James W Owens

Insider

First SEC filing: Oct. 5, 2016 · Latest: Oct. 5, 2016

On this page

Insider at Companies where this person is a reporting insider.
Insider transactions Every share this person bought or sold, from Form 4 filings.
Derivatives Options and other derivative holdings reported by this person.
Initial holdings The stakes this person held when they first started reporting.
Compensation Executive pay disclosed in company proxy statements.

Insider at

Insider transactions

0 buys (P) 0 sells (S) Net: $0 + 96 non-open-market transactions below last 12 months, based on the transactions shown below

Price change vs current quote, split-adjusted for corporate actions since the filing — not benchmarked, not annualized, not size-weighted

96 other filings hidden

Date	Ticker	Code	Shares	Price	Value	Owned after	Δ own	A/D	vs now
May 10, 2019	AA	A	4,792	—	—	13,980 Direct	+52.15%	Acquired	(price as of 2026-08-21)
May 24, 2018	MS	A	884	$53.74	$47,506	82,783 Direct	+1.08%	Acquired	293.9% (price as of 2026-08-21)
Nov. 22, 2017	MS	A	1,032	$49.25	$50,826	81,339 Direct	+1.29%	Acquired	329.8% (price as of 2026-08-21)
May 22, 2017	MS	A	5,991	—	—	79,668 Direct	+8.13%	Acquired	(price as of 2026-08-21)
Oct. 3, 2016	HWM	A	3,323	$10.06	$33,429	74,759 Direct	+4.65%	Acquired	2643.5% (price as of 2026-08-21)
July 1, 2016	HWM	A	3,546	$9.43	$33,439	71,104 Direct	+5.25%	Acquired	2826.8% (price as of 2026-08-21)
May 17, 2016	MS	A	9,525	—	—	72,461 Direct	+15.13%	Acquired	(price as of 2026-08-21)
April 1, 2016	HWM	A	3,521	$9.50	$33,450	67,321 Direct	+5.52%	Acquired	2805.3% (price as of 2026-08-21)
Jan. 4, 2016	HWM	A	3,474	$9.62	$33,420	63,494 Direct	+5.79%	Acquired	2769.0% (price as of 2026-08-21)
Oct. 1, 2015	HWM	A	3,511	$9.52	$33,425	59,819 Direct	+6.24%	Acquired	2799.2% (price as of 2026-08-21)
July 1, 2015	HWM	A	3,018	$11.08	$33,439	55,842 Direct	+5.71%	Acquired	2391.0% (price as of 2026-08-21)
May 19, 2015	MS	A	6,470	—	—	61,943 Direct	+11.66%	Acquired	(price as of 2026-08-21)
April 1, 2015	HWM	A	2,577	$12.98	$33,449	52,485 Direct	+5.16%	Acquired	2026.3% (price as of 2026-08-21)
March 31, 2015	IBM	A	281	$160.50	$45,100	13,815 Direct	+2.08%	Acquired	52.2% (price as of 2026-08-21)
Jan. 2, 2015	HWM	A	2,034	$15.82	$32,178	49,511 Direct	+4.28%	Acquired	1644.6% (price as of 2026-08-21)
Dec. 31, 2014	IBM	A	234	$160.44	$37,543	13,441 Direct	+1.77%	Acquired	52.3% (price as of 2026-08-21)
Oct. 1, 2014	HWM	A	2,028	$15.88	$32,205	47,384 Direct	+4.47%	Acquired	1638.0% (price as of 2026-08-21)
Sept. 30, 2014	IBM	A	198	$189.83	$37,586	13,117 Direct	+1.53%	Acquired	28.7% (price as of 2026-08-21)
