Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CATERPILLAR INCCAT · Entity 2808 | Vice President | February 18, 2005 | February 22, 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 18, 2005 · Filed February 22, 2005
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Option (NQ)SEC Table II · derivative / convertible security · Conversion / exercise price $91.29 · Expires 2015-02-18 | Direct | 27,000 |
Reported balance
After 2005-02-18 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2005-02-18 · Other · Acquired 27,000 · Balance 27,000 F2: This option was granted with attached tax withholding rights. F3: Grant to reporting person of option to buy 27,000 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable immediately. |
| CommonSEC Table I · non-derivative | Direct | 18,490 |
Reported balance
Holding disclosure · report date 2005-02-18 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 18,490 F1: This amount includes 5592 shares in EIP and 2584 shares in dividend reinvestment. |
Filing footnotes · ownership attribution and instrument terms
F1: This amount includes 5592 shares in EIP and 2584 shares in dividend reinvestment.
F2: This option was granted with attached tax withholding rights.
F3: Grant to reporting person of option to buy 27,000 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable immediately.
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 18, 2005 Filed Feb 22, 2005 17:09 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherOption (NQ) · Derivative | 27,000 | $0.00 Strike: $91.29 | $0.00 |
DisclosureSEC source: 0000018230-05-000161 · edgar.xml · derivative · entry 2 BAUNTON MICHAEL J · CIK 0001171805 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,000 Underlying: Common · 27,000 shares Expires 2015-02-18 F2 · security: This option was granted with attached tax withholding rights. F3 · kind: Grant to reporting person of option to buy 27,000 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable immediately. F3 · price: Grant to reporting person of option to buy 27,000 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable immediately. F3 · derivative.exercise_date: Grant to reporting person of option to buy 27,000 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable immediately. Read SEC document |
| February 07, 2005 Filed Feb 8, 2005 14:11 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 13,500 | $92.00 | $1,242,000.00 |
DisclosureSEC source: 0000018230-05-000120 · edgar.xml · nonDerivative · entry 1 BAUNTON MICHAEL J · CIK 0001171805 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,490 F1 · balance_after: This amount includes 5592 shares in EIP and 2584 shares in dividend reinvestment. Read SEC document |
| June 08, 2004 Filed Jun 9, 2004 21:37 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherOption (NQ) · Derivative | 27,000 | $0.00 Strike: $77.26 | $0.00 |
DisclosureSEC source: 0000018230-04-000374 · edgar.xml · derivative · entry 2 BAUNTON MICHAEL J · CIK 0001171805 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,000 Underlying: Common · 27,000 shares Expires 2014-06-08 F2 · security: This option was granted with attached tax withholding rights. F3 · kind: Grant to reporting person of option to buy 27,000 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. F3 · price: Grant to reporting person of option to buy 27,000 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. F3 · derivative.exercise_date: Grant to reporting person of option to buy 27,000 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| August 29, 2003 Filed Sep 2, 2003 18:17 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 24,000 | $0.00 Strike: $38.41 | $0.00 |
DisclosureSEC source: 0000018230-03-000435 · edgar.xml · derivative · entry 3 BAUNTON MICHAEL J · CIK 0001171805 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 24,000 shares Expires 2010-06-12 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: (Right to Buy) with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| August 29, 2003 Filed Sep 2, 2003 18:17 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 17,443 | $71.52 | $1,247,436.15 |
DisclosureSEC source: 0000018230-03-000435 · edgar.xml · nonDerivative · entry 2 BAUNTON MICHAEL J · CIK 0001171805 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,359 F1 · balance_after: This amount includes 3977 shares in EIP and 1568 shares in dividend reinvestment. Read SEC document |
| August 29, 2003 Filed Sep 2, 2003 18:17 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 24,000 | $38.41 | $921,751.20 |
DisclosureSEC source: 0000018230-03-000435 · edgar.xml · nonDerivative · entry 1 BAUNTON MICHAEL J · CIK 0001171805 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,802 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.