Reported relationships
Latest disclosed role at each company.
No relationships currently tracked through insider filings.
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.
No balances currently tracked through insider filings.
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 January 31, 2004 · Filed February 02, 2004
Section 16 reporting ended · disclosed 2004-02-02. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| CommonSEC Table I · non-derivative | Direct | 22,494 |
Reported balance
Holding disclosure · report date 2004-01-31 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 22,494 F1: This amount includes 8909 shares in 401K, 1301 shares in SEIP and 963 shares in dividend reinvestment. |
| CommonSEC Table I · non-derivative | IndirectOwned by Husband | 3,053 |
Reported balance
Holding disclosure · report date 2004-01-31 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 3,053 F2: Reporting person disclaims beneficial ownership. |
Filing footnotes · ownership attribution and instrument terms
F1: This amount includes 8909 shares in 401K, 1301 shares in SEIP and 963 shares in dividend reinvestment.
F2: Reporting person disclaims beneficial ownership.
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 |
|---|---|---|---|---|---|---|
| January 20, 2004 Filed Jan 20, 2004 19:56 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 328 | $83.11 | $27,260.08 |
DisclosureSEC source: 0000018230-04-000094 · edgar.xml · nonDerivative · entry 1 WEST SHERRIL K · CIK 0001171798 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,494 F1 · balance_after: This amount includes 8909 shares in 401K, 1301 shares in SEIP and 963 shares in dividend reinvestment. Read SEC document |
| December 17, 2003 Filed Dec 18, 2003 15:57 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 1,018 | $0.00 Strike: $26.77 | $0.00 |
DisclosureSEC source: 0000018230-03-000531 · edgar.xml · derivative · entry 3 WEST SHERRIL K · CIK 0001171798 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 1,018 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 |
| December 17, 2003 Filed Dec 18, 2003 15:57 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 335 | $81.10 | $27,166.83 |
DisclosureSEC source: 0000018230-03-000531 · edgar.xml · nonDerivative · entry 2 WEST SHERRIL K · CIK 0001171798 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,830 F1 · balance_after: This amount includes 8917 shares in 401K, 1301 shares in SEIP and 963 shares in dividend reinvestment. Read SEC document |
| December 17, 2003 Filed Dec 18, 2003 15:57 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 1,018 | $26.77 | $27,247.38 |
DisclosureSEC source: 0000018230-03-000531 · edgar.xml · nonDerivative · entry 1 WEST SHERRIL K · CIK 0001171798 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,165 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 |
| May 12, 2003 Filed May 13, 2003 19:25 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 400 | $0.00 Strike: $18.77 | $0.00 |
DisclosureSEC source: 0000018230-03-000206 · edgar.xml · derivative · entry 6 WEST SHERRIL K · CIK 0001171798 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 400 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 |
| May 12, 2003 Filed May 13, 2003 19:25 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 1,656 | $0.00 Strike: $18.77 | $0.00 |
DisclosureSEC source: 0000018230-03-000206 · edgar.xml · derivative · entry 5 WEST SHERRIL K · CIK 0001171798 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 1,656 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 |
| May 12, 2003 Filed May 13, 2003 19:25 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 220 | $53.67 | $11,806.30 |
DisclosureSEC source: 0000018230-03-000206 · edgar.xml · nonDerivative · entry 4 WEST SHERRIL K · CIK 0001171798 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,717 F1 · balance_after: This amount includes 8738 shares in EIP-1, 1285 shares in SEIP and 728 shares in dividend reinvestment. Read SEC document |
| May 12, 2003 Filed May 13, 2003 19:25 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 400 | $18.77 | $7,506.24 |
DisclosureSEC source: 0000018230-03-000206 · edgar.xml · nonDerivative · entry 3 WEST SHERRIL K · CIK 0001171798 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,937 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 |
| May 12, 2003 Filed May 13, 2003 19:25 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 579 | $53.67 | $31,072.04 |
DisclosureSEC source: 0000018230-03-000206 · edgar.xml · nonDerivative · entry 2 WEST SHERRIL K · CIK 0001171798 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,537 Read SEC document |
| May 12, 2003 Filed May 13, 2003 19:25 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 1,656 | $18.77 | $31,075.83 |
DisclosureSEC source: 0000018230-03-000206 · edgar.xml · nonDerivative · entry 1 WEST SHERRIL K · CIK 0001171798 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,116 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 |
| June 25, 2002 Filed Jan 13, 2004 19:04 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherCommon | 253 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000028 · edgar.xml · nonDerivative · entry 2 WEST SHERRIL K · CIK 0001171798 · Vice President 10b5-1 filing: Not disclosed Ownership: Indirect · Owned by Husband Disclosed balance after: 253 F3 · kind: Distribution from company's EIP-1 Plan upon person's retirement. F2 · ownership.nature: Reporting person disclaims beneficial ownership. Read SEC document |
| June 25, 2002 Filed Jan 20, 2004 19:50 UTC Amendment | CATERPILLAR INC CAT · Entity 2808 | OtherCommon | 3,053 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-04-000091 · edgar.xml · nonDerivative · entry 2 WEST SHERRIL K · CIK 0001171798 · Vice President 10b5-1 filing: Not disclosed Ownership: Indirect · Owned by Husband Disclosed balance after: 3,053 F3 · kind: Distribution from company's EIP-1 Plan upon person's retirement. F2 · ownership.nature: Reporting person disclaims beneficial ownership. 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.