Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CATERPILLAR INCCAT · Entity 2808 | Group President | January 05, 2015 | January 07, 2015 |
| ENTERGY CORP /DE/ETR · Entity 221 | Director | August 31, 2026 | September 02, 2026 |
| W.W. GRAINGER, INC.GWW · Entity 2997 | Director | March 01, 2025 | March 05, 2025 |
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 January 05, 2015 · Filed January 07, 2015
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Employee Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $88.51 · Expires 2020-02-01 | Direct | 241,985 |
Reported balance
After 2015-01-05 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2015-01-05 · Grant · Acquired 241,985 · Balance 241,985 |
ENTERGY CORP /DE/
Report date August 31, 2026 · Filed September 02, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 47,427 |
Reported balance
After 2026-08-31 transaction · row 1
1 source rowRow 1 · 2026-08-31 · Grant · Acquired 218 · Balance 47,427 F1: Acquired under Entergy Corporation's Director Stock Program. |
Filing footnotes · ownership attribution and instrument terms
F1: Acquired under Entergy Corporation's Director Stock Program.
W.W. GRAINGER, INC.
Report date March 01, 2025 · Filed March 05, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Deferred Stock UnitsSEC Table II · derivative / convertible security | Direct | 22,390 |
Reported balance
After 2025-03-01 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2025-03-01 · Grant · Acquired 44 · Balance 22,390 F1: 1-for-1 F2: The deferred stock units are expected to settle in shares of common stock on a one-for-one basis following end of service as a director. |
Filing footnotes · ownership attribution and instrument terms
F1: 1-for-1
F2: The deferred stock units are expected to settle in shares of common stock on a one-for-one basis following end of service as a director.
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 |
|---|---|---|---|---|---|---|
| March 03, 2014 Filed Mar 5, 2014 19:50 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Option · Derivative | 86,742 | $0.00 Strike: $96.31 | $0.00 |
DisclosureSEC source: 0000018230-14-000108 · edgar.xml · derivative · entry 1 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,742 Underlying: Common Stock · 86,742 shares Expires 2024-03-03 Read SEC document |
| December 03, 2013 Filed Jan 3, 2014 16:30 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon Stock | 6,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-14-000030 · edgar.xml · nonDerivative · entry 1 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 167,773 Read SEC document |
| October 10, 2013 Filed Oct 15, 2013 13:05 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 130,000 | $0.00 Strike: $45.64 | $0.00 |
DisclosureSEC source: 0000018230-13-000434 · edgar.xml · derivative · entry 4 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 130,000 shares Expires 2015-02-17 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 · security: Right to buy with tandem tax withholding rights. F2 · derivative.exercise_price: This option was previously reported as covering 65,000 shares at an exercise price of $91.285 per share, but was adjusted to reflect the stock split that occurred on June 22, 2005 F2 · shares: This option was previously reported as covering 65,000 shares at an exercise price of $91.285 per share, but was adjusted to reflect the stock split that occurred on June 22, 2005 F2 · derivative.underlying_shares: This option was previously reported as covering 65,000 shares at an exercise price of $91.285 per share, but was adjusted to reflect the stock split that occurred on June 22, 2005 Read SEC document |
| October 10, 2013 Filed Oct 15, 2013 13:05 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 98,282 | $84.51 | $8,305,811.82 |
DisclosureSEC source: 0000018230-13-000434 · edgar.xml · nonDerivative · entry 3 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 173,773 Read SEC document |
| October 10, 2013 Filed Oct 15, 2013 13:05 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 130,000 | $45.64 | $5,933,200.00 |
DisclosureSEC source: 0000018230-13-000434 · edgar.xml · nonDerivative · entry 2 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 272,055 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 |
| September 20, 2013 Filed Oct 15, 2013 13:05 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon Stock | 1,500 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-13-000434 · edgar.xml · nonDerivative · entry 1 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 142,055 Read SEC document |
| March 04, 2013 Filed Mar 5, 2013 22:21 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Option (right to buy) · Derivative | 90,261 | $0.00 Strike: $89.75 | $0.00 |
DisclosureSEC source: 0000018230-13-000112 · edgar.xml · derivative · entry 1 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,261 Underlying: Common Stock · 90,261 shares Expires 2023-03-04 Read SEC document |
| March 04, 2013 Filed Mar 7, 2013 00:51 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 1,530 | $91.05 | $139,298.85 |
DisclosureSEC source: 0000018230-13-000155 · edgar.xml · nonDerivative · entry 2 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 143,555 Read SEC document |
| March 01, 2013 Filed Mar 7, 2013 00:51 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionRestricted Stock Units · Derivative | 3,257 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-13-000155 · edgar.xml · derivative · entry 3 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,257 shares Expires 2013-03-01 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 · derivative.exercise_price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 1, 2013, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar Inc. common stock. F1 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 1, 2013, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar Inc. common stock. Read SEC document |
| March 01, 2013 Filed Mar 7, 2013 00:51 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 3,257 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-13-000155 · edgar.xml · nonDerivative · entry 1 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 145,085 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 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 1, 2013, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar Inc. common stock. Read SEC document |
