jun 27, 2005 13:43 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 10,000 | $0.00 Strike: $53.53 | $0.00 |
DisclosureSEC source: 0000018230-05-000453 · edgar.xml · derivative · entry 6 MACIER ROBERT R · CIK 0001171779 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 10,000 shares Expires 2011-06-12 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. F2 · security: (Right to buy) with tandem tax witholding rights F3 · 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 23, 2005 Filed Jun 27, 2005 13:43 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 19,396 | $0.00 Strike: $62.34 | $0.00 |
DisclosureSEC source: 0000018230-05-000453 · edgar.xml · derivative · entry 5 MACIER ROBERT R · CIK 0001171779 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 19,396 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. F2 · security: (Right to buy) with tandem tax witholding rights F3 · 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 23, 2005 Filed Jun 27, 2005 13:43 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 7,540 | $99.43 | $749,664.50 |
DisclosureSEC source: 0000018230-05-000453 · edgar.xml · nonDerivative · entry 4 MACIER ROBERT R · CIK 0001171779 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,185 F1 · balance_after: This amount includes 5621 shares in 401K and 753 shares in dividend reinvestment. Read SEC document |
| June 23, 2005 Filed Jun 27, 2005 13:43 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 10,000 | $53.53 | $535,300.00 |
DisclosureSEC source: 0000018230-05-000453 · edgar.xml · nonDerivative · entry 3 MACIER ROBERT R · CIK 0001171779 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,725 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 23, 2005 Filed Jun 27, 2005 13:43 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 15,543 | $99.43 | $1,545,362.78 |
DisclosureSEC source: 0000018230-05-000453 · edgar.xml · nonDerivative · entry 2 MACIER ROBERT R · CIK 0001171779 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,725 Read SEC document |
| June 23, 2005 Filed Jun 27, 2005 13:43 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 19,396 | $62.34 | $1,209,220.34 |
DisclosureSEC source: 0000018230-05-000453 · edgar.xml · nonDerivative · entry 1 MACIER ROBERT R · CIK 0001171779 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,268 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 22, 2005 Filed Jun 23, 2005 17:44 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 27,000 | $0.00 Strike: $50.72 | $0.00 |
DisclosureSEC source: 0000018230-05-000451 · edgar.xml · derivative · entry 9 MACIER ROBERT R · CIK 0001171779 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 27,000 shares Expires 2012-06-11 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 witholding rights F3 · 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 22, 2005 Filed Jun 23, 2005 17:44 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 2,601 | $0.00 Strike: $38.41 | $0.00 |
DisclosureSEC source: 0000018230-05-000451 · edgar.xml · derivative · entry 8 MACIER ROBERT R · CIK 0001171779 · 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. F2 · security: (Right to buy) with tandem tax witholding rights F3 · 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 22, 2005 Filed Jun 23, 2005 17:44 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 1,604 | $0.00 Strike: $62.34 | $0.00 |
DisclosureSEC source: 0000018230-05-000451 · edgar.xml · derivative · entry 7 MACIER ROBERT R · CIK 0001171779 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 1,604 shares Expires 2009-06-08 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: (Right to buy) with tandem tax witholding rights F3 · 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 22, 2005 Filed Jun 23, 2005 17:44 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 19,814 | $101.37 | $2,008,545.18 |
DisclosureSEC source: 0000018230-05-000451 · edgar.xml · nonDerivative · entry 6 MACIER ROBERT R · CIK 0001171779 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,872 F1 · balance_after: This amount includes 5621 shares in 401K and 753 shares in dividend reinvestment. Read SEC document |
| June 22, 2005 Filed Jun 23, 2005 17:44 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 27,000 | $50.72 | $1,369,305.00 |
DisclosureSEC source: 0000018230-05-000451 · edgar.xml · nonDerivative · entry 5 MACIER ROBERT R · CIK 0001171779 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,686 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 22, 2005 Filed Jun 23, 2005 17:44 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 985 | $101.37 | $99,849.45 |
