Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CATERPILLAR INCCAT · Entity 2808 | Vice President | February 01, 2005 | April 21, 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 February 01, 2005 · Filed April 21, 2005
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| CommonSEC Table I · non-derivative | Direct | 28,454 |
Reported balance
After 2005-02-01 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2005-02-01 · Exercise / conversion · Acquired 3,316 · Balance 28,454 |
| CommonSEC Table I · non-derivative | Direct | 31,492 |
Reported balance
After 2005-02-01 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2005-02-01 · Exercise / conversion · Acquired 3,038 · Balance 31,492 |
| CommonSEC Table I · non-derivative | Direct | 33,426 |
Reported balance
After 2005-02-01 transaction · row 3
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 3 · 2005-02-01 · Exercise / conversion · Acquired 1,934 · Balance 33,426 |
| CommonSEC Table I · non-derivative | Direct | 35,221 |
Reported balance
After 2005-02-01 transaction · row 4
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 4 · 2005-02-01 · Exercise / conversion · Acquired 1,795 · Balance 35,221 |
| CommonSEC Table I · non-derivative | Direct | 36,825 |
Reported balance
After 2005-02-01 transaction · row 5
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 5 · 2005-02-01 · Exercise / conversion · Acquired 1,604 · Balance 36,825 |
| CommonSEC Table I · non-derivative | Direct | 39,426 |
Reported balance
After 2005-02-01 transaction · row 6
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 6 · 2005-02-01 · Exercise / conversion · Acquired 2,601 · Balance 39,426 F1: This amount includes 22,572 shares in 401K and 2566 shares in SEIP. |
| Employee Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $30.16 · Expires 2005-06-06 | Direct | 0 |
Reported balance
After 2005-02-01 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2005-02-01 · 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 $32.91 · Expires 2006-06-11 | Direct | 0 |
Reported balance
After 2005-02-01 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2005-02-01 · Exercise / conversion · Disposed 3,038 · 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 $51.66 · Expires 2007-06-10 | Direct | 0 |
Reported balance
After 2005-02-01 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2005-02-01 · Exercise / conversion · Disposed 1,934 · 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 $55.69 · Expires 2008-06-09 | Direct | 0 |
Reported balance
After 2005-02-01 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2005-02-01 · Exercise / conversion · Disposed 1,795 · 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 $62.34 · Expires 2009-06-08 | Direct | 0 |
Reported balance
After 2005-02-01 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2005-02-01 · Exercise / conversion · Disposed 1,604 · 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 $38.41 · Expires 2010-06-12 | Direct | 0 |
Reported balance
After 2005-02-01 transaction · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · 2005-02-01 · Exercise / conversion · Disposed 2,601 · 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 22,572 shares in 401K and 2566 shares in SEIP.
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 |
|---|---|---|---|---|---|---|
| February 17, 2005 Filed Feb 18, 2005 14:08 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 17,093 | $92.54 | $1,581,786.22 |
DisclosureSEC source: 0000018230-05-000135 · edgar.xml · nonDerivative · entry 1 BEARD JAMES S · CIK 0001171764 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,138 F2 · kind: The reporting person contributed Caterpillar common stock to an exchange fund in exchange for shares of the exchange fund. The Caterpillar common stock was valued at $92.54 per share for the purpose of determining the number of shares of the exchange fund issuable to the reporting person. F2 · price: The reporting person contributed Caterpillar common stock to an exchange fund in exchange for shares of the exchange fund. The Caterpillar common stock was valued at $92.54 per share for the purpose of determining the number of shares of the exchange fund issuable to the reporting person. F1 · balance_after: This amount includes 22,572 shares in 401K and 2566 shares in SEIP. Read SEC document |
| February 01, 2005 Filed Feb 2, 2005 14:23 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 17,684 | $0.00 Strike: $30.16 | $0.00 |
DisclosureSEC source: 0000018230-05-000071 · edgar.xml · derivative · entry 7 BEARD JAMES S · CIK 0001171764 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 17,684 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 |
| February 01, 2005 Filed Feb 2, 2005 14:23 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 21,399 | $0.00 Strike: $38.41 | $0.00 |
DisclosureSEC source: 0000018230-05-000071 · edgar.xml · derivative · entry 6 BEARD JAMES S · CIK 0001171764 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 21,399 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 01, 2005 Filed Feb 2, 2005 14:23 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 17,962 | $0.00 Strike: $32.91 | $0.00 |