| October 17, 2012 Filed Dec 18, 2012 20:36 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 1,400 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000574 · edgar.xml · nonDerivative · entry 1 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 141,828 Read SEC document |
| May 01, 2012 Filed May 3, 2012 15:51 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon | 1,250 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000267 · edgar.xml · nonDerivative · entry 1 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 143,228 F1 · shares: Represents restricted stock units (RSU) awarded pursuant to the Caterpillar Inc. 2006 Long -Term Incentive Plan. Each RSU represents the right to receive one share of Caterpillar Inc. common stock and vests in thirds beginning 2 years after the initial grant date (1/3 after three years; 1/3 after four years; 1/3 after five years). Read SEC document |
| March 05, 2012 Filed Mar 7, 2012 21:40 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Options (right to buy) · Derivative | 58,424 | $0.00 Strike: $110.09 | $0.00 |
DisclosureSEC source: 0000018230-12-000155 · edgar.xml · derivative · entry 3 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,424 Underlying: Common · 58,424 shares Expires 2022-03-05 Read SEC document |
| March 02, 2012 Filed Mar 6, 2012 22:26 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionRestricted Stock Units · Derivative | 6,561 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000113 · edgar.xml · derivative · entry 4 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 6,561 shares Expires 2012-03-02 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_price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 2, 2012, the reporting person's restricted stock units were setted for an equal number of shares of Caterpillar Inc. common stock. F3 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 2, 2012, the reporting person's restricted stock units were setted for an equal number of shares of Caterpillar Inc. common stock. Read SEC document |
| March 02, 2012 Filed Mar 6, 2012 22:26 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 2,720 | $112.87 | $307,006.40 |
DisclosureSEC source: 0000018230-12-000113 · edgar.xml · nonDerivative · entry 2 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 141,978 F4 · kind: Amount reflects shares surrendered to satisfy tax withholding requirements upon the vesting of restricted stock units. F1 · balance_after: Includes 19 shares acquired under Caterpillar 401(k) plan Read SEC document |
| March 02, 2012 Filed Mar 6, 2012 22:26 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 6,561 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000113 · edgar.xml · nonDerivative · entry 1 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 144,698 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 · kind: Represents the vesting of restricted stock units granted to the reporting person on March 2, 2009. F3 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 2, 2012, the reporting person's restricted stock units were setted for an equal number of shares of Caterpillar Inc. common stock. F1 · balance_after: Includes 19 shares acquired under Caterpillar 401(k) plan Read SEC document |
| February 06, 2012 Filed Feb 8, 2012 22:33 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherPhantom Stock Units · Derivative | 15,552 | $113.78 | $1,769,506.56 |
DisclosureSEC source: 0000018230-12-000064 · edgar.xml · derivative · entry 3 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 15,552 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F4 · kind: Shares of phantom stock transferred by the reporting person from the Caterpillar Share Equivalency Account into an alternative investment account. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| February 06, 2012 Filed Feb 8, 2012 22:33 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 300 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000064 · edgar.xml · derivative · entry 2 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,552 Underlying: Common · 300 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| February 06, 2012 Filed Feb 8, 2012 22:33 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherCommon | 4,487 | $113.78 | $510,530.86 |
DisclosureSEC source: 0000018230-12-000064 · edgar.xml · nonDerivative · entry 1 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 138,137 F5 · shares: Represents transfer out of Caterpillar Stock in 401(k) account. F1 · balance_after: Includes 19 shares acquired under Caterpillar 401(k) plan Read SEC document |
| October 27, 2011 Filed Oct 31, 2011 20:33 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 1,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000490 · edgar.xml · nonDerivative · entry 1 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 142,605 F1 · balance_after: This amount includes 4468 shares in 401K. Read SEC document |
| May 02, 2011 Filed May 4, 2011 20:50 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantRestricted Stock Units · Derivative | 500 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000283 · edgar.xml · derivative · entry 3 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 500 Underlying: Common · 500 shares Expires not disclosed F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Caterpillar common stock. F5 · derivative.exercise_date: The restricted stock units vest on May 2, 2016. F5 · derivative.expiration_date: The restricted stock units vest on May 2, 2016. Read SEC document |
| May 02, 2011 Filed May 4, 2011 20:50 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 31 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000283 · edgar.xml · derivative · entry 2 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,252 Underlying: Common · 31 shares Expires not disclosed F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · 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 separation from service. F2 · 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 separation from service. Read SEC document |
| March 28, 2011 Filed Mar 30, 2011 15:05 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 126,000 | $0.00 Strike: $38.63 | $0.00 |
DisclosureSEC source: 0000018230-11-000197 · edgar.xml · derivative · entry 4 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 126,000 shares Expires 2014-06-08 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. F4 · security: (Right to buy) with tandem tax withholding rights. F5 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| March 28, 2011 Filed Mar 30, 2011 15:05 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 78,145 | $109.95 | $8,591,652.03 |
