Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| NISOURCE INC.NI · Entity 3270 | Director | May 08, 2018 | May 09, 2018 |
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.
NISOURCE INC.
Report date May 08, 2018 · Filed May 09, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 16,075.52 |
Reported balance
After 2018-05-08 transaction · row 1
1 source rowRow 1 · 2018-05-08 · Grant · Acquired 5,478.088 · Balance 16,075.52 F1: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Company's common stock pursuant to the NiSource Inc. 2010 Omnibus Incentive Plan. The RSUs are granted as part of the non-employee director's annual compensation and vest in full on the last day of the director's annual term for which the RSUs are awarded, subject to certain acceleration conditions. |
| Common StockSEC Table I · non-derivative | IndirectR & B Thompson 2005 Family Trust | 29,143.02 |
Reported balance
Holding disclosure · report date 2018-05-08 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 29,143.02 |
Filing footnotes · ownership attribution and instrument terms
F1: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Company's common stock pursuant to the NiSource Inc. 2010 Omnibus Incentive Plan. The RSUs are granted as part of the non-employee director's annual compensation and vest in full on the last day of the director's annual term for which the RSUs are awarded, subject to certain acceleration conditions.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
CATERPILLAR INC
Report date July 01, 2004 · Filed July 01, 2004
Section 16 reporting ended · disclosed 2004-07-01. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| CommonSEC Table I · non-derivative | Direct | 132,914 |
Reported balance
Holding disclosure · report date 2004-07-01 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 132,914 F1: This amount includes 18,370 shares in 401K, 8095 shares in SEIP and 5861 shares in dividend reinvestment. |
| CommonSEC Table I · non-derivative | IndirectOwned by Wife | 25,039 |
Reported balance
Holding disclosure · report date 2004-07-01 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 25,039 F2: This amount includes 3667 shares in dividend reinvestment. |
Filing footnotes · ownership attribution and instrument terms
F1: This amount includes 18,370 shares in 401K, 8095 shares in SEIP and 5861 shares in dividend reinvestment.
F2: This amount includes 3667 shares in dividend reinvestment.
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 |
|---|---|---|---|---|---|---|
| May 08, 2018 Filed May 9, 2018 20:16 UTC | NISOURCE INC. NI · Entity 3270 | GrantCommon Stock | 5,478.088 | $25.10 | $137,500.01 |
DisclosureSEC source: 0001127602-18-016741 · form4.xml · nonDerivative · entry 1 THOMPSON RICHARD L · CIK 0001122800 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,075.52 F1 · shares: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Company's common stock pursuant to the NiSource Inc. 2010 Omnibus Incentive Plan. The RSUs are granted as part of the non-employee director's annual compensation and vest in full on the last day of the director's annual term for which the RSUs are awarded, subject to certain acceleration conditions. Read SEC document |
| May 09, 2017 Filed May 11, 2017 15:50 UTC | NISOURCE INC. NI · Entity 3270 | GrantCommon Stock | 5,394.191 | $24.10 | $130,000.00 |
DisclosureSEC source: 0001127602-17-017660 · form4.xml · nonDerivative · entry 1 THOMPSON RICHARD L · CIK 0001122800 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,494.156 F1 · shares: Represents restricted stock units granted as part of non-employee director's compensation. Read SEC document |
| March 31, 2004 Filed Apr 19, 2004 18:17 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 1,088 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000257 · edgar.xml · derivative · entry 3 THOMPSON RICHARD L · CIK 0001122800 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 1,088 shares Expires 1988-08-08 F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F4 · 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. F4 · 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 20, 2004 Filed Jan 20, 2004 19:29 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 624 | $83.11 | $51,860.64 |
DisclosureSEC source: 0000018230-04-000088 · edgar.xml · nonDerivative · entry 1 THOMPSON RICHARD L · CIK 0001122800 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 132,439 F1 · balance_after: This amount includes 18,033 shares in 401K, 7957 shares in SEIP and 5861 shares in dividend reinvestment. Read SEC document |