DisclosureSEC source: 0000018230-05-000451 · edgar.xml · nonDerivative · entry 4 MACIER ROBERT R · CIK 0001171779 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,686 Read SEC document |
| June 22, 2005 Filed Jun 23, 2005 17:44 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 2,601 | $38.41 | $99,894.79 |
DisclosureSEC source: 0000018230-05-000451 · edgar.xml · nonDerivative · entry 3 MACIER ROBERT R · CIK 0001171779 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,671 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 22, 2005 Filed Jun 23, 2005 17:44 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 986 | $101.37 | $99,950.82 |
DisclosureSEC source: 0000018230-05-000451 · edgar.xml · nonDerivative · entry 2 MACIER ROBERT R · CIK 0001171779 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,070 Read SEC document |
| June 22, 2005 Filed Jun 23, 2005 17:44 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 1,604 | $62.34 | $99,999.46 |
DisclosureSEC source: 0000018230-05-000451 · edgar.xml · nonDerivative · entry 1 MACIER ROBERT R · CIK 0001171779 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,056 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 19:44 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 7,649 | $0.00 Strike: $38.41 | $0.00 |
DisclosureSEC source: 0000018230-05-000441 · edgar.xml · derivative · entry 3 MACIER ROBERT R · CIK 0001171779 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 7,649 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. F2 · security: (Right to buy) with tandem tax witholding rights F3 · 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 19:44 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 7,649 | $100.00 | $764,900.00 |
DisclosureSEC source: 0000018230-05-000441 · edgar.xml · nonDerivative · entry 2 MACIER ROBERT R · CIK 0001171779 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,452 F1 · balance_after: This amount includes 5621 shares in 401K and 753 shares in dividend reinvestment. Read SEC document |
| June 17, 2005 Filed Jun 20, 2005 19:44 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 7,649 | $38.41 | $293,767.49 |
DisclosureSEC source: 0000018230-05-000441 · edgar.xml · nonDerivative · entry 1 MACIER ROBERT R · CIK 0001171779 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,101 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 3, 2005 15:37 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 534 | $96.02 | $51,274.68 |
DisclosureSEC source: 0000018230-05-000258 · edgar.xml · nonDerivative · entry 1 MACIER ROBERT R · CIK 0001171779 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,452 F2 · kind: Amount reflects shares sold to satisfy tax withholding requirements upon the vesting of previously restricted stock. F1 · balance_after: This amount includes 5621 shares in 401K and 753 shares in dividend reinvestment. Read SEC document |
| February 18, 2005 Filed Feb 22, 2005 17:25 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherOption (NQ) · Derivative | 33,000 | $0.00 Strike: $91.29 | $0.00 |
DisclosureSEC source: 0000018230-05-000165 · edgar.xml · derivative · entry 2 MACIER ROBERT R · CIK 0001171779 · 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 |
| February 10, 2005 Filed Feb 11, 2005 14:06 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 6 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000126 · edgar.xml · nonDerivative · entry 1 MACIER ROBERT R · CIK 0001171779 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,986 F1 · balance_after: This amount includes 5621 shares in 401K and 753 shares in dividend reinvestment. Read SEC document |
| February 03, 2005 Filed Feb 4, 2005 17:16 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 13,750 | $0.00 Strike: $38.41 | $0.00 |
DisclosureSEC source: 0000018230-05-000112 · edgar.xml · derivative · entry 3 MACIER ROBERT R · CIK 0001171779 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 13,750 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. 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 03, 2005 Filed Feb 4, 2005 17:16 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 13,750 | $90.52 | $1,244,650.00 |
DisclosureSEC source: 0000018230-05-000112 · edgar.xml · nonDerivative · entry 2 MACIER ROBERT R · CIK 0001171779 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,992 F1 · balance_after: This amount includes 5621 shares in 401K and 753 shares in dividend reinvestment. Read SEC document |
