-----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, Tzq+IPK6dOaujHLhZnWP0xlicr6RxXf64e4ub8C1kKTzVNM1yivNwpTFf5m8h29w fjybgOyec0MBJHl5bRq6TQ== 0000018230-09-000548.txt : 20091201 0000018230-09-000548.hdr.sgml : 20091201 20091201123439 ACCESSION NUMBER: 0000018230-09-000548 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091130 FILED AS OF DATE: 20091201 DATE AS OF CHANGE: 20091201 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LAVIN RICHARD P CENTRAL INDEX KEY: 0001171774 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 091214224 MAIL ADDRESS: STREET 1: 100 NE 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 2009-11-30 0000018230 CATERPILLAR INC CAT 0001171774 LAVIN RICHARD P 100 N.E. ADAMS STREET PEORIA IL 61629 0 1 0 0 Group President Common 48181 D Common 4 I Custodian for Daughter Phantom Stock Units 2009-11-30 4 A 0 147 0 A Common 147 16533 D This amount includes 12,736 shares in 401K and 194 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. R. P. Lavin; L.J. Huxtable, POA 2009-12-01 -----END PRIVACY-ENHANCED MESSAGE-----