Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CATERPILLAR INCCAT · Entity 2808 | Vice President | October 31, 2005 | November 01, 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 October 31, 2005 · Filed November 01, 2005
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| CommonSEC Table I · non-derivative | Direct | 16,782 |
Reported balance
After 2005-10-31 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2005-10-31 · Exercise / conversion · Acquired 3,080 · Balance 16,782 |
| CommonSEC Table I · non-derivative | Direct | 15,816 |
Reported balance
After 2005-10-31 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2005-10-31 · Tax withholding · Disposed 966 · Balance 15,816 |
| CommonSEC Table I · non-derivative | Direct | 18,416 |
Reported balance
After 2005-10-31 transaction · row 3
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 3 · 2005-10-31 · Exercise / conversion · Acquired 2,600 · Balance 18,416 |
| CommonSEC Table I · non-derivative | Direct | 17,135 |
Reported balance
After 2005-10-31 transaction · row 4
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 4 · 2005-10-31 · Tax withholding · Disposed 1,281 · Balance 17,135 F1: This amount includes 7258 shares in 401K, 1144 shares in SEIP and 4 shares in dividend reinvestment. |
| Employee Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $16.45 · Expires 2006-06-11 | Direct | 0 |
Reported balance
After 2005-10-31 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2005-10-31 · Exercise / conversion · Disposed 3,080 · 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 $25.83 · Expires 2007-06-10 | Direct | 0 |
Reported balance
After 2005-10-31 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2005-10-31 · Exercise / conversion · Disposed 2,600 · 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. |
| CommonSEC Table I · non-derivative | IndirectCustodial Accounts for Daughters | 790 |
Reported balance
Holding disclosure · report date 2005-10-31 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 790 |
Filing footnotes · ownership attribution and instrument terms
F1: This amount includes 7258 shares in 401K, 1144 shares in SEIP and 4 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 |
|---|---|---|---|---|---|---|
| October 31, 2005 Filed Nov 1, 2005 14:39 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 2,600 | $0.00 Strike: $25.83 | $0.00 |
DisclosureSEC source: 0000018230-05-000701 · edgar.xml · derivative · entry 7 GOSSELIN STEPHEN A · CIK 0001172564 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 2,600 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 |
| October 31, 2005 Filed Nov 1, 2005 14:39 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 3,080 | $0.00 Strike: $16.45 | $0.00 |
DisclosureSEC source: 0000018230-05-000701 · edgar.xml · derivative · entry 6 GOSSELIN STEPHEN A · CIK 0001172564 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 3,080 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 31, 2005 Filed Nov 1, 2005 14:39 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,281 | $52.42 | $67,143.62 |
DisclosureSEC source: 0000018230-05-000701 · edgar.xml · nonDerivative · entry 4 GOSSELIN STEPHEN A · CIK 0001172564 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,135 F1 · balance_after: This amount includes 7258 shares in 401K, 1144 shares in SEIP and 4 shares in dividend reinvestment. Read SEC document |
| October 31, 2005 Filed Nov 1, 2005 14:39 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 2,600 | $25.83 | $67,153.06 |
DisclosureSEC source: 0000018230-05-000701 · edgar.xml · nonDerivative · entry 3 GOSSELIN STEPHEN A · CIK 0001172564 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,416 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 31, 2005 Filed Nov 1, 2005 14:39 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 966 | $52.42 | $50,632.89 |
DisclosureSEC source: 0000018230-05-000701 · edgar.xml · nonDerivative · entry 2 GOSSELIN STEPHEN A · CIK 0001172564 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,816 Read SEC document |
| October 31, 2005 Filed Nov 1, 2005 14:39 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 3,080 | $16.45 | $50,675.55 |
DisclosureSEC source: 0000018230-05-000701 · edgar.xml · nonDerivative · entry 1 GOSSELIN STEPHEN A · CIK 0001172564 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,782 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 01, 2005 Filed Aug 2, 2005 15:47 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 300 | $54.03 | $16,209.00 |