July 23, 2014	IBM	M	4,000	$82.70	$330,800	5,000 Direct	+400.00%	Acquired	195.4% (price as of 2026-08-21)
July 23, 2014	IBM	S	18	$193.79	$3,488	4,982 Direct	-0.36%	Disposed	26.1% (price as of 2026-08-21)
July 23, 2014	IBM	S	1,700	$193.80	$329,460	3,282 Direct	-34.12%	Disposed	26.1% (price as of 2026-08-21)
July 23, 2014	IBM	M	4,000	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-21)
July 1, 2014	HWM	A	2,164	$14.88	$32,200	45,360 Direct	+5.01%	Acquired	1754.8% (price as of 2026-08-21)
June 30, 2014	IBM	A	207	$181.27	$37,523	12,846 Direct	+1.64%	Acquired	34.8% (price as of 2026-08-21)
May 13, 2014	MS	A	8,219	—	—	54,771 Direct	+17.66%	Acquired	(price as of 2026-08-21)
April 1, 2014	HWM	A	2,478	$12.99	$32,189	43,286 Direct	+6.07%	Acquired	2024.7% (price as of 2026-08-21)
March 31, 2014	IBM	A	195	$192.49	$37,536	12,564 Direct	+1.58%	Acquired	26.9% (price as of 2026-08-21)
Jan. 2, 2014	HWM	A	3,082	$10.44	$32,176	40,961 Direct	+8.14%	Acquired	2543.7% (price as of 2026-08-21)
Dec. 31, 2013	IBM	A	201	$187.04	$37,595	12,307 Direct	+1.66%	Acquired	30.6% (price as of 2026-08-21)
Oct. 1, 2013	HWM	A	3,966	$8.12	$32,204	38,058 Direct	+11.63%	Acquired	3299.0% (price as of 2026-08-21)
Sept. 30, 2013	IBM	A	203	$185.56	$37,669	12,042 Direct	+1.71%	Acquired	31.7% (price as of 2026-08-21)
July 1, 2013	HWM	A	4,103	$7.84	$32,168	34,015 Direct	+13.72%	Acquired	3420.4% (price as of 2026-08-21)
June 30, 2013	IBM	A	197	$190.54	$37,536	11,780 Direct	+1.70%	Acquired	28.2% (price as of 2026-08-21)
May 14, 2013	MS	A	10,301	—	—	46,273 Direct	+28.64%	Acquired	(price as of 2026-08-21)
April 1, 2013	HWM	A	3,818	$8.43	$32,186	29,758 Direct	+14.72%	Acquired	3174.0% (price as of 2026-08-21)
March 31, 2013	IBM	A	178	$211.59	$37,663	11,530 Direct	+1.57%	Acquired	15.5% (price as of 2026-08-21)
Jan. 2, 2013	HWM	A	3,330	$8.91	$29,670	25,809 Direct	+14.81%	Acquired	2997.6% (price as of 2026-08-21)
Dec. 31, 2012	IBM	A	198	$190.27	$37,673	11,307 Direct	+1.78%	Acquired	28.4% (price as of 2026-08-21)
Oct. 1, 2012	HWM	A	3,311	$8.96	$29,667	22,398 Direct	+17.35%	Acquired	2980.4% (price as of 2026-08-21)
Sept. 30, 2012	IBM	A	182	$206.82	$37,641	11,061 Direct	+1.67%	Acquired	18.1% (price as of 2026-08-21)
July 2, 2012	HWM	A	3,420	$8.68	$29,686	19,032 Direct	+21.91%	Acquired	3079.7% (price as of 2026-08-21)
June 30, 2012	IBM	A	194	$194.12	$37,659	10,833 Direct	+1.82%	Acquired	25.9% (price as of 2026-08-21)
May 15, 2012	MS	A	17,500	—	—	35,706 Direct	+96.12%	Acquired	(price as of 2026-08-21)
April 2, 2012	HWM	A	2,941	$10.10	$29,704	15,491 Direct	+23.43%	Acquired	2632.7% (price as of 2026-08-21)
