Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| NEWMONT Corp /DE/NEM · Entity 1894 | Director | April 25, 2011 | April 27, 2011 |
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.
NEWMONT Corp /DE/
Report date April 25, 2011 · Filed April 27, 2011
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, $1.60 par valueSEC Table I · non-derivative | Direct | 14,339 |
Reported balance
After 2011-04-25 transaction · row 1
1 source rowRow 1 · 2011-04-25 · Other · Acquired 2,044 · Balance 14,339 F1: Award of shares pursuant to the Issuer's 2005 Stock Incentive Plan. |
| Common Stock, $1.60 par valueSEC Table I · non-derivative | IndirectBy Glen Barton Revocable Trust | 6,581 |
Reported balance
Holding disclosure · report date 2011-04-25 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 6,581 |
Filing footnotes · ownership attribution and instrument terms
F1: Award of shares pursuant to the Issuer's 2005 Stock Incentive Plan.
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 | 138,432 |
Reported balance
Holding disclosure · report date 2004-01-31 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 138,432 F1: This amount includes 6693 shares in 401K, 4092 shares in SEIP and 6652 shares in dividend reinvestment. |
Filing footnotes · ownership attribution and instrument terms
F1: This amount includes 6693 shares in 401K, 4092 shares in SEIP and 6652 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 |
|---|---|---|---|---|---|---|
| April 25, 2011 Filed Apr 27, 2011 17:41 UTC | NEWMONT Corp /DE/ NEM · Entity 1894 | OtherCommon Stock, $1.60 par value | 2,044 | $0.00 | $0.00 |
DisclosureSEC source: 0001164727-11-000077 · edgar.xml · nonDerivative · entry 1 BARTON GLEN A · CIK 0001145439 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,339 F1 · kind: Award of shares pursuant to the Issuer's 2005 Stock Incentive Plan. Read SEC document |
| May 03, 2010 Filed May 5, 2010 17:18 UTC | NEWMONT Corp /DE/ NEM · Entity 1894 | Exercise / conversionStock Option (right to buy) · Derivative | 1,591 | $0.00 Strike: $23.57 | $0.00 |
DisclosureSEC source: 0001164727-10-000096 · edgar.xml · derivative · entry 5 BARTON GLEN A · CIK 0001145439 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,591 shares Expires 2012-11-21 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. F3 · derivative.exercise_date: The options became exercisable in three annual installments on November 21, 2003, November 21, 2004 and November 21, 2005. Read SEC document |
| May 03, 2010 Filed May 5, 2010 17:18 UTC | NEWMONT Corp /DE/ NEM · Entity 1894 | Exercise / conversionStock Option (right to buy) · Derivative | 1,334 | $0.00 Strike: $28.11 | $0.00 |
DisclosureSEC source: 0001164727-10-000096 · edgar.xml · derivative · entry 4 BARTON GLEN A · CIK 0001145439 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,334 shares Expires 2012-05-16 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 · derivative.exercise_date: The options became exercisable in three annual installments on May 16, 2003, May 16, 2004 and May 16, 2005. Read SEC document |
| May 03, 2010 Filed May 5, 2010 17:18 UTC | NEWMONT Corp /DE/ NEM · Entity 1894 | OtherCommon Stock, $1.60 par value | 1,591 | $23.57 | $37,499.87 |
DisclosureSEC source: 0001164727-10-000096 · edgar.xml · nonDerivative · entry 2 BARTON GLEN A · CIK 0001145439 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Glen Barton Revocable Trust Disclosed balance after: 6,581 F1 · kind: Transfer of common stock to Glen Barton Revocable Trust following exercise of derivative securities described in Table II awarded pursuant to Issuer's Non-Employee Director Stock Plan. Read SEC document |
| May 03, 2010 Filed May 5, 2010 17:18 UTC | NEWMONT Corp /DE/ NEM · Entity 1894 | OtherCommon Stock, $1.60 par value | 1,334 | $28.11 | $37,498.74 |
DisclosureSEC source: 0001164727-10-000096 · edgar.xml · nonDerivative · entry 1 BARTON GLEN A · CIK 0001145439 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Glen Barton Revocable Trust Disclosed balance after: 4,990 F1 · kind: Transfer of common stock to Glen Barton Revocable Trust following exercise of derivative securities described in Table II awarded pursuant to Issuer's Non-Employee Director Stock Plan. Read SEC document |
| April 29, 2010 Filed May 3, 2010 18:45 UTC | NEWMONT Corp /DE/ NEM · Entity 1894 | GrantCommon Stock, $1.60 par value | 2,155 | $0.00 | $0.00 |
