Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CATERPILLAR INCCAT · Entity 2808 | Vice President | November 01, 2005 | November 02, 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 01, 2005 · Filed November 02, 2005
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| CommonSEC Table I · non-derivative | Direct | 26,428 |
Reported balance
After 2005-11-01 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2005-11-01 · Exercise / conversion · Acquired 12,456 · Balance 26,428 |
| CommonSEC Table I · non-derivative | Direct | 38,428 |
Reported balance
After 2005-11-01 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2005-11-01 · Exercise / conversion · Acquired 12,000 · Balance 38,428 |
| CommonSEC Table I · non-derivative | Direct | 13,972 |
Reported balance
After 2005-11-01 transaction · row 3
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 3 · 2005-11-01 · Sale · Disposed 24,456 · Balance 13,972 |
| CommonSEC Table I · non-derivative | Direct | 13,541 |
Reported balance
After 2005-11-01 transaction · row 4
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 4 · 2005-11-01 · Tax withholding · Disposed 431 · Balance 13,541 F1: This amount includes 5418 shares in EIP and 264 shares in dividend reinvestment. |
| Employee Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $31.17 · Expires 2009-06-08 | Direct | 0 |
Reported balance
After 2005-11-01 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2005-11-01 · Exercise / conversion · Disposed 12,456 · Balance 0 F2: (Right to buy) with tandem tax withholding rights. F3: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. |
| Employee Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $27.84 · Expires 2008-06-09 | Direct | 0 |
Reported balance
After 2005-11-01 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2005-11-01 · Exercise / conversion · Disposed 12,000 · Balance 0 F2: (Right to buy) with tandem tax withholding rights. F3: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. |
Filing footnotes · ownership attribution and instrument terms
F1: This amount includes 5418 shares in EIP and 264 shares in dividend reinvestment.
F2: (Right to buy) with tandem tax withholding rights.
F3: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs.
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 01, 2005 Filed Nov 2, 2005 16:06 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 12,000 | $0.00 Strike: $27.84 | $0.00 |
DisclosureSEC source: 0000018230-05-000713 · edgar.xml · derivative · entry 6 HAEFELI HANS A · CIK 0001273770 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 12,000 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 |
| November 01, 2005 Filed Nov 2, 2005 16:06 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 12,456 | $0.00 Strike: $31.17 | $0.00 |
DisclosureSEC source: 0000018230-05-000713 · edgar.xml · derivative · entry 5 HAEFELI HANS A · CIK 0001273770 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 12,456 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 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 |
| November 01, 2005 Filed Nov 2, 2005 16:06 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 431 | $52.77 | $22,741.72 |
DisclosureSEC source: 0000018230-05-000713 · edgar.xml · nonDerivative · entry 4 HAEFELI HANS A · CIK 0001273770 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,541 F1 · balance_after: This amount includes 5418 shares in EIP and 264 shares in dividend reinvestment. Read SEC document |
| November 01, 2005 Filed Nov 2, 2005 16:06 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 24,456 | $52.55 | $1,285,162.80 |
DisclosureSEC source: 0000018230-05-000713 · edgar.xml · nonDerivative · entry 3 HAEFELI HANS A · CIK 0001273770 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,972 Read SEC document |
| November 01, 2005 Filed Nov 2, 2005 16:06 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 12,000 | $27.84 | $334,125.60 |
DisclosureSEC source: 0000018230-05-000713 · edgar.xml · nonDerivative · entry 2 HAEFELI HANS A · CIK 0001273770 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,428 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 01, 2005 Filed Nov 2, 2005 16:06 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 12,456 | $31.17 | $388,277.19 |
DisclosureSEC source: 0000018230-05-000713 · edgar.xml · nonDerivative · entry 1 HAEFELI HANS A · CIK 0001273770 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,428 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 11, 2005 Filed Aug 12, 2005 20:26 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 6,000 | $0.00 Strike: $19.20 | $0.00 |
DisclosureSEC source: 0000018230-05-000577 · edgar.xml · derivative · entry 3 HAEFELI HANS A · CIK 0001273770 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 6,000 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. 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 |
| August 11, 2005 Filed Aug 12, 2005 20:26 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 3,691 | $55.17 | $203,614.02 |
DisclosureSEC source: 0000018230-05-000577 · edgar.xml · nonDerivative · entry 2 HAEFELI HANS A · CIK 0001273770 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,972 F1 · balance_after: This amount includes 5418 shares in EIP and 264 shares in dividend reinvestment. Read SEC document |
| August 11, 2005 Filed Aug 12, 2005 20:26 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 6,000 | $19.20 | $115,219.20 |
DisclosureSEC source: 0000018230-05-000577 · edgar.xml · nonDerivative · entry 1 HAEFELI HANS A · CIK 0001273770 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,663 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 26, 2005 Filed Jul 28, 2005 16:09 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 1,544 | $0.00 Strike: $31.17 | $0.00 |
DisclosureSEC source: 0000018230-05-000501 · edgar.xml · derivative · entry 3 HAEFELI HANS A · CIK 0001273770 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 1,544 shares Expires 2009-06-08 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · security: (Right to buy) with tandem tax withholding rights. F4 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| July 26, 2005 Filed Jul 28, 2005 16:09 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 929 | $51.98 | $48,289.42 |
DisclosureSEC source: 0000018230-05-000501 · edgar.xml · nonDerivative · entry 2 HAEFELI HANS A · CIK 0001273770 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,663 F1 · balance_after: This amount includes 5418 shares in EIP and 264 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 2683 additional shares of common stock. Read SEC document |
| July 26, 2005 Filed Jul 28, 2005 16:09 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 1,544 | $31.17 | $48,129.41 |
DisclosureSEC source: 0000018230-05-000501 · edgar.xml · nonDerivative · entry 1 HAEFELI HANS A · CIK 0001273770 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,592 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| February 18, 2005 Filed Feb 22, 2005 17:47 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherOption (NQ) · Derivative | 27,000 | $0.00 Strike: $91.29 | $0.00 |
DisclosureSEC source: 0000018230-05-000175 · edgar.xml · derivative · entry 2 HAEFELI HANS A · CIK 0001273770 · 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 |
| November 01, 2004 Filed Nov 3, 2004 15:39 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 216 | $81.30 | $17,559.72 |
DisclosureSEC source: 0000018230-04-000613 · edgar.xml · nonDerivative · entry 1 HAEFELI HANS A · CIK 0001273770 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,722 F1 · balance_after: This amount includes 1948 shares in EIP and 91 shares in dividend reinvestment. Read SEC document |
| June 08, 2004 Filed Jun 10, 2004 15:10 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherOption (NQ) · Derivative | 27,000 | $0.00 Strike: $77.26 | $0.00 |
DisclosureSEC source: 0000018230-04-000398 · edgar.xml · derivative · entry 2 HAEFELI HANS A · CIK 0001273770 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,000 Underlying: Common · 27,000 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 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. 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 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 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.