March 31, 2012	IBM	A	180	$208.59	$37,546	10,594 Direct	+1.73%	Acquired	17.1% (price as of 2026-08-21)
Dec. 31, 2011	IBM	A	203	$185.14	$37,583	10,375 Direct	+2.00%	Acquired	32.0% (price as of 2026-08-21)
Sept. 30, 2011	IBM	A	213	$176.51	$37,597	10,133 Direct	+2.15%	Acquired	38.4% (price as of 2026-08-21)
Aug. 2, 2011	MS	P	5,000	$22.04	$110,200	18,048 Direct	+38.32%	Acquired	860.3% (price as of 2026-08-21)
June 30, 2011	IBM	A	219	$171.60	$37,580	9,876 Direct	+2.27%	Acquired	42.4% (price as of 2026-08-21)
May 18, 2011	MS	A	10,249	—	—	13,048 Direct	+366.17%	Acquired	(price as of 2026-08-21)
March 31, 2011	IBM	A	230	$163.56	$37,619	9,613 Direct	+2.45%	Acquired	49.4% (price as of 2026-08-21)
Feb. 1, 2011	MS	A	2,794	—	—	2,794 Direct	—	Acquired	(price as of 2026-08-21)
Dec. 31, 2010	IBM	A	427	$146.51	$62,560	9,346 Direct	+4.79%	Acquired	66.8% (price as of 2026-08-21)
Oct. 20, 2010	HWM	P	10,000	$12.73	$127,300	10,000 Direct	—	Acquired	2068.1% (price as of 2026-08-21)
Sept. 30, 2010	IBM	A	464	$134.90	$62,594	8,880 Direct	+5.51%	Acquired	81.1% (price as of 2026-08-21)
Sept. 30, 2010	CAT	A	98	—	—	9,076 Direct	+1.09%	Acquired	(price as of 2026-08-21)
Sept. 13, 2010	CAT	G	6,314	—	—	257,945 Direct	-2.39%	Disposed	(price as of 2026-08-21)
Sept. 13, 2010	CAT	M	122,000	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-21)
Sept. 13, 2010	CAT	F	74,112	$72.09	$5,342,734	264,259 Direct	-21.90%	Disposed	1042.9% (price as of 2026-08-21)
Sept. 13, 2010	CAT	M	122,000	$25.36	$3,093,920	338,371 Direct	+56.38%	Acquired	3148.9% (price as of 2026-08-21)
Aug. 31, 2010	CAT	A	118	—	—	8,978 Direct	+1.33%	Acquired	(price as of 2026-08-21)
July 30, 2010	CAT	A	173	—	—	8,860 Direct	+1.99%	Acquired	(price as of 2026-08-21)
June 30, 2010	CAT	A	129	—	—	8,687 Direct	+1.51%	Acquired	(price as of 2026-08-21)
June 30, 2010	IBM	A	504	$124.11	$62,551	8,374 Direct	+6.40%	Acquired	96.9% (price as of 2026-08-21)
May 28, 2010	CAT	A	127	—	—	8,558 Direct	+1.51%	Acquired	(price as of 2026-08-21)
April 30, 2010	CAT	A	113	—	—	8,431 Direct	+1.36%	Acquired	(price as of 2026-08-21)
April 5, 2010	CAT	M	108,000	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-21)
April 5, 2010	CAT	F	69,699	$64.60	$4,502,555	216,135 Direct	-24.38%	Disposed	1175.4% (price as of 2026-08-21)
April 5, 2010	CAT	M	108,000	$26.76	$2,890,080	285,834 Direct	+60.73%	Acquired	2978.9% (price as of 2026-08-21)
April 5, 2010	CAT	F	658	$64.60	$42,507	177,834 Direct	-0.37%	Disposed	1175.4% (price as of 2026-08-21)
March 31, 2010	CAT	A	123	—	—	8,274 Direct	+1.51%	Acquired	(price as of 2026-08-21)
