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 |
|---|---|---|---|---|---|---|
| September 15, 2009 Filed Sep 16, 2009 14:45 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 54,000 | $25.36 | $1,369,305.00 |
DisclosureSEC source: 0000018230-09-000377 · edgar.xml · nonDerivative · entry 1 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 110,670 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 31, 2009 Filed Sep 1, 2009 18:46 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 80 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000366 · edgar.xml · derivative · entry 2 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,537 Underlying: Common · 80 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 |
| July 31, 2009 Filed Aug 3, 2009 19:23 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 82 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000297 · edgar.xml · derivative · entry 3 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,457 Underlying: Common · 82 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 |
| July 31, 2009 Filed Aug 3, 2009 19:23 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 800 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000297 · edgar.xml · nonDerivative · entry 2 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,670 F1 · balance_after: This amount includes 4027 shares in 401K. Read SEC document |
| July 30, 2009 Filed Aug 3, 2009 19:23 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 1,700 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000297 · edgar.xml · nonDerivative · entry 1 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,470 Read SEC document |
| June 30, 2009 Filed Jul 1, 2009 21:19 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 135 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000256 · edgar.xml · derivative · entry 2 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,375 Underlying: Common · 135 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 |
| May 05, 2009 Filed May 6, 2009 21:40 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherPhantom Stock Units · Derivative | 8,509 | $0.00 Strike: $39.41 | $0.00 |
DisclosureSEC source: 0000018230-09-000183 · edgar.xml · derivative · entry 2 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,240 Underlying: Common · 8,509 shares Expires not disclosed 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 02, 2009 Filed Mar 4, 2009 18:15 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantRestricted Stock Units · Derivative | 6,561 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-09-000092 · edgar.xml · derivative · entry 4 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,561 Underlying: Common · 6,561 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 2, 2012. F4 · derivative.expiration_date: The restricted stock units and stock appreciation rights vest on March 2, 2012. Read SEC document |
| March 02, 2009 Filed Mar 4, 2009 18:15 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantStock Appreciation Rights · Derivative | 148,722 | $0.00 Strike: $22.17 | $0.00 |
DisclosureSEC source: 0000018230-09-000092 · edgar.xml · derivative · entry 3 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 148,722 Underlying: Common · 148,722 shares Expires 2019-03-02 F4 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 2, 2012. Read SEC document |
| March 02, 2009 Filed Mar 4, 2009 18:15 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 132 | $23.09 | $3,047.88 |
DisclosureSEC source: 0000018230-09-000092 · edgar.xml · nonDerivative · entry 1 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,003 F6 · kind: Amount reflects shares sold to satisfy tax withholding requirements upon the vesting of previously restricted stock. F1 · balance_after: This amount includes 3886 shares in 401K. Read SEC document |
| November 24, 2008 Filed Dec 1, 2008 14:41 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 2,400 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000402 · edgar.xml · nonDerivative · entry 1 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,034 F1 · balance_after: This amount includes 3820 shares in 401K and 116 shares in dividend reinvestment. Read SEC document |
| October 30, 2008 Filed Oct 31, 2008 14:26 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherPhantom Stock Units · Derivative | 5,619 | $0.00 Strike: $37.37 | $0.00 |
DisclosureSEC source: 0000018230-08-000373 · edgar.xml · derivative · entry 2 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,619 Underlying: Common · 5,619 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · 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. F3 · 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 03, 2008 Filed Mar 4, 2008 20:42 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantRestricted Stock Units · Derivative | 4,109 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-08-000097 · edgar.xml · derivative · entry 3 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,109 Underlying: Common · 4,109 shares Expires not disclosed F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Caterpillar common stock. F2 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 3, 2011. F2 · derivative.expiration_date: The restricted stock units and stock appreciation rights vest on March 3, 2011. Read SEC document |