DisclosureSEC source: 0000018230-05-000539 · edgar.xml · nonDerivative · entry 2 GOSSELIN STEPHEN A · CIK 0001172564 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,702 F1 · balance_after: This amount includes 7258 shares in 401K, 1144 shares in SEIP and 4 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 3398 additional shares of common stock. Read SEC document |
| August 01, 2005 Filed Aug 2, 2005 15:47 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 1,200 | $54.02 | $64,824.00 |
DisclosureSEC source: 0000018230-05-000539 · edgar.xml · nonDerivative · entry 1 GOSSELIN STEPHEN A · CIK 0001172564 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,002 Read SEC document |
| March 10, 2005 Filed Mar 11, 2005 19:18 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 1,000 | $0.00 Strike: $30.16 | $0.00 |
DisclosureSEC source: 0000018230-05-000285 · edgar.xml · derivative · entry 4 GOSSELIN STEPHEN A · CIK 0001172564 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 1,000 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 |
| March 10, 2005 Filed Mar 11, 2005 19:18 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 308 | $97.87 | $30,142.42 |
DisclosureSEC source: 0000018230-05-000285 · edgar.xml · nonDerivative · entry 2 GOSSELIN STEPHEN A · CIK 0001172564 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,263 F1 · balance_after: This amount includes 3309 shares in 401K and 556 shares in SEIP. Read SEC document |
| March 10, 2005 Filed Mar 11, 2005 19:18 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 1,000 | $30.16 | $30,156.20 |
DisclosureSEC source: 0000018230-05-000285 · edgar.xml · nonDerivative · entry 1 GOSSELIN STEPHEN A · CIK 0001172564 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,571 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 04, 2005 Filed Mar 8, 2005 16:45 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 534 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000279 · edgar.xml · derivative · entry 3 GOSSELIN STEPHEN A · CIK 0001172564 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 534 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 |
| February 18, 2005 Filed Feb 22, 2005 13:55 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherOption (NQ) · Derivative | 32,000 | $0.00 Strike: $91.29 | $0.00 |
DisclosureSEC source: 0000018230-05-000141 · edgar.xml · derivative · entry 3 GOSSELIN STEPHEN A · CIK 0001172564 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,000 Underlying: Common · 32,000 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 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 immediately. 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 immediately. 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 immediately. Read SEC document |
| November 19, 2004 Filed Nov 19, 2004 19:36 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 125 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000657 · edgar.xml · nonDerivative · entry 1 GOSSELIN STEPHEN A · CIK 0001172564 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,423 F1 · balance_after: This amount includes 3301 shares in 401K and 416 shares in SEIP. Read SEC document |
| November 15, 2004 Filed Nov 17, 2004 19:31 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 849 | $0.00 Strike: $38.41 | $0.00 |
DisclosureSEC source: 0000018230-04-000650 · edgar.xml · derivative · entry 7 GOSSELIN STEPHEN A · CIK 0001172564 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 849 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 |
| November 15, 2004 Filed Nov 17, 2004 19:31 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 940 | $0.00 Strike: $30.16 | $0.00 |
DisclosureSEC source: 0000018230-04-000650 · edgar.xml · derivative · entry 6 GOSSELIN STEPHEN A · CIK 0001172564 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 940 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 |
| November 15, 2004 Filed Nov 17, 2004 19:31 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 505 | $90.03 | $45,462.63 |
DisclosureSEC source: 0000018230-04-000650 · edgar.xml · nonDerivative · entry 4 GOSSELIN STEPHEN A · CIK 0001172564 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,548 F1 · balance_after: This amount includes 3301 shares in 401K and 416 shares in SEIP. Read SEC document |