March 31, 2010	IBM	A	488	$128.21	$62,566	7,830 Direct	+6.65%	Acquired	90.6% (price as of 2026-08-21)
March 2, 2010	CAT	M	14,238	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-21)
March 2, 2010	CAT	F	5,617	$58.42	$328,145	178,051 Direct	-3.06%	Disposed	1310.3% (price as of 2026-08-21)
March 2, 2010	CAT	M	14,238	—	—	183,668 Direct	+8.40%	Acquired	(price as of 2026-08-21)
March 1, 2010	CAT	A	300,000	—	—	300,000 Direct	—	Acquired	(price as of 2026-08-21)
March 1, 2010	CAT	F	2,629	$57.82	$152,009	169,430 Direct	-1.53%	Disposed	1325.0% (price as of 2026-08-21)
Feb. 26, 2010	CAT	A	14	—	—	8,151 Direct	+0.17%	Acquired	(price as of 2026-08-21)
Dec. 31, 2009	IBM	A	475	$131.84	$62,624	7,311 Direct	+6.95%	Acquired	85.3% (price as of 2026-08-21)
Dec. 31, 2009	CAT	A	182	—	—	8,137 Direct	+2.29%	Acquired	(price as of 2026-08-21)
Dec. 23, 2009	CAT	G	400	—	—	700 Indirect	+133.33%	Acquired	(price as of 2026-08-21)
Dec. 23, 2009	CAT	G	2,400	—	—	7,200 Indirect	+50.00%	Acquired	(price as of 2026-08-21)
Dec. 23, 2009	CAT	G	3,100	—	—	173,277 Indirect	-1.76%	Disposed	(price as of 2026-08-21)
Nov. 30, 2009	CAT	A	132	—	—	7,955 Direct	+1.69%	Acquired	(price as of 2026-08-21)
Nov. 13, 2009	HWM	M	50	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-21)
Nov. 13, 2009	HWM	D	50	$13.18	$659	0 Direct	-100.00%	Disposed	1994.1% (price as of 2026-08-21)
Nov. 13, 2009	HWM	M	50	—	—	50 Direct	—	Acquired	(price as of 2026-08-21)
Oct. 30, 2009	CAT	A	171	—	—	7,823 Direct	+2.23%	Acquired	(price as of 2026-08-21)
Sept. 30, 2009	IBM	A	527	$118.78	$62,597	6,808 Direct	+8.39%	Acquired	105.7% (price as of 2026-08-21)
Sept. 30, 2009	CAT	G	10,017	—	—	171,743 Direct	-5.51%	Disposed	(price as of 2026-08-21)
Sept. 30, 2009	CAT	A	150	—	—	7,652 Direct	+2.00%	Acquired	(price as of 2026-08-21)
Aug. 31, 2009	CAT	A	171	—	—	7,502 Direct	+2.33%	Acquired	(price as of 2026-08-21)
Aug. 21, 2009	CAT	G	37,247	—	—	176,377 Indirect	+26.77%	Acquired	(price as of 2026-08-21)
Aug. 21, 2009	CAT	G	37,247	—	—	181,760 Direct	-17.01%	Disposed	(price as of 2026-08-21)
Aug. 7, 2009	CAT	M	5,202	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-21)
Aug. 7, 2009	CAT	M	102,798	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-21)
Aug. 7, 2009	CAT	F	2,089	$47.82	$99,896	223,044 Direct	-0.93%	Disposed	1623.0% (price as of 2026-08-21)
Aug. 7, 2009	CAT	M	5,202	$19.20	$99,878	225,133 Direct	+2.37%	Acquired	4191.2% (price as of 2026-08-21)
April 1, 2009	CAT	G	4,037	—	—	139,130 Indirect	+2.99%	Acquired	(price as of 2026-08-21)
April 1, 2009	CAT	G	4,037	—	—	219,007 Direct	-1.81%	Disposed	(price as of 2026-08-21)

