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 |
|---|---|---|---|---|---|---|
| June 18, 2003 Filed Jun 19, 2003 13:29 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 166 | $0.00 Strike: $26.77 | $0.00 |
DisclosureSEC source: 0000018230-03-000247 · 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 · 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 18, 2003 Filed Jun 19, 2003 13:29 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 77 | $57.43 | $4,421.73 |
DisclosureSEC source: 0000018230-03-000247 · edgar.xml · nonDerivative · entry 4 GOSSELIN STEPHEN A · CIK 0001172564 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,111 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 18, 2003 Filed Jun 19, 2003 13:29 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 166 | $26.77 | $4,443.09 |
DisclosureSEC source: 0000018230-03-000247 · edgar.xml · nonDerivative · entry 3 GOSSELIN STEPHEN A · CIK 0001172564 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,188 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, 2003 Filed Jun 19, 2003 13:29 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 166 | $0.00 Strike: $26.77 | $0.00 |
DisclosureSEC source: 0000018230-03-000247 · edgar.xml · derivative · entry 5 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 17, 2003 Filed Jun 19, 2003 13:29 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 76 | $57.76 | $4,389.76 |
DisclosureSEC source: 0000018230-03-000247 · edgar.xml · nonDerivative · entry 2 GOSSELIN STEPHEN A · CIK 0001172564 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,022 Read SEC document |
| June 17, 2003 Filed Jun 19, 2003 13:29 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 166 | $26.77 | $4,443.09 |
DisclosureSEC source: 0000018230-03-000247 · edgar.xml · nonDerivative · entry 1 GOSSELIN STEPHEN A · CIK 0001172564 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,098 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 16, 2003 Filed Jun 18, 2003 14:19 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 166 | $0.00 Strike: $26.77 | $0.00 |
DisclosureSEC source: 0000018230-03-000243 · 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 16, 2003 Filed Jun 18, 2003 14:19 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 77 | $57.28 | $4,410.18 |
DisclosureSEC source: 0000018230-03-000243 · edgar.xml · nonDerivative · entry 2 GOSSELIN STEPHEN A · CIK 0001172564 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,932 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 16, 2003 Filed Jun 18, 2003 14:19 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 166 | $26.77 | $4,443.09 |
DisclosureSEC source: 0000018230-03-000243 · edgar.xml · nonDerivative · entry 1 GOSSELIN STEPHEN A · CIK 0001172564 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,009 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 13, 2003 Filed Jun 16, 2003 20:31 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 166 | $0.00 Strike: $26.77 | $0.00 |
DisclosureSEC source: 0000018230-03-000239 · 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 13, 2003 Filed Jun 16, 2003 20:31 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 79 | $55.96 | $4,420.45 |
DisclosureSEC source: 0000018230-03-000239 · edgar.xml · nonDerivative · entry 2 GOSSELIN STEPHEN A · CIK 0001172564 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,843 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 13, 2003 Filed Jun 16, 2003 20:31 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 166 | $26.77 | $4,443.09 |
DisclosureSEC source: 0000018230-03-000239 · edgar.xml · nonDerivative · entry 1 GOSSELIN STEPHEN A · CIK 0001172564 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,922 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 12, 2003 Filed Jun 16, 2003 15:01 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 166 | $0.00 Strike: $26.77 | $0.00 |
DisclosureSEC source: 0000018230-03-000237 · 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 12, 2003 Filed Jun 16, 2003 15:01 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 78 | $56.45 | $4,403.10 |
DisclosureSEC source: 0000018230-03-000237 · edgar.xml · nonDerivative · entry 2 GOSSELIN STEPHEN A · CIK 0001172564 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,756 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 12, 2003 Filed Jun 16, 2003 15:01 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 166 | $26.77 | $4,443.09 |
DisclosureSEC source: 0000018230-03-000237 · edgar.xml · nonDerivative · entry 1 GOSSELIN STEPHEN A · CIK 0001172564 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,834 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.