| March 03, 2008 Filed Mar 4, 2008 20:42 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantStock Appreciation Rights · Derivative | 115,484 | $0.00 Strike: $73.20 | $0.00 |
DisclosureSEC source: 0000018230-08-000097 · edgar.xml · derivative · entry 2 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 115,484 Underlying: Common · 115,484 shares Expires 2018-03-03 F2 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 3, 2011. Read SEC document |
| October 02, 2007 Filed Oct 3, 2007 16:32 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 48,000 | $0.00 Strike: $26.77 | $0.00 |
DisclosureSEC source: 0000018230-07-000470 · 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 · 48,000 shares Expires not disclosed 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.expiration_date: Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Read SEC document |
| October 02, 2007 Filed Oct 3, 2007 16:32 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 28,744 | $79.30 | $2,279,399.20 |
DisclosureSEC source: 0000018230-07-000470 · edgar.xml · nonDerivative · entry 2 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,309 F1 · balance_after: This amount includes 3733 shares in 401K and 78 shares in dividend reinvestment. Read SEC document |
| October 02, 2007 Filed Oct 3, 2007 16:32 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 48,000 | $26.77 | $1,284,720.00 |
DisclosureSEC source: 0000018230-07-000470 · edgar.xml · nonDerivative · entry 1 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,053 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 14, 2007 Filed May 15, 2007 18:17 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 13,330 | $0.00 Strike: $27.84 | $0.00 |
DisclosureSEC source: 0000018230-07-000315 · edgar.xml · derivative · entry 7 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 13,330 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 |
| May 14, 2007 Filed May 15, 2007 18:17 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 13,712 | $0.00 Strike: $31.17 | $0.00 |
DisclosureSEC source: 0000018230-07-000315 · edgar.xml · derivative · entry 6 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 13,712 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 |
| May 14, 2007 Filed May 15, 2007 18:17 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 1,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000315 · edgar.xml · nonDerivative · entry 5 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,014 F1 · balance_after: This amount includes 3710 shares in 401K and 62 shares in dividend reinvestment. Read SEC document |
| May 14, 2007 Filed May 15, 2007 18:17 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 8,226 | $75.71 | $622,749.33 |
DisclosureSEC source: 0000018230-07-000315 · edgar.xml · nonDerivative · entry 4 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,014 Read SEC document |
| May 14, 2007 Filed May 15, 2007 18:17 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 13,330 | $27.84 | $371,157.85 |
DisclosureSEC source: 0000018230-07-000315 · edgar.xml · nonDerivative · entry 3 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,240 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 14, 2007 Filed May 15, 2007 18:17 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 8,827 | $75.71 | $668,248.04 |
DisclosureSEC source: 0000018230-07-000315 · edgar.xml · nonDerivative · entry 2 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,910 Read SEC document |
| May 14, 2007 Filed May 15, 2007 18:17 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 13,712 | $31.17 | $427,429.09 |
DisclosureSEC source: 0000018230-07-000315 · edgar.xml · nonDerivative · entry 1 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,737 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, 2007 Filed Mar 5, 2007 18:41 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantRestricted Stock Units · Derivative | 4,832 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000103 · edgar.xml · derivative · entry 3 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,832 Underlying: Common · 4,832 shares Expires not disclosed F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Caterpillar common stock. F2 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 2, 2010. F2 · derivative.expiration_date: The restricted stock units and stock appreciation rights vest on March 2, 2010. Read SEC document |
| March 02, 2007 Filed Mar 5, 2007 18:41 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantStock Appreciation Right · Derivative | 124,396 | $0.00 Strike: $63.04 | $0.00 |