Showing latest 100 of 197 transactions

P = Open-market purchase · S = Sale · A = Grant/award · M = Option exercise · G = Gift · F = Tax withholding

Insider transactions are not a recommendation; sales are often driven by liquidity or tax reasons.

Derivative holdings (Form 4 Table II)

Options, RSUs and convertible securities reported on Form 4 Table II.

Date	Ticker	Security	Underlying	Exercise price	Expiration	Shares	A/D
Oct. 3, 2016	HWM	Phantom Stock Units	Common Stock (3,323)	—	—	3,323	Acquired
July 1, 2016	HWM	Phantom Stock Units	Common Stock (3,546)	—	—	3,546	Acquired
April 1, 2016	HWM	Phantom Stock Units	Common Stock (3,521)	—	—	3,521	Acquired
Jan. 4, 2016	HWM	Phantom Stock Units	Common Stock (3,474)	—	—	3,474	Acquired
Oct. 1, 2015	HWM	Phantom Stock Units	Common Stock (3,511)	—	—	3,511	Acquired
July 1, 2015	HWM	Phantom Stock Units	Common Stock (3,018)	—	—	3,018	Acquired
April 1, 2015	HWM	Phantom Stock Units	Common Stock (2,577)	—	—	2,577	Acquired
March 31, 2015	IBM	Promised Fee Share	Common Stock (281)	—	—	281	Acquired
Jan. 2, 2015	HWM	Phantom Stock Units	Common Stock (2,034)	—	—	2,034	Acquired
Dec. 31, 2014	IBM	Promised Fee Share	Common Stock (234)	—	—	234	Acquired
Oct. 1, 2014	HWM	Phantom Stock Units	Common Stock (2,028)	—	—	2,028	Acquired
Sept. 30, 2014	IBM	Promised Fee Share	Common Stock (198)	—	—	198	Acquired
July 23, 2014	IBM	BOD Stock Option (right to buy)	Common Stock (4,000)	$82.70	April 30, 2016	4,000	Disposed
July 1, 2014	HWM	Phantom Stock Units	Common Stock (2,164)	—	—	2,164	Acquired
June 30, 2014	IBM	Promised Fee Share	Common Stock (207)	—	—	207	Acquired
April 1, 2014	HWM	Phantom Stock Units	Common Stock (2,478)	—	—	2,478	Acquired
March 31, 2014	IBM	Promised Fee Share	Common Stock (195)	—	—	195	Acquired
Jan. 2, 2014	HWM	Phantom Stock Units	Common Stock (3,082)	—	—	3,082	Acquired
Dec. 31, 2013	IBM	Promised Fee Share	Common Stock (201)	—	—	201	Acquired
Oct. 1, 2013	HWM	Phantom Stock Units	Common Stock (3,966)	—	—	3,966	Acquired
Sept. 30, 2013	IBM	Promised Fee Share	Common Stock (203)	—	—	203	Acquired
July 1, 2013	HWM	Phantom Stock Units	Common Stock (4,103)	—	—	4,103	Acquired
June 30, 2013	IBM	Promised Fee Share	Common Stock (197)	—	—	197	Acquired
April 1, 2013	HWM	Phantom Stock Units	Common Stock (3,818)	—	—	3,818	Acquired
March 31, 2013	IBM	Promised Fee Share	Common Stock (178)	—	—	178	Acquired
Jan. 2, 2013	HWM	Phantom Stock Units	Common Stock (3,330)	—	—	3,330	Acquired
Dec. 31, 2012	IBM	Promised Fee Share	Common Stock (198)	—	—	198	Acquired
Oct. 1, 2012	HWM	Phantom Stock Units	Common Stock (3,311)	—	—	3,311	Acquired
Sept. 30, 2012	IBM	Promised Fee Share	Common Stock (182)	—	—	182	Acquired
July 2, 2012	HWM	Phantom Stock Units	Common Stock (3,420)	—	—	3,420	Acquired
June 30, 2012	IBM	Promised Fee Share	Common Stock (194)	—	—	194	Acquired
April 2, 2012	HWM	Phantom Stock Units	Common Stock (2,941)	—	—	2,941	Acquired
March 31, 2012	IBM	Promised Fee Share	Common Stock (180)	—	—	180	Acquired
Dec. 31, 2011	IBM	Promised Fee Share	Common Stock (203)	—	—	203	Acquired