DisclosureSEC source: 0001164727-10-000078 · edgar.xml · nonDerivative · entry 1 BARTON GLEN A · CIK 0001145439 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,295 F1 · kind: Pursuant to the 2005 Stock Incentive Plan for Newmont Mining Corporation (the "Company") the reporting person was awarded director stock units that are immediately fully vested and entitle the reporting person to receive 2,155 shares of the Company's common stock which are issued upon retirement from the board of directors of the Company. Read SEC document |
| May 04, 2009 Filed May 6, 2009 15:54 UTC | NEWMONT Corp /DE/ NEM · Entity 1894 | GrantCommon Stock, $1.60 par value | 3,004 | $0.00 | $0.00 |
DisclosureSEC source: 0001164727-09-000061 · edgar.xml · nonDerivative · entry 2 BARTON GLEN A · CIK 0001145439 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,140 F1 · kind: Pursuant to the 2005 Stock Incentive Plan for Newmont Mining Corporation (the "Company") the reporting person was awarded director stock units that are immediately fully vested and entitle the reporting person to receive 3,004 shares of the Company's common stock which are issued upon retirement from the board of directors of the Company. Read SEC document |
| April 24, 2008 Filed Apr 28, 2008 17:10 UTC | NEWMONT Corp /DE/ NEM · Entity 1894 | GrantCommon Stock, $1.60 par value | 2,751 | $43.62 | $119,998.62 |
DisclosureSEC source: 0001164727-08-000039 · edgar.xml · nonDerivative · entry 2 BARTON GLEN A · CIK 0001145439 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,136 F1 · kind: Pursuant to the 2005 Stock Incentive Plan for Newmont Mining Corporation (the "Company") the reporting person was awarded director stock units that are immediately fully vested and entitle the reporting person to receive 2,751 shares of the Company's common stock which are issued upon retirement from the board of directors of the Company. Read SEC document |
| April 25, 2007 Filed Apr 27, 2007 16:59 UTC | NEWMONT Corp /DE/ NEM · Entity 1894 | OtherCommon Stock, $1.60 par value | 1,701 | $44.09 | $74,997.09 |
DisclosureSEC source: 0001164727-07-000055 · edgar.xml · nonDerivative · entry 1 BARTON GLEN A · CIK 0001145439 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,959 F1 · kind: Award of shares pursuant to the Issuer's 2005 Stock Incentive Plan. Read SEC document |
| April 26, 2006 Filed Apr 28, 2006 13:47 UTC | NEWMONT Corp /DE/ NEM · Entity 1894 | OtherCommon Stock, $1.60 par value | 1,300 | $57.71 | $75,023.00 |
DisclosureSEC source: 0001164727-06-000075 · edgar.xml · nonDerivative · entry 2 BARTON GLEN A · CIK 0001145439 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,258 F1 · kind: Award of shares pursuant to the Issuer's 2005 Stock Incentive Plan. Read SEC document |
| December 20, 2005 Filed Mar 28, 2006 18:25 UTC | NEWMONT Corp /DE/ NEM · Entity 1894 | PurchaseCommon Stock, $1.60 par value | 6 | $50.65 | $303.88 |
DisclosureSEC source: 0001164727-06-000045 · edgar.xml · nonDerivative · entry 3 BARTON GLEN A · CIK 0001145439 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Glen Barton Revocable Trust Disclosed balance after: 3,082 F1 · balance_after: Reporting person acquired the additional shares of Newmont Mining Corporation common stock through the reinvestment of dividends. Read SEC document |
| September 28, 2005 Filed Mar 28, 2006 18:25 UTC | NEWMONT Corp /DE/ NEM · Entity 1894 | PurchaseCommon Stock, $1.60 par value | 6 | $46.58 | $279.49 |
DisclosureSEC source: 0001164727-06-000045 · edgar.xml · nonDerivative · entry 2 BARTON GLEN A · CIK 0001145439 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Glen Barton Revocable Trust Disclosed balance after: 3,076 F1 · balance_after: Reporting person acquired the additional shares of Newmont Mining Corporation common stock through the reinvestment of dividends. Read SEC document |
| June 22, 2005 Filed Mar 28, 2006 18:25 UTC | NEWMONT Corp /DE/ NEM · Entity 1894 | PurchaseCommon Stock, $1.60 par value | 8 | $39.53 | $316.24 |
DisclosureSEC source: 0001164727-06-000045 · edgar.xml · nonDerivative · entry 1 BARTON GLEN A · CIK 0001145439 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Glen Barton Revocable Trust Disclosed balance after: 3,070 F1 · balance_after: Reporting person acquired the additional shares of Newmont Mining Corporation common stock through the reinvestment of dividends. Read SEC document |
| June 15, 2005 Filed Jun 17, 2005 17:02 UTC | NEWMONT Corp /DE/ NEM · Entity 1894 | GrantCommon Stock, $1.60 par value | 1,303 | $38.37 | $49,996.11 |
DisclosureSEC source: 0001164727-05-000101 · edgar.xml · nonDerivative · entry 1 BARTON GLEN A · CIK 0001145439 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,020 F1 · kind: Pursuant to the 2005 Stock Incentive Plan for Newmont Mining Corporation (the "Company") the reporting person was awarded director stock units that are immediately fully vested and entitle the reporting person to receive 1,303 shares of the Company's common stock which are issued upon retirement from the board of directors of the Company. F2 · balance_after: Since the reporting person's last report, 3,062 common shares previously owned directly are now jointly owned with his spouse. Read SEC document |