DisclosureSEC source: 0000018230-05-000071 · edgar.xml · derivative · entry 5 BEARD JAMES S · CIK 0001171764 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 17,962 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 |
| February 01, 2005 Filed Feb 2, 2005 14:23 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 57,045 | $90.00 | $5,134,175.50 |
DisclosureSEC source: 0000018230-05-000071 · edgar.xml · nonDerivative · entry 4 BEARD JAMES S · CIK 0001171764 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,231 F1 · balance_after: This amount includes 22,572 shares in 401K and 2566 shares in SEIP. Read SEC document |
| February 01, 2005 Filed Feb 2, 2005 14:23 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 17,684 | $30.16 | $533,282.24 |
DisclosureSEC source: 0000018230-05-000071 · edgar.xml · nonDerivative · entry 3 BEARD JAMES S · CIK 0001171764 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 99,276 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 01, 2005 Filed Feb 2, 2005 14:23 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 21,399 | $38.41 | $821,856.41 |
DisclosureSEC source: 0000018230-05-000071 · edgar.xml · nonDerivative · entry 2 BEARD JAMES S · CIK 0001171764 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 81,592 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 01, 2005 Filed Feb 2, 2005 14:23 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 17,962 | $32.91 | $591,061.16 |
DisclosureSEC source: 0000018230-05-000071 · edgar.xml · nonDerivative · entry 1 BEARD JAMES S · CIK 0001171764 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,193 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 01, 2005 Filed Apr 21, 2005 17:30 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 2,601 | $0.00 Strike: $38.41 | $0.00 |
DisclosureSEC source: 0000018230-05-000353 · edgar.xml · derivative · entry 12 BEARD JAMES S · CIK 0001171764 · 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 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 01, 2005 Filed Apr 21, 2005 17:30 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 1,604 | $0.00 Strike: $62.34 | $0.00 |
DisclosureSEC source: 0000018230-05-000353 · edgar.xml · derivative · entry 11 BEARD JAMES S · CIK 0001171764 · 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 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 01, 2005 Filed Apr 21, 2005 17:30 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 1,795 | $0.00 Strike: $55.69 | $0.00 |
DisclosureSEC source: 0000018230-05-000353 · edgar.xml · derivative · entry 10 BEARD JAMES S · CIK 0001171764 · 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 |
| February 01, 2005 Filed Apr 21, 2005 17:30 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 1,934 | $0.00 Strike: $51.66 | $0.00 |
DisclosureSEC source: 0000018230-05-000353 · edgar.xml · derivative · entry 9 BEARD JAMES S · CIK 0001171764 · 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 |
| February 01, 2005 Filed Apr 21, 2005 17:30 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 3,038 | $0.00 Strike: $32.91 | $0.00 |
DisclosureSEC source: 0000018230-05-000353 · edgar.xml · derivative · entry 8 BEARD JAMES S · CIK 0001171764 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 3,038 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 |
| February 01, 2005 Filed Apr 21, 2005 17:30 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 3,316 | $0.00 Strike: $30.16 | $0.00 |
DisclosureSEC source: 0000018230-05-000353 · edgar.xml · derivative · entry 7 BEARD JAMES S · CIK 0001171764 · Vice President 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 |
| February 01, 2005 Filed Apr 21, 2005 17:30 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 2,601 | $38.41 | $99,894.79 |
DisclosureSEC source: 0000018230-05-000353 · edgar.xml · nonDerivative · entry 6 BEARD JAMES S · CIK 0001171764 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,426 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. F1 · balance_after: This amount includes 22,572 shares in 401K and 2566 shares in SEIP. Read SEC document |
| February 01, 2005 Filed Apr 21, 2005 17:30 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 1,604 | $62.34 | $99,999.46 |
DisclosureSEC source: 0000018230-05-000353 · edgar.xml · nonDerivative · entry 5 BEARD JAMES S · CIK 0001171764 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,825 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 01, 2005 Filed Apr 21, 2005 17:30 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 1,795 | $55.69 | $99,959.06 |
DisclosureSEC source: 0000018230-05-000353 · edgar.xml · nonDerivative · entry 4 BEARD JAMES S · CIK 0001171764 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,221 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 01, 2005 Filed Apr 21, 2005 17:30 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 1,934 | $51.66 | $99,903.09 |
