Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CATERPILLAR INCCAT · Entity 2808 | Treasurer | June 06, 2005 | June 08, 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 June 06, 2005 · Filed June 08, 2005
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| CommonSEC Table I · non-derivative | Direct | 32,791 |
Reported balance
After 2005-06-06 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2005-06-06 · Exercise / conversion · Acquired 3,316 · Balance 32,791 |
| CommonSEC Table I · non-derivative | Direct | 31,732 |
Reported balance
After 2005-06-06 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2005-06-06 · Tax withholding · Disposed 1,059 · Balance 31,732 |
| CommonSEC Table I · non-derivative | Direct | 32,456 |
Reported balance
After 2005-06-06 transaction · row 3
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 3 · 2005-06-06 · Exercise / conversion · Acquired 724 · Balance 32,456 |
| CommonSEC Table I · non-derivative | Direct | 32,080 |
Reported balance
After 2005-06-06 transaction · row 4
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 4 · 2005-06-06 · Tax withholding · Disposed 376 · Balance 32,080 F1: This amount includes 16,309 shares in 401K. |
| Employee Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $30.16 · Expires 2005-06-06 | Direct | 0 |
Reported balance
After 2005-06-06 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2005-06-06 · Exercise / conversion · Disposed 3,316 · 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 $30.16 · Expires 2005-06-06 | Direct | 0 |
Reported balance
After 2005-06-06 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2005-06-06 · Exercise / conversion · Disposed 724 · 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 16,309 shares in 401K.
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 06, 2005 Filed Jun 8, 2005 16:28 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 724 | $0.00 Strike: $30.16 | $0.00 |
DisclosureSEC source: 0000018230-05-000430 · edgar.xml · derivative · entry 6 COLGAN KEVIN E · CIK 0001171789 · Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 724 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 |
| June 06, 2005 Filed Jun 8, 2005 16:28 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 3,316 | $0.00 Strike: $30.16 | $0.00 |
DisclosureSEC source: 0000018230-05-000430 · edgar.xml · derivative · entry 5 COLGAN KEVIN E · CIK 0001171789 · Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 3,316 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 |
| June 06, 2005 Filed Jun 8, 2005 16:28 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 376 | $94.37 | $35,483.12 |
DisclosureSEC source: 0000018230-05-000430 · edgar.xml · nonDerivative · entry 4 COLGAN KEVIN E · CIK 0001171789 · Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,080 F1 · balance_after: This amount includes 16,309 shares in 401K. Read SEC document |
| June 06, 2005 Filed Jun 8, 2005 16:28 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 724 | $30.16 | $21,833.09 |
DisclosureSEC source: 0000018230-05-000430 · edgar.xml · nonDerivative · entry 3 COLGAN KEVIN E · CIK 0001171789 · Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,456 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 06, 2005 Filed Jun 8, 2005 16:28 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,059 | $94.37 | $99,937.83 |
DisclosureSEC source: 0000018230-05-000430 · edgar.xml · nonDerivative · entry 2 COLGAN KEVIN E · CIK 0001171789 · Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,732 Read SEC document |
| June 06, 2005 Filed Jun 8, 2005 16:28 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 3,316 | $30.16 | $99,997.96 |
DisclosureSEC source: 0000018230-05-000430 · edgar.xml · nonDerivative · entry 1 COLGAN KEVIN E · CIK 0001171789 · Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,791 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 14:03 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherOption (NQ) · Derivative | 10,500 | $0.00 Strike: $91.29 | $0.00 |
DisclosureSEC source: 0000018230-05-000145 · edgar.xml · derivative · entry 2 COLGAN KEVIN E · CIK 0001171789 · Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,500 Underlying: Common · 10,500 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 10,500 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 10,500 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 10,500 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable immediately. Read SEC document |
| January 03, 2005 Filed Feb 23, 2005 22:43 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon | 1,200 | $95.85 | $115,014.00 |
DisclosureSEC source: 0000018230-05-000209 · edgar.xml · nonDerivative · entry 1 COLGAN KEVIN E · CIK 0001171789 · Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,338 F2 · kind: Restricted stock awarded pursuant to Caterpillar Inc. 1996 Stock Option and Long-Term Incentive Plan. F1 · balance_after: This amount includes 16,172 shares in 401K. Read SEC document |