| November 15, 2004 Filed Nov 17, 2004 19:31 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 849 | $38.41 | $32,606.95 |
DisclosureSEC source: 0000018230-04-000650 · edgar.xml · nonDerivative · entry 3 GOSSELIN STEPHEN A · CIK 0001172564 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,053 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 15, 2004 Filed Nov 17, 2004 19:31 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 314 | $90.03 | $28,267.85 |
DisclosureSEC source: 0000018230-04-000650 · edgar.xml · nonDerivative · entry 2 GOSSELIN STEPHEN A · CIK 0001172564 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,204 Read SEC document |
| November 15, 2004 Filed Nov 17, 2004 19:31 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 940 | $30.16 | $28,346.83 |
DisclosureSEC source: 0000018230-04-000650 · edgar.xml · nonDerivative · entry 1 GOSSELIN STEPHEN A · CIK 0001172564 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,518 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 15:09 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherOption (NQ) · Derivative | 32,000 | $0.00 Strike: $77.26 | $0.00 |
DisclosureSEC source: 0000018230-04-000397 · edgar.xml · derivative · entry 3 GOSSELIN STEPHEN A · CIK 0001172564 · 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 |
| March 31, 2004 Filed Apr 19, 2004 18:54 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 467 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000262 · edgar.xml · derivative · entry 3 GOSSELIN STEPHEN A · CIK 0001172564 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 467 shares Expires 1988-08-08 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 |
| November 12, 2003 Filed Jan 15, 2004 14:37 UTC | CATERPILLAR INC Cat · Entity 2808 | GiftCommon | 50 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000032 · edgar.xml · nonDerivative · entry 1 GOSSELIN STEPHEN A · CIK 0001172564 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,007 F1 · balance_after: This amount includes 2929 shares in 401K and 217 shares in SEIP. Read SEC document |
| July 22, 2003 Filed Jul 23, 2003 12:55 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 135 | $64.31 | $8,681.85 |
DisclosureSEC source: 0000018230-03-000307 · edgar.xml · nonDerivative · entry 3 GOSSELIN STEPHEN A · CIK 0001172564 · Vice President 10b5-1 filing: Not disclosed Ownership: Indirect · Custodial Accounts for Daughters Disclosed balance after: 395 F1 · balance_after: In addition, 4,773 shares are held directly by reporting person (this amount includes 1304 shares in EIP-1 and 1495 shares in 401K). Read SEC document |
| July 22, 2003 Filed Jul 23, 2003 12:55 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 200 | $64.32 | $12,864.00 |
DisclosureSEC source: 0000018230-03-000307 · edgar.xml · nonDerivative · entry 2 GOSSELIN STEPHEN A · CIK 0001172564 · Vice President 10b5-1 filing: Not disclosed Ownership: Indirect · Custodial Accounts for Daughters Disclosed balance after: 530 Read SEC document |
| July 22, 2003 Filed Jul 23, 2003 12:55 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 140 | $64.33 | $9,006.20 |
DisclosureSEC source: 0000018230-03-000307 · edgar.xml · nonDerivative · entry 1 GOSSELIN STEPHEN A · CIK 0001172564 · Vice President 10b5-1 filing: Not disclosed Ownership: Indirect · Custodial Accounts for Daughters Disclosed balance after: 730 Read SEC document |
| June 27, 2003 Filed Jul 1, 2003 13:56 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 134 | $0.00 Strike: $26.77 | $0.00 |
DisclosureSEC source: 0000018230-03-000262 · edgar.xml · derivative · entry 3 GOSSELIN STEPHEN A · CIK 0001172564 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 134 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: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| June 27, 2003 Filed Jul 1, 2003 13:56 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 63 | $56.12 | $3,535.56 |
DisclosureSEC source: 0000018230-03-000262 · edgar.xml · nonDerivative · entry 2 GOSSELIN STEPHEN A · CIK 0001172564 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,710 F1 · balance_after: This amount includes 1304 shares in EIP-1 and 1495 shares in 401K. In addition, 870 shares are held indirectly by custodial accounts for daughters. Read SEC document |
| June 27, 2003 Filed Jul 1, 2003 13:56 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 134 | $26.77 | $3,586.59 |