DisclosureSEC source: 0000018230-11-000197 · edgar.xml · nonDerivative · entry 2 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 143,526 F1 · balance_after: This amount includes 4391 shares in 401K and 27 shares in dividend reinvestment. Read SEC document |
| March 28, 2011 Filed Mar 30, 2011 15:05 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 126,000 | $38.63 | $4,867,065.00 |
DisclosureSEC source: 0000018230-11-000197 · edgar.xml · nonDerivative · entry 1 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 221,671 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 |
| March 07, 2011 Filed Mar 8, 2011 20:36 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantStock Appreciation Rights · Derivative | 56,228 | $0.00 Strike: $102.13 | $0.00 |
DisclosureSEC source: 0000018230-11-000189 · edgar.xml · derivative · entry 3 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,228 Underlying: Common · 56,228 shares Expires 2021-03-07 F4 · derivative.exercise_date: The stock appreciation rights vest on March 7, 2014. Read SEC document |
| March 03, 2011 Filed Mar 4, 2011 21:08 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionRestricted Stock Units · Derivative | 4,109 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-11-000104 · edgar.xml · derivative · entry 4 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 4,109 shares Expires 2011-03-03 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. F5 · derivative.exercise_price: Each restricted stock unit represents the equivalent of one share of Caterpillar common stock. On March 3, 2011, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar common stock. F5 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar common stock. On March 3, 2011, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar common stock. Read SEC document |
| March 03, 2011 Filed Mar 4, 2011 21:08 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,704 | $103.22 | $175,878.36 |
DisclosureSEC source: 0000018230-11-000104 · edgar.xml · nonDerivative · entry 2 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,671 F4 · kind: Amount reflects shares surrendered to satisfy tax withholding requirements upon the vesting of restricted stock. F1 · balance_after: This amount includes 4391 shares in 401K and 27 shares in dividend reinvestment. Read SEC document |
| March 03, 2011 Filed Mar 4, 2011 21:08 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 4,109 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-11-000104 · edgar.xml · nonDerivative · entry 1 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,375 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. F5 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar common stock. On March 3, 2011, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar common stock. Read SEC document |
| March 01, 2011 Filed Mar 2, 2011 22:12 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 138 | $101.47 | $14,002.86 |
DisclosureSEC source: 0000018230-11-000093 · edgar.xml · nonDerivative · entry 1 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,266 F4 · kind: Amount reflects shares surrendered to satisfy tax withholding requirements upon the vesting of restricted stock. F1 · balance_after: This amount includes 4391 shares in 401K and 27 shares in dividend reinvestment. Read SEC document |
| February 07, 2011 Filed Feb 8, 2011 17:00 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 41 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000063 · edgar.xml · derivative · entry 2 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,221 Underlying: Common · 41 shares Expires not disclosed F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · 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 separation from service. F2 · 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 separation from service. Read SEC document |
| February 07, 2011 Filed Feb 8, 2011 17:00 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 2,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-11-000063 · edgar.xml · nonDerivative · entry 1 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,404 F1 · balance_after: This amount includes 4391 shares in 401K and 27 shares in dividend reinvestment. Read SEC document |
| December 07, 2010 Filed Dec 7, 2010 21:57 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 44 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000561 · edgar.xml · derivative · entry 3 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,180 Underlying: Common · 44 shares Expires not disclosed F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · 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 separation from service. F2 · 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 separation from service. Read SEC document |
| August 17, 2010 Filed Dec 7, 2010 21:57 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 500 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000561 · edgar.xml · nonDerivative · entry 2 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,392 F1 · balance_after: This amount includes 4379 shares in 401K and 27 shares in dividend reinvestment. Read SEC document |
| August 09, 2010 Filed Dec 7, 2010 21:57 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 1,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000561 · edgar.xml · nonDerivative · entry 1 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,892 Read SEC document |
| August 05, 2010 Filed Aug 6, 2010 15:17 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 54,000 | $0.00 Strike: $27.14 | $0.00 |
DisclosureSEC source: 0000018230-10-000392 · edgar.xml · derivative · entry 4 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 54,000 shares Expires 2013-06-10 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. F4 · security: (Right to buy) with tandem tax withholding rights. F5 · 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 05, 2010 Filed Aug 6, 2010 15:17 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 33,709 | $71.54 | $2,411,373.32 |
DisclosureSEC source: 0000018230-10-000392 · edgar.xml · nonDerivative · entry 2 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 96,872 F1 · balance_after: This amount includes 4366 shares in 401K and 20 shares in dividend reinvestment. Read SEC document |
| August 05, 2010 Filed Aug 6, 2010 15:17 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 54,000 | $27.14 | $1,465,695.00 |