| December 22, 2003 Filed Dec 23, 2003 16:37 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 48,396 | $0.00 Strike: $62.34 | $0.00 |
DisclosureSEC source: 0000018230-03-000541 · edgar.xml · derivative · entry 7 THOMPSON RICHARD L · CIK 0001122800 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 48,396 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 |
| December 22, 2003 Filed Dec 23, 2003 16:37 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 1,604 | $0.00 Strike: $62.34 | $0.00 |
DisclosureSEC source: 0000018230-03-000541 · edgar.xml · derivative · entry 6 THOMPSON RICHARD L · CIK 0001122800 · Group 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 |
| December 22, 2003 Filed Dec 23, 2003 16:37 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 39,496 | $84.32 | $3,330,302.72 |
DisclosureSEC source: 0000018230-03-000541 · edgar.xml · nonDerivative · entry 4 THOMPSON RICHARD L · CIK 0001122800 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 133,100 F1 · balance_after: This amount includes 18,070 shares in 401K, 7957 shares in SEIP and 5861 shares in dividend reinvestment. Read SEC document |
| December 22, 2003 Filed Dec 23, 2003 16:37 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 48,396 | $62.34 | $3,017,190.54 |
DisclosureSEC source: 0000018230-03-000541 · edgar.xml · nonDerivative · entry 3 THOMPSON RICHARD L · CIK 0001122800 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 172,596 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 |
| December 22, 2003 Filed Dec 23, 2003 16:37 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,185 | $84.32 | $99,919.20 |
DisclosureSEC source: 0000018230-03-000541 · edgar.xml · nonDerivative · entry 2 THOMPSON RICHARD L · CIK 0001122800 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 124,200 Read SEC document |
| December 22, 2003 Filed Dec 23, 2003 16:37 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 1,604 | $62.34 | $99,999.46 |
DisclosureSEC source: 0000018230-03-000541 · edgar.xml · nonDerivative · entry 1 THOMPSON RICHARD L · CIK 0001122800 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 125,385 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 18, 2003 Filed Aug 19, 2003 14:21 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 41,705 | $0.00 Strike: $55.69 | $0.00 |
DisclosureSEC source: 0000018230-03-000415 · edgar.xml · derivative · entry 4 THOMPSON RICHARD L · CIK 0001122800 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 41,705 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 |
| August 18, 2003 Filed Aug 19, 2003 14:21 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 34,963 | $72.24 | $2,525,727.12 |
DisclosureSEC source: 0000018230-03-000415 · edgar.xml · nonDerivative · entry 2 THOMPSON RICHARD L · CIK 0001122800 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 123,162 F1 · balance_after: This amount includes 18,136 shares in 401K, 7317 shares in SEIP and 5816 shares in dividend reinvestment. Read SEC document |
| August 18, 2003 Filed Aug 19, 2003 14:21 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 41,705 | $55.69 | $2,322,447.19 |
DisclosureSEC source: 0000018230-03-000415 · edgar.xml · nonDerivative · entry 1 THOMPSON RICHARD L · CIK 0001122800 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 158,125 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 15, 2003 Filed Aug 18, 2003 16:31 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 36,000 | $0.00 Strike: $53.53 | $0.00 |
DisclosureSEC source: 0000018230-03-000412 · edgar.xml · derivative · entry 10 THOMPSON RICHARD L · CIK 0001122800 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 36,000 shares Expires 2011-06-12 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 15, 2003 Filed Aug 18, 2003 16:31 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 1,795 | $0.00 Strike: $55.69 | $0.00 |
DisclosureSEC source: 0000018230-03-000412 · edgar.xml · derivative · entry 9 THOMPSON RICHARD L · CIK 0001122800 · Group 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 |
| August 15, 2003 Filed Aug 18, 2003 16:31 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 6,500 | $0.00 Strike: $55.69 | $0.00 |
DisclosureSEC source: 0000018230-03-000412 · edgar.xml · derivative · entry 8 THOMPSON RICHARD L · CIK 0001122800 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 6,500 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 |