DisclosureSEC source: 0000018230-07-000103 · edgar.xml · derivative · entry 2 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 124,396 Underlying: Common · 124,396 shares Expires 2017-03-02 F2 · derivative.exercise_date: The restricted stock units and stock appreciation rights vest on March 2, 2010. Read SEC document |
| August 22, 2006 Filed Jul 30, 2007 21:32 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 1,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-07-000393 · edgar.xml · nonDerivative · entry 1 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,931 F1 · balance_after: This amount includes 3643 shares in 401K and 35 shares in dividend reinvestment. Read SEC document |
| March 01, 2006 Filed Mar 2, 2006 16:15 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon | 1,000 | $73.95 | $73,945.00 |
DisclosureSEC source: 0000018230-06-000159 · edgar.xml · nonDerivative · entry 1 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,931 F2 · kind: Restricted stock awarded pursuant to Caterpillar Inc. 1996 Stock Option and Long-Term Incentive Plan. F1 · balance_after: This amount includes 3643 shares in EIP-1 and 35 shares in dividend reinvestment. Read SEC document |
| February 17, 2006 Filed Feb 21, 2006 14:19 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantStock Appreciation Right · Derivative | 105,000 | $0.00 Strike: $72.05 | $0.00 |
DisclosureSEC source: 0000018230-06-000133 · edgar.xml · derivative · entry 2 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 105,000 Underlying: Common · 105,000 shares Expires 2016-02-17 Read SEC document |
| August 16, 2005 Filed Aug 17, 2005 18:23 UTC | CATERPILLAR INC CAT · Entity 2808 | GiftCommon | 1,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000579 · edgar.xml · nonDerivative · entry 1 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,903 F1 · balance_after: This amount includes 3622 shares in EIP-1 and 28 shares in dividend reinvestment. Read SEC document |
| July 29, 2005 Filed Aug 1, 2005 19:43 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 8,532 | $0.00 Strike: $25.83 | $0.00 |
DisclosureSEC source: 0000018230-05-000531 · 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 · 8,532 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. F3 · security: (Right to buy) with tandem tax withholding rights. F4 · 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 29, 2005 Filed Aug 1, 2005 19:43 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 5,843 | $53.85 | $314,616.34 |
DisclosureSEC source: 0000018230-05-000531 · edgar.xml · nonDerivative · entry 2 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,903 F1 · balance_after: This amount includes 3622 shares in EIP-1 and 28 shares in dividend reinvestment. F2 · balance_after: On July 14, 2005, the common stock of Caterpillar Inc. split 2-for-1, resulting in the reporting person's acquisition of 13,782 additional shares of common stock. Read SEC document |
| July 29, 2005 Filed Aug 1, 2005 19:43 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 8,532 | $25.83 | $220,365.35 |
DisclosureSEC source: 0000018230-05-000531 · edgar.xml · nonDerivative · entry 1 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,746 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 16, 2005 Filed Mar 18, 2005 17:13 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherCommon | 540 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000287 · edgar.xml · nonDerivative · entry 1 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,586 F2 · kind: Shares received in error from 5/5/99 stock option exercise - shares returned to treasury account. F1 · balance_after: This amount includes 1794 shares in EIP-1 and 10 shares in dividend reinvestment. Read SEC document |
| February 18, 2005 Filed Feb 22, 2005 17:42 UTC | CATERPILLAR INC CAT · Entity 2808 | OtherOption (NQ) · Derivative | 65,000 | $0.00 Strike: $91.29 | $0.00 |
DisclosureSEC source: 0000018230-05-000171 · edgar.xml · derivative · entry 2 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,000 Underlying: Common · 65,000 shares Expires 2015-02-18 F2 · security: This option was granted with attached tax withholding rights. F3 · kind: Grant to reporting person of option to buy 65,000 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable immediately. F3 · price: Grant to reporting person of option to buy 65,000 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable immediately. F3 · derivative.exercise_date: Grant to reporting person of option to buy 65,000 shares of common stock under the company's 1996 Stock Option Plan in transaction exempt under old Rule 16B-3. The option becomes exercisable immediately. Read SEC document |
| February 02, 2005 Filed Feb 2, 2005 19:49 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 21,399 | $0.00 Strike: $38.41 | $0.00 |
DisclosureSEC source: 0000018230-05-000087 · 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 · 21,399 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 |
| February 02, 2005 Filed Feb 2, 2005 19:49 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 21,399 | $90.02 | $1,926,337.98 |