DisclosureSEC source: 0000018230-03-000262 · edgar.xml · nonDerivative · entry 1 GOSSELIN STEPHEN A · CIK 0001172564 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,773 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 26, 2003 Filed Jun 30, 2003 13:51 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 166 | $0.00 Strike: $26.77 | $0.00 |
DisclosureSEC source: 0000018230-03-000260 · edgar.xml · derivative · entry 3 GOSSELIN STEPHEN A · CIK 0001172564 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 166 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: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| June 26, 2003 Filed Jun 30, 2003 13:51 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 78 | $56.37 | $4,396.47 |
DisclosureSEC source: 0000018230-03-000260 · edgar.xml · nonDerivative · entry 2 GOSSELIN STEPHEN A · CIK 0001172564 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,639 F1 · balance_after: This amount includes 1304 shares in EIP-1 and 1495 shares in 401K. In addition, 870 shares are held indirectly by custodial accounts for daughters. Read SEC document |
| June 26, 2003 Filed Jun 30, 2003 13:51 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 166 | $26.77 | $4,443.09 |
DisclosureSEC source: 0000018230-03-000260 · edgar.xml · nonDerivative · entry 1 GOSSELIN STEPHEN A · CIK 0001172564 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,717 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 25, 2003 Filed Jun 27, 2003 16:08 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 166 | $0.00 Strike: $26.77 | $0.00 |
DisclosureSEC source: 0000018230-03-000258 · edgar.xml · derivative · entry 3 GOSSELIN STEPHEN A · CIK 0001172564 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 166 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: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| June 25, 2003 Filed Jun 27, 2003 16:08 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 79 | $56.09 | $4,430.72 |
DisclosureSEC source: 0000018230-03-000258 · edgar.xml · nonDerivative · entry 2 GOSSELIN STEPHEN A · CIK 0001172564 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,551 F1 · balance_after: This amount includes 1304 shares in EIP-1 and 1495 shares in 401K. In addition, 870 shares are held indirectly by custodial accounts for daughters. Read SEC document |
| June 25, 2003 Filed Jun 27, 2003 16:08 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 166 | $26.77 | $4,443.09 |
DisclosureSEC source: 0000018230-03-000258 · edgar.xml · nonDerivative · entry 1 GOSSELIN STEPHEN A · CIK 0001172564 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,630 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 25, 2003 Filed Jun 27, 2003 13:26 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 166 | $0.00 Strike: $26.77 | $0.00 |
DisclosureSEC source: 0000018230-03-000257 · edgar.xml · derivative · entry 3 GOSSELIN STEPHEN A · CIK 0001172564 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 166 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: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| June 25, 2003 Filed Jun 27, 2003 13:26 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 79 | $56.09 | $4,430.72 |
DisclosureSEC source: 0000018230-03-000257 · edgar.xml · nonDerivative · entry 2 GOSSELIN STEPHEN A · CIK 0001172564 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,551 F1 · balance_after: This amount includes 1304 shares in EIP-1 and 1495 shares in 401K. In addition, 870 shares are held indirectly by custodial accounts for daughters. Read SEC document |
| June 25, 2003 Filed Jun 27, 2003 13:26 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 166 | $26.77 | $4,443.09 |
DisclosureSEC source: 0000018230-03-000257 · edgar.xml · nonDerivative · entry 1 GOSSELIN STEPHEN A · CIK 0001172564 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,630 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 24, 2003 Filed Jun 26, 2003 13:01 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 166 | $0.00 Strike: $26.77 | $0.00 |
DisclosureSEC source: 0000018230-03-000255 · edgar.xml · derivative · entry 3 GOSSELIN STEPHEN A · CIK 0001172564 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 166 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: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| June 24, 2003 Filed Jun 26, 2003 13:01 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 78 | $56.88 | $4,436.25 |