| August 15, 2003 Filed Aug 18, 2003 16:31 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 29,696 | $71.20 | $2,114,355.20 |
DisclosureSEC source: 0000018230-03-000412 · edgar.xml · nonDerivative · entry 6 THOMPSON RICHARD L · CIK 0001122800 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 116,420 F1 · balance_after: This amount includes 18,136 shares in 401K, 7317 shares in SEIP and 5816 shares in dividend reinvestment. Read SEC document |
| August 15, 2003 Filed Aug 18, 2003 16:31 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 36,000 | $53.53 | $1,927,080.00 |
DisclosureSEC source: 0000018230-03-000412 · edgar.xml · nonDerivative · entry 5 THOMPSON RICHARD L · CIK 0001122800 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 146,116 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 15, 2003 Filed Aug 18, 2003 16:31 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,403 | $71.20 | $99,893.60 |
DisclosureSEC source: 0000018230-03-000412 · edgar.xml · nonDerivative · entry 4 THOMPSON RICHARD L · CIK 0001122800 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 110,116 Read SEC document |
| August 15, 2003 Filed Aug 18, 2003 16:31 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 1,795 | $55.69 | $99,959.06 |
DisclosureSEC source: 0000018230-03-000412 · edgar.xml · nonDerivative · entry 3 THOMPSON RICHARD L · CIK 0001122800 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 111,519 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 15, 2003 Filed Aug 18, 2003 16:31 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 5,500 | $71.20 | $391,600.00 |
DisclosureSEC source: 0000018230-03-000412 · edgar.xml · nonDerivative · entry 2 THOMPSON RICHARD L · CIK 0001122800 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 109,724 Read SEC document |
| August 15, 2003 Filed Aug 18, 2003 16:31 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 6,500 | $55.69 | $361,968.75 |
DisclosureSEC source: 0000018230-03-000412 · edgar.xml · nonDerivative · entry 1 THOMPSON RICHARD L · CIK 0001122800 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 115,224 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 14, 2003 Filed Aug 15, 2003 17:53 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 20,334 | $0.00 Strike: $50.72 | $0.00 |
DisclosureSEC source: 0000018230-03-000404 · edgar.xml · derivative · entry 13 THOMPSON RICHARD L · CIK 0001122800 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 20,334 shares Expires 2012-06-11 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 |
| August 14, 2003 Filed Aug 15, 2003 17:53 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 2,566 | $0.00 Strike: $51.66 | $0.00 |
DisclosureSEC source: 0000018230-03-000404 · edgar.xml · derivative · entry 12 THOMPSON RICHARD L · CIK 0001122800 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 2,566 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 |
| August 14, 2003 Filed Aug 15, 2003 17:53 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 1,934 | $0.00 Strike: $51.66 | $0.00 |
DisclosureSEC source: 0000018230-03-000404 · edgar.xml · derivative · entry 11 THOMPSON RICHARD L · CIK 0001122800 · Group 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 |
| August 14, 2003 Filed Aug 15, 2003 17:53 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 16,306 | $70.51 | $1,149,736.06 |
DisclosureSEC source: 0000018230-03-000404 · edgar.xml · nonDerivative · entry 8 THOMPSON RICHARD L · CIK 0001122800 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 108,724 F1 · balance_after: This amount includes 18,136 shares in 401K, 7317 shares in SEIP and 5816 shares in dividend reinvestment. Read SEC document |
| August 14, 2003 Filed Aug 15, 2003 17:53 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 20,334 | $50.72 | $1,031,238.81 |
DisclosureSEC source: 0000018230-03-000404 · edgar.xml · nonDerivative · entry 7 THOMPSON RICHARD L · CIK 0001122800 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 125,030 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 14, 2003 Filed Aug 15, 2003 17:53 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 2,081 | $70.51 | $146,731.31 |
DisclosureSEC source: 0000018230-03-000404 · edgar.xml · nonDerivative · entry 6 THOMPSON RICHARD L · CIK 0001122800 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 104,696 Read SEC document |