| December 16, 2004 Filed Dec 16, 2004 19:22 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 163 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000711 · edgar.xml · nonDerivative · entry 1 COLGAN KEVIN E · CIK 0001171789 · Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,083 F1 · balance_after: This amount includes 16,117 shares in 401K. Read SEC document |
| June 08, 2004 Filed Jun 9, 2004 20:52 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherOption (NQ) · Derivative | 11,550 | $0.00 Strike: $77.26 | $0.00 |
DisclosureSEC source: 0000018230-04-000360 · edgar.xml · derivative · entry 2 COLGAN KEVIN E · CIK 0001171789 · Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,550 Underlying: Common · 11,550 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 11,550 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 11,550 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 11,550 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 |
| June 07, 2004 Filed Jun 9, 2004 13:31 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 1,064 | $0.00 Strike: $26.77 | $0.00 |
DisclosureSEC source: 0000018230-04-000348 · edgar.xml · derivative · entry 6 COLGAN KEVIN E · CIK 0001171789 · Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 1,064 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 07, 2004 Filed Jun 9, 2004 13:31 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 3,736 | $0.00 Strike: $26.77 | $0.00 |
DisclosureSEC source: 0000018230-04-000348 · edgar.xml · derivative · entry 5 COLGAN KEVIN E · CIK 0001171789 · Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 3,736 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 07, 2004 Filed Jun 9, 2004 13:31 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 574 | $76.96 | $44,172.17 |
DisclosureSEC source: 0000018230-04-000348 · edgar.xml · nonDerivative · entry 4 COLGAN KEVIN E · CIK 0001171789 · Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,980 F1 · balance_after: This amount includes 15,851 shares in 401K. Read SEC document |
| June 07, 2004 Filed Jun 9, 2004 13:31 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 1,064 | $26.77 | $28,478.60 |
DisclosureSEC source: 0000018230-04-000348 · edgar.xml · nonDerivative · entry 3 COLGAN KEVIN E · CIK 0001171789 · Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,554 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 07, 2004 Filed Jun 9, 2004 13:31 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,299 | $76.96 | $99,964.55 |
DisclosureSEC source: 0000018230-04-000348 · edgar.xml · nonDerivative · entry 2 COLGAN KEVIN E · CIK 0001171789 · Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,490 Read SEC document |
| June 07, 2004 Filed Jun 9, 2004 13:31 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 3,736 | $26.77 | $99,996.28 |
DisclosureSEC source: 0000018230-04-000348 · edgar.xml · nonDerivative · entry 1 COLGAN KEVIN E · CIK 0001171789 · Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,789 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 20, 2004 Filed Jan 20, 2004 17:47 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 48 | $83.11 | $3,989.28 |
DisclosureSEC source: 0000018230-04-000063 · edgar.xml · nonDerivative · entry 1 COLGAN KEVIN E · CIK 0001171789 · Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,928 F1 · balance_after: This amount includes 15,726 shares in 401K. Read SEC document |
| June 13, 2003 Filed Jun 16, 2003 15:00 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 139 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-03-000236 · edgar.xml · nonDerivative · entry 1 COLGAN KEVIN E · CIK 0001171789 · Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,800 F1 · balance_after: This amount includes 11,710 shares in EIP-1 and 3840 shares in 401K. Read SEC document |
| June 02, 2003 Filed Jun 3, 2003 20:47 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 1,980 | $0.00 Strike: $18.77 | $0.00 |
DisclosureSEC source: 0000018230-03-000232 · edgar.xml · derivative · entry 3 COLGAN KEVIN E · CIK 0001171789 · Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 1,980 shares Expires 2003-06-08 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 |
| June 02, 2003 Filed Jun 3, 2003 20:47 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 708 | $52.48 | $37,152.30 |
DisclosureSEC source: 0000018230-03-000232 · edgar.xml · nonDerivative · entry 2 COLGAN KEVIN E · CIK 0001171789 · Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,628 F1 · balance_after: This amount includes 11,542 shares in EIP-1 and 3697 shares in 401K. Read SEC document |
| June 02, 2003 Filed Jun 3, 2003 20:47 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 1,980 | $18.77 | $37,155.89 |
DisclosureSEC source: 0000018230-03-000232 · edgar.xml · nonDerivative · entry 1 COLGAN KEVIN E · CIK 0001171789 · Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,336 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.