-----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, NwN2ptDiNTpp8OG5sHI0LL+sxHfN0QB1ERDHCCiqg41qSpuWwsf/rjlrsOUD1r92 JnuETGqQHLAx4WrasBH7MA== 0000018230-07-000100.txt : 20070305 0000018230-07-000100.hdr.sgml : 20070305 20070305133937 ACCESSION NUMBER: 0000018230-07-000100 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070302 FILED AS OF DATE: 20070305 DATE AS OF CHANGE: 20070305 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: OWENS JAMES W CENTRAL INDEX KEY: 0001171767 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 07670537 BUSINESS ADDRESS: BUSINESS PHONE: 3096754610 MAIL ADDRESS: STREET 1: 100 NE ADAMS STREET CITY: PEORIA STATE: IL ZIP: 61629 4 1 edgar.xml PRIMARY DOCUMENT X0202 4 2007-03-02 0000018230 CATERPILLAR INC CAT 0001171767 OWENS JAMES W 100 N.E. ADAMS STREET PEORIA IL 61629-7230 1 1 0 0 Chairman of the Board/CEO Common 156395 D Common 117006 I Held in revocable trust Stock Appreciation Right 63.04 2007-03-02 4 A 0 344198 0 A 2017-03-02 Common 344198 344198 D Restricted Stock Units 2007-03-02 4 A 0 14238 0 A Common 14238 14238 D This amount includes 29,371 shares in 401K, 4,620 shares in SEIP and 1 share in dividend reinvestment. The restricted stock units and stock appreciation rights vest on March 2, 2010. Each restricted stock unit represents a contingent right to receive one share of Caterpillar common stock. James W. Owens; L.J. Huxtable, POA 2007-03-05 -----END PRIVACY-ENHANCED MESSAGE-----