| February 03, 2005 Filed Feb 4, 2005 17:16 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 13,750 | $38.41 | $528,086.63 |
DisclosureSEC source: 0000018230-05-000112 · edgar.xml · nonDerivative · entry 1 MACIER ROBERT R · CIK 0001171779 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,742 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 31, 2005 Filed Feb 2, 2005 19:47 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 25 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000086 · edgar.xml · derivative · entry 2 MACIER ROBERT R · CIK 0001171779 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 25 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 |
| January 31, 2005 Filed Feb 3, 2005 18:26 UTC Amendment | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 0 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000105 · edgar.xml · derivative · entry 2 MACIER ROBERT R · CIK 0001171779 · 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 |
| June 08, 2004 Filed Jun 10, 2004 15:34 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherOption (NQ) · Derivative | 30,000 | $0.00 Strike: $77.26 | $0.00 |
DisclosureSEC source: 0000018230-04-000407 · edgar.xml · derivative · entry 2 MACIER ROBERT R · CIK 0001171779 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common · 30,000 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 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. F3 · 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. F3 · 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 |
| May 04, 2004 Filed May 7, 2004 15:21 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 2,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000294 · edgar.xml · nonDerivative · entry 1 MACIER ROBERT R · CIK 0001171779 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,916 F1 · balance_after: This amount includes 5552 shares in 401K and 746 shares in dividend reinvestment. Read SEC document |
| March 01, 2004 Filed Mar 22, 2004 18:49 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 418 | $76.73 | $32,073.14 |
DisclosureSEC source: 0000018230-04-000172 · edgar.xml · nonDerivative · entry 1 MACIER ROBERT R · CIK 0001171779 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,889 F2 · kind: Amount reflects shares automatically sold to satisfy tax withholding requirements upon the vesting of previously restricted stock. F1 · balance_after: This amount includes 5525 shares in 401K and 746 shares in dividend reinvestment. Read SEC document |
| January 20, 2004 Filed Jan 20, 2004 17:27 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 397 | $83.11 | $32,994.67 |
DisclosureSEC source: 0000018230-04-000051 · edgar.xml · nonDerivative · entry 1 MACIER ROBERT R · CIK 0001171779 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,307 F1 · balance_after: This amount includes 5525 shares in 401K and 746 shares in dividend reinvestment. Read SEC document |
| August 05, 2003 Filed Aug 5, 2003 20:39 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 1,000 | $67.50 | $67,500.00 |
DisclosureSEC source: 0000018230-03-000382 · edgar.xml · nonDerivative · entry 1 MACIER ROBERT R · CIK 0001171779 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,549 F1 · balance_after: This amount includes 3967 shares in EIP-1, 1533 shares in 401K and 616 shares in dividend reinvestment. Read SEC document |
| July 24, 2003 Filed Jul 28, 2003 16:40 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 1,795 | $0.00 Strike: $55.69 | $0.00 |
DisclosureSEC source: 0000018230-03-000338 · edgar.xml · derivative · entry 6 MACIER ROBERT R · CIK 0001171779 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 1,795 shares Expires 2008-06-09 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: (Right to Buy) with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| July 24, 2003 Filed Jul 28, 2003 16:40 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 19,205 | $0.00 Strike: $55.69 | $0.00 |
DisclosureSEC source: 0000018230-03-000338 · edgar.xml · derivative · entry 5 MACIER ROBERT R · CIK 0001171779 · 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. F2 · security: (Right to Buy) with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| July 24, 2003 Filed Jul 28, 2003 16:40 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,552 | $64.40 | $99,948.80 |
DisclosureSEC source: 0000018230-03-000338 · edgar.xml · nonDerivative · entry 4 MACIER ROBERT R · CIK 0001171779 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,549 F1 · balance_after: This amount includes 3967 shares in EIP-1, 1533 shares in 401K and 616 shares in dividend reinvestment. Read SEC document |