DisclosureSEC source: 0000018230-05-000087 · edgar.xml · nonDerivative · entry 2 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,126 F1 · balance_after: This amount includes 1794 shares in EIP-1 and 10 shares in dividend reinvestment. Read SEC document |
| February 02, 2005 Filed Feb 2, 2005 19:49 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 21,399 | $38.41 | $821,856.41 |
DisclosureSEC source: 0000018230-05-000087 · edgar.xml · nonDerivative · entry 1 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,525 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 |
| February 02, 2005 Filed Feb 3, 2005 18:23 UTC Amendment | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 21,399 | $0.00 Strike: $38.41 | $0.00 |
DisclosureSEC source: 0000018230-05-000103 · 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 · 21,399 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 |
| February 02, 2005 Filed Feb 3, 2005 18:23 UTC Amendment | CATERPILLAR INC CAT · Entity 2808 | SaleCommon | 21,399 | $90.02 | $1,926,337.98 |
DisclosureSEC source: 0000018230-05-000103 · edgar.xml · nonDerivative · entry 2 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,126 F1 · balance_after: This amount includes 1794 shares in EIP-1 and 10 shares in dividend reinvestment. Read SEC document |
| February 02, 2005 Filed Feb 3, 2005 18:23 UTC Amendment | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 21,399 | $38.41 | $821,856.41 |
DisclosureSEC source: 0000018230-05-000103 · edgar.xml · nonDerivative · entry 1 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,525 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 |
| January 31, 2005 Filed Feb 2, 2005 19:49 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 275 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000087 · 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 · 275 shares Expires not disclosed F4 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F5 · 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. F5 · 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 31, 2005 Filed Feb 3, 2005 18:23 UTC Amendment | CATERPILLAR INC CAT · Entity 2808 | GrantPhantom Stock Units · Derivative | 0 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000018230-05-000103 · 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 · 0 shares Expires not disclosed F4 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F6 · shares: Shares were incorrectly stated and were not acquired in the Caterpillar Stock Fund. F5 · 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. F5 · 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. F6 · derivative.underlying_shares: Shares were incorrectly stated and were not acquired in the Caterpillar Stock Fund. Read SEC document |
| November 18, 2004 Filed Nov 19, 2004 19:39 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 2,601 | $0.00 Strike: $38.41 | $0.00 |
DisclosureSEC source: 0000018230-04-000658 · edgar.xml · derivative · entry 12 LEVENICK STUART L · CIK 0001171796 · Group President 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 |
| November 18, 2004 Filed Nov 19, 2004 19:39 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 1,604 | $0.00 Strike: $62.34 | $0.00 |
DisclosureSEC source: 0000018230-04-000658 · edgar.xml · derivative · entry 11 LEVENICK STUART L · CIK 0001171796 · 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 |
| November 18, 2004 Filed Nov 19, 2004 19:39 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 1,795 | $0.00 Strike: $55.69 | $0.00 |
DisclosureSEC source: 0000018230-04-000658 · edgar.xml · derivative · entry 10 LEVENICK STUART L · CIK 0001171796 · 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 |
| November 18, 2004 Filed Nov 19, 2004 19:39 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 1,934 | $0.00 Strike: $51.66 | $0.00 |
DisclosureSEC source: 0000018230-04-000658 · edgar.xml · derivative · entry 9 LEVENICK STUART L · CIK 0001171796 · 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 |
| November 18, 2004 Filed Nov 19, 2004 19:39 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,098 | $90.96 | $99,868.59 |
DisclosureSEC source: 0000018230-04-000658 · edgar.xml · nonDerivative · entry 8 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,118 F1 · balance_after: This amount includes 1790 shares in EIP-1 and 6 shares in dividend reinvestment. Read SEC document |
| November 18, 2004 Filed Nov 19, 2004 19:39 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon | 2,601 | $38.41 | $99,894.79 |
DisclosureSEC source: 0000018230-04-000658 · edgar.xml · nonDerivative · entry 7 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,216 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 18, 2004 Filed Nov 19, 2004 19:39 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon | 1,099 | $90.96 | $99,959.55 |
DisclosureSEC source: 0000018230-04-000658 · edgar.xml · nonDerivative · entry 6 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,615 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.