-----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, MR1QTsuD3htuQb7k4E2s9S4KisaONxpI+6E+axc+dOG/UGS2nka09Kq6DjPP3C3n 5K+MODo2bo+t6P0etBituw== 0000018230-10-000135.txt : 20100303 0000018230-10-000135.hdr.sgml : 20100303 20100303161457 ACCESSION NUMBER: 0000018230-10-000135 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100301 FILED AS OF DATE: 20100303 DATE AS OF CHANGE: 20100303 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: 10653590 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 2010-03-01 0000018230 CATERPILLAR INC CAT 0001171788 WUNNING STEVEN H 100 N.E. ADAMS STREET PEORIA IL 61629-7220 0 1 0 0 Group President Common 70333 D Common 726 I Owned by Wife Common 1125 I Owned by Son Phantom Stock Units Common 0 21729 D Stock Appreciation Rights 57.85 2010-03-01 4 A 0 134851 0 A 2020-03-01 Common 134851 134851 D Restricted Stock Units 2010-03-01 4 A 0 3257 0 A Common 3257 3257 D This amount includes 23,958 shares in 401K. Reporting person disclaims beneficial ownership. 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. The restricted stock units and stock appreciation rights vest on March 1, 2013. Each restricted stock unit represents a contingent right to receive one share of Caterpillar common stock. S. H. Wunning; L.J. Huxtable, POA 2010-03-03 -----END PRIVACY-ENHANCED MESSAGE-----