| August 14, 2003 Filed Aug 15, 2003 17:53 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 2,566 | $51.66 | $132,549.81 |
DisclosureSEC source: 0000018230-03-000404 · edgar.xml · nonDerivative · entry 5 THOMPSON RICHARD L · CIK 0001122800 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 106,777 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 14, 2003 Filed Aug 15, 2003 17:53 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,416 | $70.51 | $99,842.16 |
DisclosureSEC source: 0000018230-03-000404 · edgar.xml · nonDerivative · entry 4 THOMPSON RICHARD L · CIK 0001122800 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 104,211 Read SEC document |
| August 14, 2003 Filed Aug 15, 2003 17:53 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 1,934 | $51.66 | $99,903.09 |
DisclosureSEC source: 0000018230-03-000404 · edgar.xml · nonDerivative · entry 3 THOMPSON RICHARD L · CIK 0001122800 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 105,627 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 13, 2003 Filed Aug 15, 2003 17:53 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 45,500 | $0.00 Strike: $51.66 | $0.00 |
DisclosureSEC source: 0000018230-03-000404 · edgar.xml · derivative · entry 10 THOMPSON RICHARD L · CIK 0001122800 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 45,500 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 |
| August 13, 2003 Filed Aug 15, 2003 17:53 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 37,033 | $70.16 | $2,598,235.28 |
DisclosureSEC source: 0000018230-03-000404 · edgar.xml · nonDerivative · entry 2 THOMPSON RICHARD L · CIK 0001122800 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 103,693 Read SEC document |
| August 13, 2003 Filed Aug 15, 2003 17:53 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 45,500 | $51.66 | $2,350,357.10 |
DisclosureSEC source: 0000018230-03-000404 · edgar.xml · nonDerivative · entry 1 THOMPSON RICHARD L · CIK 0001122800 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 140,726 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 |
| July 18, 2003 Filed Jul 22, 2003 17:53 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 34,266 | $0.00 Strike: $38.41 | $0.00 |
DisclosureSEC source: 0000018230-03-000302 · edgar.xml · derivative · entry 6 THOMPSON RICHARD L · CIK 0001122800 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 34,266 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 |
| July 18, 2003 Filed Jul 22, 2003 17:53 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 1,734 | $0.00 Strike: $38.41 | $0.00 |
DisclosureSEC source: 0000018230-03-000302 · edgar.xml · derivative · entry 5 THOMPSON RICHARD L · CIK 0001122800 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 1,734 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 |
| July 18, 2003 Filed Jul 22, 2003 17:53 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 24,456 | $64.63 | $1,580,591.28 |
DisclosureSEC source: 0000018230-03-000302 · edgar.xml · nonDerivative · entry 4 THOMPSON RICHARD L · CIK 0001122800 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,204 F1 · balance_after: This amount includes 12,055 shares in EIP-1, 6059 shares in 401K, 7317 shares in SEIP and 5816 shares in dividend reinvestment. In addition, 25,039 shares are held indirectly by wife (this amount includes 3667 shares in dividend reinvestment.) Read SEC document |
| July 18, 2003 Filed Jul 22, 2003 17:53 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 34,266 | $38.41 | $1,316,030.28 |
DisclosureSEC source: 0000018230-03-000302 · edgar.xml · nonDerivative · entry 3 THOMPSON RICHARD L · CIK 0001122800 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 119,660 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 |
| July 18, 2003 Filed Jul 22, 2003 17:53 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,030 | $64.63 | $66,568.90 |
DisclosureSEC source: 0000018230-03-000302 · edgar.xml · nonDerivative · entry 2 THOMPSON RICHARD L · CIK 0001122800 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 85,394 Read SEC document |
| July 18, 2003 Filed Jul 22, 2003 17:53 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 1,734 | $38.41 | $66,596.52 |
DisclosureSEC source: 0000018230-03-000302 · edgar.xml · nonDerivative · entry 1 THOMPSON RICHARD L · CIK 0001122800 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,424 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.