| December 16, 2004 Filed Dec 20, 2004 12:18 UTC | NEWMONT Corp /DE/ NEM · Entity 1894 | PurchaseCommon Stock, $1.60 par value | 1,296 | $45.41 | $58,851.36 |
DisclosureSEC source: 0001164727-04-000173 · edgar.xml · nonDerivative · entry 2 BARTON GLEN A · CIK 0001145439 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,062 F1 · shares: Mr. Barton purchased 1,296 shares of common stock from the Glen A. Barton Limited Partnership, which shares Mr. Barton previously reported as being indirectly owned by the Glen A. Barton Limited Partnership, a limited partnership of which Mr. Barton is the sole general partner, of which Mr. Barton, his children and his wife's children are the sole limited partners . Mr. Barton now holds the 1,296 shares of common stock directly. F2 · balance_after: Includes 2,421 shares of common stock that are held directly by Mr. Barton which were reported incorrectly in previous filings as being held indirectly by Mr. Barton through the Glen A. Parton Limited Partnership. F3 · balance_after: Mr. Barton holds 655 common shares indirectly by the Glen A. Barton LLC. Read SEC document |
| December 16, 2004 Filed Dec 20, 2004 12:18 UTC | NEWMONT Corp /DE/ NEM · Entity 1894 | SaleCommon Stock, $1.60 par value | 1,296 | $45.41 | $58,851.36 |
DisclosureSEC source: 0001164727-04-000173 · edgar.xml · nonDerivative · entry 1 BARTON GLEN A · CIK 0001145439 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Glen A. Barton Limited Partnership Disclosed balance after: 0 F1 · balance_after: Mr. Barton purchased 1,296 shares of common stock from the Glen A. Barton Limited Partnership, which shares Mr. Barton previously reported as being indirectly owned by the Glen A. Barton Limited Partnership, a limited partnership of which Mr. Barton is the sole general partner, of which Mr. Barton, his children and his wife's children are the sole limited partners . Mr. Barton now holds the 1,296 shares of common stock directly. Read SEC document |
| April 28, 2004 Filed Apr 30, 2004 11:11 UTC | NEWMONT Corp /DE/ NEM · Entity 1894 | OtherCommon Stock, $1.60 Par Value | 655 | $38.15 | $24,988.25 |
DisclosureSEC source: 0001164727-04-000069 · edgar.xml · nonDerivative · entry 1 BARTON GLEN A · CIK 0001145439 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Glen A. Barton, LLC Disclosed balance after: 655 F1 · kind: Award of 655 shares pursuant to Issuer's 2000 Non-Employee Directors Stock Plan. F2 · balance_after: The Reporting Person holds 3,062 common shares indirectly by Glen A. Barton Limited Partnership. Read SEC document |
| January 20, 2004 Filed Feb 14, 2005 16:09 UTC | NEWMONT Corp /DE/ NEM · Entity 1894 | SaleCommon Stock, $1.60 par value | 65 | $44.20 | $2,873.00 |
DisclosureSEC source: 0001164727-05-000036 · edgar.xml · nonDerivative · entry 2 BARTON GLEN A · CIK 0001145439 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,717 Read SEC document |
| December 12, 2003 Filed Dec 15, 2003 14:28 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 12,722 | $0.00 Strike: $32.91 | $0.00 |
DisclosureSEC source: 0000018230-03-000525 · edgar.xml · derivative · entry 3 BARTON GLEN A · CIK 0001145439 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 12,722 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 |
| December 12, 2003 Filed Dec 15, 2003 14:28 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 5,376 | $77.87 | $418,602.24 |
DisclosureSEC source: 0000018230-03-000525 · edgar.xml · nonDerivative · entry 2 BARTON GLEN A · CIK 0001145439 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 138,435 F1 · balance_after: This amount includes 6699 shares in 401K, 4096 shares in SEIP and 6645 shares in dividend reinvestment. Read SEC document |
| December 12, 2003 Filed Dec 15, 2003 14:28 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 12,722 | $32.91 | $418,632.68 |
DisclosureSEC source: 0000018230-03-000525 · edgar.xml · nonDerivative · entry 1 BARTON GLEN A · CIK 0001145439 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 143,811 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 01, 2003 Filed Dec 2, 2003 14:51 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 2,601 | $0.00 Strike: $38.41 | $0.00 |
DisclosureSEC source: 0000018230-03-000509 · edgar.xml · derivative · entry 12 BARTON GLEN A · CIK 0001145439 · Director · Chairman of the Board/CEO 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 |