DisclosureSEC source: 0000018230-05-000353 · edgar.xml · nonDerivative · entry 3 BEARD JAMES S · CIK 0001171764 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,426 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 01, 2005 Filed Apr 21, 2005 17:30 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 3,038 | $32.91 | $99,969.04 |
DisclosureSEC source: 0000018230-05-000353 · edgar.xml · nonDerivative · entry 2 BEARD JAMES S · CIK 0001171764 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,492 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 01, 2005 Filed Apr 21, 2005 17:30 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 3,316 | $30.16 | $99,997.96 |
DisclosureSEC source: 0000018230-05-000353 · edgar.xml · nonDerivative · entry 1 BEARD JAMES S · CIK 0001171764 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,454 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 |
| January 31, 2005 Filed Feb 2, 2005 18:45 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 194 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000081 · edgar.xml · derivative · entry 2 BEARD JAMES S · CIK 0001171764 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 194 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 18:25 UTC Amendment | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 0 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000104 · edgar.xml · derivative · entry 2 BEARD JAMES S · CIK 0001171764 · 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 9, 2004 22:29 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherOption (NQ) · Derivative | 30,000 | $0.00 Strike: $77.26 | $0.00 |
DisclosureSEC source: 0000018230-04-000379 · edgar.xml · derivative · entry 2 BEARD JAMES S · CIK 0001171764 · 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 |
| January 20, 2004 Filed Jan 20, 2004 16:52 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 346 | $83.11 | $28,756.06 |
DisclosureSEC source: 0000018230-04-000041 · edgar.xml · nonDerivative · entry 1 BEARD JAMES S · CIK 0001171764 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,804 F1 · balance_after: This amount includes 22,186 shares in 401K, 2525 shares in SEIP and 84 shares in dividend reinvestment. Read SEC document |
| October 07, 2003 Filed Oct 8, 2003 14:14 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 600 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-03-000464 · edgar.xml · nonDerivative · entry 1 BEARD JAMES S · CIK 0001171764 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,094 F1 · balance_after: This amount includes 22,140 shares in 401K, 2515 shares in SEIP and 84 shares in dividend reinvestment. Read SEC document |
| August 19, 2003 Filed Aug 20, 2003 14:49 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 6,664 | $0.00 Strike: $26.77 | $0.00 |
DisclosureSEC source: 0000018230-03-000418 · edgar.xml · derivative · entry 2 BEARD JAMES S · CIK 0001171764 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 6,664 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 |
| August 19, 2003 Filed Aug 20, 2003 14:49 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 6,664 | $26.77 | $178,365.96 |
DisclosureSEC source: 0000018230-03-000418 · edgar.xml · nonDerivative · entry 1 BEARD JAMES S · CIK 0001171764 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,694 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. F1 · balance_after: This amount includes 22,140 shares in 401K, 2515 shares in SEIP and 84 shares in dividend reinvestment. Read SEC document |
| August 18, 2003 Filed Aug 19, 2003 14:23 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 6,664 | $71.46 | $476,209.44 |
DisclosureSEC source: 0000018230-03-000416 · edgar.xml · nonDerivative · entry 1 BEARD JAMES S · CIK 0001171764 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,030 F1 · balance_after: This amount includes 22,140 shares in 401K, 2515 shares in SEIP and 84 shares in dividend reinvestment. Read SEC document |
| August 15, 2003 Filed Aug 18, 2003 16:15 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 3,736 | $0.00 Strike: $26.77 | $0.00 |
DisclosureSEC source: 0000018230-03-000411 · edgar.xml · derivative · entry 3 BEARD JAMES S · CIK 0001171764 · Vice President 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 |
| August 15, 2003 Filed Aug 18, 2003 16:15 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,404 | $71.20 | $99,964.80 |
DisclosureSEC source: 0000018230-03-000411 · edgar.xml · nonDerivative · entry 2 BEARD JAMES S · CIK 0001171764 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,694 F1 · balance_after: This amount includes 22,140 shares in 401K, 2515 shares in SEIP and 84 shares in dividend reinvestment. Read SEC document |
| August 15, 2003 Filed Aug 18, 2003 16:15 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 3,736 | $26.77 | $99,996.28 |
DisclosureSEC source: 0000018230-03-000411 · edgar.xml · nonDerivative · entry 1 BEARD JAMES S · CIK 0001171764 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,098 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.