DisclosureSEC source: 0000018230-10-000392 · edgar.xml · nonDerivative · entry 1 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 130,581 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 |
| March 02, 2010 Filed Mar 4, 2010 18:52 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionRestricted Stock Units · Derivative | 4,832 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-10-000152 · edgar.xml · derivative · entry 4 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 4,832 shares Expires 2010-03-02 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. F4 · derivative.exercise_price: Each restricted stock unit represents the equivalent of one share of Caterpillar common stock. On March 2, 2010, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar common stock. F4 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar common stock. On March 2, 2010, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar common stock. Read SEC document |
| March 02, 2010 Filed Mar 4, 2010 18:52 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,424 | $58.42 | $83,190.08 |
DisclosureSEC source: 0000018230-10-000152 · edgar.xml · nonDerivative · entry 2 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,262 F5 · kind: Amount reflects shares surrendered to satisfy tax withholding requirements upon the vesting of restricted stock units. F1 · balance_after: This amount includes 4067 shares in 401K. Read SEC document |
| March 02, 2010 Filed Mar 4, 2010 18:52 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 4,832 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-10-000152 · edgar.xml · nonDerivative · entry 1 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,686 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. F4 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar common stock. On March 2, 2010, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar common stock. Read SEC document |
| March 01, 2010 Filed Mar 3, 2010 21:19 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantRestricted Stock Units · Derivative | 3,257 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000138 · edgar.xml · derivative · entry 4 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,257 Underlying: Common · 3,257 shares Expires not disclosed F5 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Caterpillar common stock. F4 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 1, 2013. F4 · derivative.expiration_date: The restricted stock units and stock appreciation rights vest on March 1, 2013. Read SEC document |
| March 01, 2010 Filed Mar 3, 2010 21:19 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantStock Appreciation Rights · Derivative | 134,851 | $0.00 Strike: $57.85 | $0.00 |
DisclosureSEC source: 0000018230-10-000138 · edgar.xml · derivative · entry 3 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 134,851 Underlying: Common · 134,851 shares Expires 2020-03-01 F4 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 1, 2013. Read SEC document |
| March 01, 2010 Filed Mar 3, 2010 21:19 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 99 | $57.82 | $5,723.69 |
DisclosureSEC source: 0000018230-10-000138 · edgar.xml · nonDerivative · entry 1 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,854 F6 · kind: Amount reflects shares surrendered to satisfy tax withholding requirements upon the vesting of restricted stock units. F1 · balance_after: This amount includes 4067 shares in 401K. Read SEC document |
| December 31, 2009 Filed Jan 4, 2010 21:47 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 149 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-10-000030 · edgar.xml · derivative · entry 2 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,947 Underlying: Common · 149 shares Expires not disclosed F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · 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 separation from service. F2 · 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 separation from service. Read SEC document |
| November 30, 2009 Filed Dec 1, 2009 17:32 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 62 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000544 · edgar.xml · derivative · entry 2 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,798 Underlying: Common · 62 shares Expires not disclosed F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · 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 separation from service. F2 · 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 separation from service. Read SEC document |
| October 30, 2009 Filed Nov 2, 2009 19:45 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 128 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000493 · edgar.xml · derivative · entry 2 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,736 Underlying: Common · 128 shares Expires not disclosed F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · 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 separation from service. F2 · 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 separation from service. Read SEC document |
| September 30, 2009 Filed Oct 1, 2009 19:37 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 71 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000412 · edgar.xml · derivative · entry 2 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,608 Underlying: Common · 71 shares Expires not disclosed F3 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · 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 separation from service. F2 · 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 separation from service. Read SEC document |
| September 15, 2009 Filed Sep 16, 2009 14:45 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 54,000 | $0.00 Strike: $25.36 | $0.00 |
DisclosureSEC source: 0000018230-09-000377 · edgar.xml · derivative · entry 4 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 54,000 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. F4 · security: (Right to buy) with tandem tax withholding rights. F5 · derivative.exercise_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| September 15, 2009 Filed Sep 16, 2009 14:45 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 37,757 | $50.39 | $1,902,386.45 |
DisclosureSEC source: 0000018230-09-000377 · edgar.xml · nonDerivative · entry 2 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,913 F1 · balance_after: This amount includes 4027 shares in 401K. 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.