-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Pt+xTvKIQRbgQMk7lgszAum0rQuIkNCMq1ksUqNWh8x4c+g8PXvv/kCZej/mWLRi 7DLR5RiBKs3odbGNRADTkQ== 0000018230-04-000688.txt : 20041202 0000018230-04-000688.hdr.sgml : 20041202 20041202105016 ACCESSION NUMBER: 0000018230-04-000688 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20041201 FILED AS OF DATE: 20041202 DATE AS OF CHANGE: 20041202 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Halverson Bradley M CENTRAL INDEX KEY: 0001307061 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 041179226 BUSINESS ADDRESS: BUSINESS PHONE: (309) 675-4610 MAIL ADDRESS: STREET 1: 100 N.E. ADAMS STREET CITY: PEORIA STATE: IL ZIP: 61629 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CATERPILLAR INC CENTRAL INDEX KEY: 0000018230 STANDARD INDUSTRIAL CLASSIFICATION: CONSTRUCTION MACHINERY & EQUIP [3531] IRS NUMBER: 370602744 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 100 NE ADAMS ST CITY: PEORIA STATE: IL ZIP: 61629 BUSINESS PHONE: 3096751000 MAIL ADDRESS: STREET 1: 100 NE ADAMS ST CITY: PEORIA STATE: IL ZIP: 61629 FORMER COMPANY: FORMER CONFORMED NAME: CATERPILLAR TRACTOR CO DATE OF NAME CHANGE: 19860623 3 1 edgar.xml PRIMARY DOCUMENT X0202 3 2004-12-01 0 0000018230 CATERPILLAR INC CAT 0001307061 Halverson Bradley M 100 N.E. ADAMS STREET PEORIA IL 61629 0 1 0 0 Controller Common 5813 D Option (ISO) 32.9062 1996-06-11 2006-06-11 Common 750 D Option (ISO) 51.6562 1997-06-10 2007-06-10 Common 1934 D Option (NQ) 51.6562 1997-06-10 2007-06-10 Common 2106 D Option (ISO) 55.6875 1998-06-09 2008-06-09 Common 1795 D Option (NQ) 55.6875 1998-06-09 2008-06-09 Common 2245 D Option (ISO) 62.3438 1999-06-08 2009-06-08 Common 1604 D Option (NQ) 62.3438 1999-06-08 2009-06-08 Common 4696 D Option (ISO) 38.4063 2000-06-12 2010-06-12 Common 2601 D Option (NQ) 38.4063 2000-06-12 2010-06-12 Common 1849 D Option (NQ) 53.53 2001-06-12 2011-06-12 Common 6450 D Option (NQ) 50.715 2002-06-11 2012-06-11 Common 6940 D Option (NQ) 54.285 2003-06-10 2013-06-10 Common 9860 D Option (NQ) 77.255 2004-06-08 2014-06-08 Common 9860 D Phantom Stock Units 0 Common 342 D This amount includes 3616 shares in 401K and 232 shares in dividend reinvestment. 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. Security converts to common stock on a one-for-one basis. Stock option (right to buy) granted under company's 1996 Stock Option Plan. Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Bradley M. Halverson; L.J. Huxtable, POA 2004-12-02 -----END PRIVACY-ENHANCED MESSAGE-----