Sept. 30, 2011	IBM	Promised Fee Share	Common Stock (213)	—	—	213	Acquired
June 30, 2011	IBM	Promised Fee Share	Common Stock (219)	—	—	219	Acquired
March 31, 2011	IBM	Promised Fee Share	Common Stock (230)	—	—	230	Acquired
Dec. 31, 2010	IBM	Promised Fee Share	Common Stock (427)	—	—	427	Acquired
Sept. 30, 2010	IBM	Promised Fee Share	Common Stock (464)	—	—	464	Acquired
Sept. 30, 2010	CAT	Phantom Stock Units	Common (98)	—	—	98	Acquired
Sept. 13, 2010	CAT	Employee Stock Option [F4]	Common (122,000)	$25.36	June 11, 2012	122,000	Disposed
Aug. 31, 2010	CAT	Phantom Stock Units	Common (118)	—	—	118	Acquired
July 30, 2010	CAT	Phantom Stock Units	Common (173)	—	—	173	Acquired
June 30, 2010	CAT	Phantom Stock Units	Common (129)	—	—	129	Acquired
June 30, 2010	IBM	Promised Fee Share	Common Stock (504)	—	—	504	Acquired
May 28, 2010	CAT	Phantom Stock Units	Common (127)	—	—	127	Acquired
April 30, 2010	CAT	Phantom Stock Units	Common (113)	—	—	113	Acquired
April 5, 2010	CAT	Employee Stock Option [F5]	Common (108,000)	$26.76	June 12, 2011	108,000	Disposed
March 31, 2010	CAT	Phantom Stock Units	Common (123)	—	—	123	Acquired
March 31, 2010	IBM	Promised Fee Share	Common Stock (488)	—	—	488	Acquired
March 2, 2010	CAT	Restricted Stock Units	Common (14,238)	—	March 2, 2010	14,238	Disposed
March 1, 2010	CAT	Restricted Stock Units	Common (300,000)	—	—	300,000	Acquired
Feb. 26, 2010	CAT	Phantom Stock Units	Common (14)	—	—	14	Acquired
Dec. 31, 2009	IBM	Promised Fee Share	Common Stock (475)	—	—	475	Acquired
Dec. 31, 2009	CAT	Phantom Stock Units	Common (182)	—	—	182	Acquired
Nov. 30, 2009	CAT	Phantom Stock Units	Common (132)	—	—	132	Acquired
Nov. 13, 2009	HWM	Restricted Stock Units	Common Stock (50)	—	Nov. 13, 2009	50	Disposed
Oct. 30, 2009	CAT	Phantom Stock Units	Common (171)	—	—	171	Acquired
Sept. 30, 2009	IBM	Promised Fee Share	Common Stock (527)	—	—	527	Acquired
Sept. 30, 2009	CAT	Phantom Stock Units	Common (150)	—	—	150	Acquired
Aug. 31, 2009	CAT	Phantom Stock Units	Common (171)	—	—	171	Acquired
Aug. 7, 2009	CAT	Employee Stock Option [F4]	Common (5,202)	$19.20	June 12, 2010	5,202	Disposed
Aug. 7, 2009	CAT	Employee Stock Option [F4]	Common (102,798)	$19.20	June 12, 2010	102,798	Disposed
July 31, 2009	CAT	Phantom Stock Units	Common (175)	—	—	175	Acquired
June 30, 2009	CAT	Phantom Stock Units	Common (424)	—	—	424	Acquired
June 30, 2009	IBM	Promised Fee Share	Common Stock (596)	—	—	596	Acquired
March 31, 2009	IBM	Promised Fee Share	Common Stock (646)	—	—	646	Acquired
March 2, 2009	CAT	Restricted Stock Units	Common (20,152)	—	—	20,152	Acquired
March 2, 2009	CAT	Stock Appreciation Rights	Common (504,180)	$22.17	March 2, 2019	504,180	Acquired
Jan. 2, 2009	HWM	Phantom Stock Units	Common Stock (2,130)	—	—	2,130	Acquired
Dec. 31, 2008	IBM	Promised Fee Share	Common Stock (693)	—	—	693	Acquired
Dec. 10, 2008	CAT	Employee Stock Option [F4]	Common (96,792)	$31.17	June 8, 2009	96,792	Disposed
Dec. 10, 2008	CAT	Employee Stock Option [F4]	Common (3,208)	$31.17	June 8, 2009	3,208	Disposed
Oct. 1, 2008	HWM	Phantom Stock Units	Common Stock (1,180)	—	—	1,180	Acquired
