-----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, OCvcEW34VkoRFT3U6/5Wd7e/2janH57zv7zgXkbxl5RAMWeqzbZ2f/LlWHoXcv6V Bv4FyRxPMIkANrIs0gaz+Q== 0000018230-07-000335.txt : 20070605 0000018230-07-000335.hdr.sgml : 20070605 20070605090012 ACCESSION NUMBER: 0000018230-07-000335 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070601 FILED AS OF DATE: 20070605 DATE AS OF CHANGE: 20070605 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: OBERHELMAN DOUGLAS R CENTRAL INDEX KEY: 0001171770 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 07899434 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 2007-06-01 0000018230 CATERPILLAR INC CAT 0001171770 OBERHELMAN DOUGLAS R 100 N.E. ADAMS STREET PEORIA IL 61629-7220 0 1 0 0 Group President Common 2007-06-01 4 M 0 18132 25.8281 A 86694 D Common 2007-06-01 4 F 0 10760 78.60 D 75934 D Phantom Stock Units Common 30677 30677 D Employee Stock Option 25.8281 2007-06-01 4 M 0 18132 0 D 2007-06-10 Common 18132 18132 D This amount includes 23,254 shares in 401K and 511 shares in dividend reinvestment. Security converts to common stock on a one-for-one basis. 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. (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. D. R. Oberhelman; L.J. Huxtable, POA 2007-06-05 -----END PRIVACY-ENHANCED MESSAGE-----