| December 01, 2003 Filed Dec 2, 2003 14:51 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 1,604 | $0.00 Strike: $62.34 | $0.00 |
DisclosureSEC source: 0000018230-03-000509 · edgar.xml · derivative · entry 11 BARTON GLEN A · CIK 0001145439 · Director · Chairman of the Board/CEO 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 01, 2003 Filed Dec 2, 2003 14:51 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 1,795 | $0.00 Strike: $55.69 | $0.00 |
DisclosureSEC source: 0000018230-03-000509 · edgar.xml · derivative · entry 10 BARTON GLEN A · CIK 0001145439 · Director · Chairman of the Board/CEO 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 |
| December 01, 2003 Filed Dec 2, 2003 14:51 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 1,934 | $0.00 Strike: $51.66 | $0.00 |
DisclosureSEC source: 0000018230-03-000509 · edgar.xml · derivative · entry 9 BARTON GLEN A · CIK 0001145439 · Director · Chairman of the Board/CEO 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 |
| December 01, 2003 Filed Dec 2, 2003 14:51 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,313 | $76.07 | $99,879.91 |
DisclosureSEC source: 0000018230-03-000509 · edgar.xml · nonDerivative · entry 8 BARTON GLEN A · CIK 0001145439 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 130,957 F1 · balance_after: This amount includes 6679 shares in 401K, 4083 shares in SEIP and 6546 shares in dividend reinvestment. Read SEC document |
| December 01, 2003 Filed Dec 2, 2003 14:51 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 2,601 | $38.41 | $99,894.79 |
DisclosureSEC source: 0000018230-03-000509 · edgar.xml · nonDerivative · entry 7 BARTON GLEN A · CIK 0001145439 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 132,270 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 01, 2003 Filed Dec 2, 2003 14:51 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,314 | $76.07 | $99,955.98 |
DisclosureSEC source: 0000018230-03-000509 · edgar.xml · nonDerivative · entry 6 BARTON GLEN A · CIK 0001145439 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 129,669 Read SEC document |
| December 01, 2003 Filed Dec 2, 2003 14:51 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 1,604 | $62.34 | $99,999.46 |
DisclosureSEC source: 0000018230-03-000509 · edgar.xml · nonDerivative · entry 5 BARTON GLEN A · CIK 0001145439 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 130,983 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 01, 2003 Filed Dec 2, 2003 14:51 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,314 | $76.07 | $99,955.98 |
DisclosureSEC source: 0000018230-03-000509 · edgar.xml · nonDerivative · entry 4 BARTON GLEN A · CIK 0001145439 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 129,379 Read SEC document |
| December 01, 2003 Filed Dec 2, 2003 14:51 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 1,795 | $55.69 | $99,959.06 |
DisclosureSEC source: 0000018230-03-000509 · edgar.xml · nonDerivative · entry 3 BARTON GLEN A · CIK 0001145439 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 130,693 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 01, 2003 Filed Dec 2, 2003 14:51 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,313 | $76.07 | $99,879.91 |
DisclosureSEC source: 0000018230-03-000509 · edgar.xml · nonDerivative · entry 2 BARTON GLEN A · CIK 0001145439 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 128,898 Read SEC document |
| December 01, 2003 Filed Dec 2, 2003 14:51 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 1,934 | $51.66 | $99,903.09 |
DisclosureSEC source: 0000018230-03-000509 · edgar.xml · nonDerivative · entry 1 BARTON GLEN A · CIK 0001145439 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 130,211 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 |
| November 24, 2003 Filed Nov 25, 2003 21:36 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 2,166 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-03-000499 · edgar.xml · nonDerivative · entry 1 BARTON GLEN A · CIK 0001145439 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 128,277 F1 · balance_after: This amount includes 6679 shares in 401K, 4083 shares in SEIP and 6546 shares in dividend reinvestment. Read SEC document |
| September 08, 2003 Filed Sep 9, 2003 13:44 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 100 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-03-000443 · edgar.xml · nonDerivative · entry 1 BARTON GLEN A · CIK 0001145439 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 130,443 F1 · balance_after: This amount includes 6679 shares in EIP-1, 4083 shares in SEIP and 6546 shares in dividend reinvestment. Read SEC document |