Sept. 30, 2008	IBM	Promised Fee Share	Common Stock (438)	—	—	438	Acquired
July 1, 2008	HWM	Phantom Stock Units	Common Stock (738)	—	—	738	Acquired
June 30, 2008	IBM	Promised Fee Share	Common Stock (420)	—	—	420	Acquired
April 1, 2008	HWM	Phantom Stock Units	Common Stock (705)	—	—	705	Acquired
March 31, 2008	IBM	Promised Fee Share	Common Stock (437)	—	—	437	Acquired
March 3, 2008	CAT	Restricted Stock Units	Common (14,193)	—	—	14,193	Acquired
March 3, 2008	CAT	Stock Appreciation Right	Common (334,288)	$73.20	March 3, 2018	334,288	Acquired
Jan. 2, 2008	HWM	Phantom Stock Units	Common Stock (699)	—	—	699	Acquired
Dec. 31, 2007	IBM	Promised Fee Share	Common Stock (459)	—	—	459	Acquired
Oct. 8, 2007	HWM	Phantom Stock Units	Common Stock (36)	—	—	36	Acquired
Oct. 1, 2007	HWM	Phantom Stock Units	Common Stock (618)	—	—	618	Acquired
Sept. 30, 2007	IBM	Promised Fee Share	Common Stock (425)	—	—	425	Acquired
July 2, 2007	HWM	Phantom Stock Units	Common Stock (588)	—	—	588	Acquired
June 30, 2007	IBM	Promised Fee Share	Common Stock (475)	—	—	475	Acquired
April 26, 2007	CAT	Employee Stock Option [F4]	Common (3,590)	$27.84	June 9, 2008	3,590	Disposed
April 26, 2007	CAT	Employee Stock Option [F4]	Common (96,410)	$27.84	June 9, 2008	96,410	Disposed
April 2, 2007	HWM	Phantom Stock Units	Common Stock (706)	—	—	706	Acquired
March 31, 2007	IBM	Promised Fee Share	Common Stock (532)	—	—	532	Acquired
March 2, 2007	CAT	Restricted Stock Units	Common (14,238)	—	—	14,238	Acquired
March 2, 2007	CAT	Stock Appreciation Right	Common (344,198)	$63.04	March 2, 2017	344,198	Acquired
Jan. 3, 2007	HWM	Phantom Stock Units	Common Stock (886)	—	—	886	Acquired
Dec. 31, 2006	IBM	Promised Fee Share	Common Stock (257)	—	—	257	Acquired
Oct. 2, 2006	HWM	Phantom Stock Units	Common Stock (940)	—	—	940	Acquired
Sept. 30, 2006	IBM	Promised Fee Share	Common Stock (304)	—	—	304	Acquired
July 3, 2006	HWM	Phantom Stock Units	Common Stock (793)	—	—	793	Acquired
June 30, 2006	IBM	Promised Fee Share	Common Stock (324)	—	—	324	Acquired

Showing latest 100 of 110 transactions

Exercise/conversion price is blank when not applicable (e.g. RSUs).

Initial ownership (Form 3) 5 holdings

Securities held when first becoming an insider, per SEC Form 3.

Date	Ticker	Security	Shares	Ownership
Nov. 14, 2016	AA	Common Stock, par value $0.01 per share	—	Direct
Nov. 14, 2016	AA	Common Stock, par value $0.01 per share	—	Indirect
Nov. 14, 2016	AA	Phantom Stock Units [F3]→ Common Stock	—	Direct
March 2, 2006	IBM	Common Stock	1,000	Direct
June 23, 2005	HWM	Common Stock	725	Indirect

Compensation (DEF 14A)

Matched by name from proxy statements (DEF 14A) — verify against the filing.

CAT

Fiscal year	Salary	Bonus	Stock awards	Option awards	Non-equity incentive	Pension change	Other	Total
2006	$1,350,003	—	—	$7,029,846	$3,723,703	$2,171,992	$243,077	$14,818,621
2004	—	—	—	—	—	—	—	—
2003	—	—	—	—	—	—	—	—

Figures from the Summary Compensation Table of the company's proxy statement (DEF 14A). Compensation is not a recommendation.