| July 24, 2003 Filed Jul 28, 2003 16:40 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 1,795 | $5.69 | $10,209.06 |
DisclosureSEC source: 0000018230-03-000338 · edgar.xml · nonDerivative · entry 3 MACIER ROBERT R · CIK 0001171779 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,101 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 24, 2003 Filed Jul 28, 2003 16:40 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 17,449 | $64.40 | $1,123,715.60 |
DisclosureSEC source: 0000018230-03-000338 · edgar.xml · nonDerivative · entry 2 MACIER ROBERT R · CIK 0001171779 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,306 Read SEC document |
| July 24, 2003 Filed Jul 28, 2003 16:40 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 19,205 | $55.69 | $1,069,478.44 |
DisclosureSEC source: 0000018230-03-000338 · edgar.xml · nonDerivative · entry 1 MACIER ROBERT R · CIK 0001171779 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,755 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 23, 2003 Filed Jul 25, 2003 12:42 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 6,526 | $0.00 Strike: $51.66 | $0.00 |
DisclosureSEC source: 0000018230-03-000334 · edgar.xml · derivative · entry 12 MACIER ROBERT R · CIK 0001171779 · 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. F2 · security: (Right to Buy) with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| July 23, 2003 Filed Jul 25, 2003 12:42 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 1,934 | $0.00 Strike: $51.66 | $0.00 |
DisclosureSEC source: 0000018230-03-000334 · edgar.xml · derivative · entry 11 MACIER ROBERT R · CIK 0001171779 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 1,934 shares Expires 2007-06-10 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: (Right to Buy) with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| July 23, 2003 Filed Jul 25, 2003 12:42 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 1,807 | $0.00 Strike: $32.91 | $0.00 |
DisclosureSEC source: 0000018230-03-000334 · edgar.xml · derivative · entry 10 MACIER ROBERT R · CIK 0001171779 · 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. F2 · security: (Right to Buy) with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| July 23, 2003 Filed Jul 25, 2003 12:42 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 1,013 | $0.00 Strike: $32.91 | $0.00 |
DisclosureSEC source: 0000018230-03-000334 · edgar.xml · derivative · entry 9 MACIER ROBERT R · CIK 0001171779 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 1,013 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 |
| July 23, 2003 Filed Jul 25, 2003 12:42 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 5,653 | $64.40 | $364,053.20 |
DisclosureSEC source: 0000018230-03-000334 · edgar.xml · nonDerivative · entry 8 MACIER ROBERT R · CIK 0001171779 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,550 F1 · balance_after: This amount includes 3967 shares in EIP-1, 1533 shares in 401K and 616 shares in dividend reinvestment. Read SEC document |
| July 23, 2003 Filed Jul 25, 2003 12:42 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 6,526 | $51.66 | $337,108.36 |
DisclosureSEC source: 0000018230-03-000334 · edgar.xml · nonDerivative · entry 7 MACIER ROBERT R · CIK 0001171779 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,203 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 23, 2003 Filed Jul 25, 2003 12:42 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,551 | $64.40 | $99,884.40 |
DisclosureSEC source: 0000018230-03-000334 · edgar.xml · nonDerivative · entry 6 MACIER ROBERT R · CIK 0001171779 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,677 Read SEC document |
| July 23, 2003 Filed Jul 25, 2003 12:42 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 1,934 | $51.66 | $99,903.09 |
DisclosureSEC source: 0000018230-03-000334 · edgar.xml · nonDerivative · entry 5 MACIER ROBERT R · CIK 0001171779 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,228 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 23, 2003 Filed Jul 25, 2003 12:42 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,209 | $64.40 | $77,859.60 |
DisclosureSEC source: 0000018230-03-000334 · edgar.xml · nonDerivative · entry 4 MACIER ROBERT R · CIK 0001171779 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,294 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.