DisclosureSEC source: 0000018230-03-000255 · edgar.xml · nonDerivative · entry 2 GOSSELIN STEPHEN A · CIK 0001172564 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,464 F1 · balance_after: This amount includes 1304 shares in EIP-1 and 1495 shares in 401K. In addition, 870 shares are held indirectly by custodial accounts for daughters. Read SEC document |
| June 24, 2003 Filed Jun 26, 2003 13:01 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 166 | $26.77 | $4,443.09 |
DisclosureSEC source: 0000018230-03-000255 · edgar.xml · nonDerivative · entry 1 GOSSELIN STEPHEN A · CIK 0001172564 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,542 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, 2003 Filed Jun 25, 2003 13:50 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 166 | $0.00 Strike: $26.77 | $0.00 |
DisclosureSEC source: 0000018230-03-000253 · edgar.xml · derivative · entry 3 GOSSELIN STEPHEN A · CIK 0001172564 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 166 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: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| June 23, 2003 Filed Jun 25, 2003 13:50 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 78 | $56.61 | $4,415.58 |
DisclosureSEC source: 0000018230-03-000253 · edgar.xml · nonDerivative · entry 2 GOSSELIN STEPHEN A · CIK 0001172564 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,376 F1 · balance_after: This amount includes 1304 shares in EIP-1 and 1495 shares in 401K. In addition, 870 shares are held indirectly by custodial accounts for daughters. Read SEC document |
| June 23, 2003 Filed Jun 25, 2003 13:50 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 166 | $26.77 | $4,443.09 |
DisclosureSEC source: 0000018230-03-000253 · edgar.xml · nonDerivative · entry 1 GOSSELIN STEPHEN A · CIK 0001172564 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,454 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 20, 2003 Filed Jun 24, 2003 17:10 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 166 | $0.00 Strike: $26.77 | $0.00 |
DisclosureSEC source: 0000018230-03-000251 · edgar.xml · derivative · entry 3 GOSSELIN STEPHEN A · CIK 0001172564 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 166 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: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| June 20, 2003 Filed Jun 24, 2003 17:10 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 77 | $57.14 | $4,399.78 |
DisclosureSEC source: 0000018230-03-000251 · edgar.xml · nonDerivative · entry 2 GOSSELIN STEPHEN A · CIK 0001172564 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,288 F1 · balance_after: This amount includes 1304 shares in EIP-1 and 1495 shares in 401K. In addition, 870 shares are held indirectly by custodial accounts for daughters. Read SEC document |
| June 20, 2003 Filed Jun 24, 2003 17:10 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 166 | $26.77 | $4,443.09 |
DisclosureSEC source: 0000018230-03-000251 · edgar.xml · nonDerivative · entry 1 GOSSELIN STEPHEN A · CIK 0001172564 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,365 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 19, 2003 Filed Jun 23, 2003 12:19 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 166 | $0.00 Strike: $26.77 | $0.00 |
DisclosureSEC source: 0000018230-03-000249 · edgar.xml · derivative · entry 3 GOSSELIN STEPHEN A · CIK 0001172564 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 166 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: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| June 19, 2003 Filed Jun 23, 2003 12:19 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 78 | $56.87 | $4,435.47 |
DisclosureSEC source: 0000018230-03-000249 · edgar.xml · nonDerivative · entry 2 GOSSELIN STEPHEN A · CIK 0001172564 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,199 F1 · balance_after: This amount includes 1304 shares in EIP-1 and 1495 shares in 401K. In addition, 870 shares are held indirectly by custodial accounts for daughters. Read SEC document |
| June 19, 2003 Filed Jun 23, 2003 12:19 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 166 | $26.77 | $4,443.09 |
DisclosureSEC source: 0000018230-03-000249 · edgar.xml · nonDerivative · entry 1 GOSSELIN STEPHEN A · CIK 0001172564 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,277 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.