-----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, Um9Q3YD+nZvkSsn3zKUjKBuC0D0xEyFh7qv36pjHg/Xpq0xja4A3utqBhwoD25Ek DlGeFGNl/51GWMH493n0Cw== 0000018230-09-000413.txt : 20091001 0000018230-09-000413.hdr.sgml : 20091001 20091001153818 ACCESSION NUMBER: 0000018230-09-000413 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091001 DATE AS OF CHANGE: 20091001 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Halverson Bradley M CENTRAL INDEX KEY: 0001307061 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 091098662 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 4 1 edgar.xml PRIMARY DOCUMENT X0303 4 2009-09-30 0000018230 CATERPILLAR INC CAT 0001307061 Halverson Bradley M 100 N.E. ADAMS STREET PEORIA IL 61629 0 1 0 0 Controller Common 11208 D Common 8562 I Owned by Wife's Trust Phantom Stock Units 2009-09-30 4 A 0 30 0 A Common 30 3908 D This amount includes 10,891 shares in 401K. Beneficial ownership denied. 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. Bradley M. Halverson; L.J. Huxtable, POA 2009-10-01 -----END PRIVACY-ENHANCED MESSAGE-----