-----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, TLyMs+PVaNnruUccLiPsXAQyw1kdJz/uhrSVa+jK3QAV9ku6D05YCA4PdFUmvrs8 QzzSb40YUvZDBeOz/0Cg1g== 0000018230-06-000363.txt : 20060727 0000018230-06-000363.hdr.sgml : 20060727 20060727191347 ACCESSION NUMBER: 0000018230-06-000363 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20060727 FILED AS OF DATE: 20060727 DATE AS OF CHANGE: 20060727 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SMITH JOSHUA T CENTRAL INDEX KEY: 0001173565 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 06985650 BUSINESS ADDRESS: STREET 1: 100 NE ADAMS ST CITY: PEORIA STATE: IL ZIP: 61629 BUSINESS PHONE: 3096754610 4 1 edgar.xml PRIMARY DOCUMENT X0202 4 2006-07-27 0000018230 CATERPILLAR INC CAT 0001173565 SMITH JOSHUA T 8401 COLESVILLE RD. SUITE 604 SILVER SPRING MD 20910 1 0 0 0 Common 2006-07-27 4 M 0 4000 22.755 A 14855 D Common 2006-07-27 4 M 0 8000 26.03 A 22855 D Common 2006-07-27 4 S 0 12000 70.5424 D 10855 D Employee Stock Option 22.755 2006-07-27 4 M 0 4000 0 D 2011-04-11 Common 4000 0 D Employee Stock Option 26.03 2005-07-27 4 M 0 8000 0 D 2013-04-09 Common 8000 0 D (Right to buy) with tandem tax withholding rights. Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Joshua I. Smith; L.J. Huxtable, POA 2006-07-27 -----END PRIVACY-ENHANCED MESSAGE-----