-----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, PvnilRMEmmTyk2t/vM3tpAPEPzVWqLYjeKUQ9AjUIPQ6NtsF4C/M54M9TVT7/Ecm DB2OFq187FzaWoczVWIEWg== 0000018230-07-000391.txt : 20070730 0000018230-07-000391.hdr.sgml : 20070730 20070730170740 ACCESSION NUMBER: 0000018230-07-000391 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070321 FILED AS OF DATE: 20070730 DATE AS OF CHANGE: 20070730 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: WUNNING STEVEN H CENTRAL INDEX KEY: 0001171788 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 071010222 MAIL ADDRESS: STREET 1: 100 NE ADAMS STREET CITY: PEORIA STATE: IL ZIP: 61629 4 1 edgar.xml PRIMARY DOCUMENT X0202 4 2007-03-21 0000018230 CATERPILLAR INC CAT 0001171788 WUNNING STEVEN H 100 N.E. ADAMS STREET PEORIA IL 61629-7220 0 1 0 0 Group President Common 54322 D Common 76 I Owned by Wife Common 2007-03-21 5 G 0 150 0 A 475 I Owned by Son Phantom Stock Units Common 19523 19523 D This amount includes 22,073 shares in 401K. Reporting person disclaims beneficial ownership. The SEIP shares previously reported under Table I are now reported under Table II as derivative securities. 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. S. H. Wunning; L.J. Huxtable, POA 2007-07-30 -----END PRIVACY-ENHANCED MESSAGE-----