| July 21, 2003 Filed Jul 23, 2003 16:03 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 1,013 | $0.00 Strike: $32.91 | $0.00 |
DisclosureSEC source: 0000018230-03-000314 · edgar.xml · derivative · entry 7 BARTON GLEN A · CIK 0001145439 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 1,013 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 |
| July 21, 2003 Filed Jul 23, 2003 16:03 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 46,684 | $0.00 Strike: $30.16 | $0.00 |
DisclosureSEC source: 0000018230-03-000314 · edgar.xml · derivative · entry 6 BARTON GLEN A · CIK 0001145439 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 46,684 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 |
| July 21, 2003 Filed Jul 23, 2003 16:03 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 510 | $65.33 | $33,315.75 |
DisclosureSEC source: 0000018230-03-000314 · edgar.xml · nonDerivative · entry 5 BARTON GLEN A · CIK 0001145439 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 130,521 F1 · balance_after: This amount includes 6660 shares in EIP-1, 4080 shares in SEIP and 6546 shares in dividend reinvestment. Read SEC document |
| July 21, 2003 Filed Jul 23, 2003 16:03 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 1,013 | $32.91 | $33,333.98 |
DisclosureSEC source: 0000018230-03-000314 · edgar.xml · nonDerivative · entry 4 BARTON GLEN A · CIK 0001145439 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 131,031 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 21, 2003 Filed Jul 23, 2003 16:03 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 28,951 | $65.33 | $1,891,224.08 |
DisclosureSEC source: 0000018230-03-000314 · edgar.xml · nonDerivative · entry 3 BARTON GLEN A · CIK 0001145439 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 130,018 Read SEC document |
| July 21, 2003 Filed Jul 23, 2003 16:03 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 46,684 | $30.16 | $1,407,812.04 |
DisclosureSEC source: 0000018230-03-000314 · edgar.xml · nonDerivative · entry 2 BARTON GLEN A · CIK 0001145439 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 158,969 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 23, 2003 16:03 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 2,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-03-000314 · edgar.xml · nonDerivative · entry 1 BARTON GLEN A · CIK 0001145439 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 112,285 Read SEC document |
| June 16, 2003 Filed Jun 17, 2003 19:25 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 12,500 | $0.00 Strike: $32.91 | $0.00 |
DisclosureSEC source: 0000018230-03-000241 · edgar.xml · derivative · entry 3 BARTON GLEN A · CIK 0001145439 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 12,500 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 afte 3 yrs. Read SEC document |
| June 16, 2003 Filed Jun 17, 2003 19:25 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 7,181 | $57.28 | $411,291.78 |
DisclosureSEC source: 0000018230-03-000241 · edgar.xml · nonDerivative · entry 2 BARTON GLEN A · CIK 0001145439 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 114,285 F1 · balance_after: This amount includes 6660 shares in EIP-1, 4080 shares in SEIP and 6546 shares in dividend reinvestment. Read SEC document |
| June 16, 2003 Filed Jun 17, 2003 19:25 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 12,500 | $32.91 | $411,327.50 |
DisclosureSEC source: 0000018230-03-000241 · edgar.xml · nonDerivative · entry 1 BARTON GLEN A · CIK 0001145439 · Director · Chairman of the Board/CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 121,466 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 03, 2003 Filed Feb 14, 2005 16:09 UTC | NEWMONT Corp /DE/ NEM · Entity 1894 | PurchaseCommon Stock, $1.60 par value | 65 | $30.33 | $1,971.45 |
DisclosureSEC source: 0001164727-05-000036 · edgar.xml · nonDerivative · entry 1 BARTON GLEN A · CIK 0001145439 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,782 Read SEC document |
| May 07, 2003 Filed May 9, 2003 13:07 UTC | NEWMONT Corp /DE/ NEM · Entity 1894 | OtherCommon Stock, $1.60 Par Value | 877 | $28.50 | $24,994.50 |
DisclosureSEC source: 0001164727-03-000076 · edgar.xml · nonDerivative · entry 1 BARTON GLEN A · CIK 0001145439 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Glen A. Barton Limited Partnership Disclosed balance after: 3,062 F1 · kind: Award of 877 shares pursuant to Issuer's 2000 Non-Employee Directors Stock Plan. 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.