-----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, J11uyEBA0ZTowXu0PNkDsvkfICFRDa9sydhijvZ3wObXl1SGFZVWq1BVAMozFIvC 1Wxin7/rhf+84v4UixXEfw== 0000018230-10-000154.txt : 20100304 0000018230-10-000154.hdr.sgml : 20100304 20100304135346 ACCESSION NUMBER: 0000018230-10-000154 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100302 FILED AS OF DATE: 20100304 DATE AS OF CHANGE: 20100304 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: OWENS JAMES W CENTRAL INDEX KEY: 0001171767 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 10656621 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 2010-03-02 0000018230 CATERPILLAR INC CAT 0001171767 OWENS JAMES W 100 N.E. ADAMS STREET PEORIA IL 61629-7230 1 1 0 0 Chairman of the Board/CEO Common 2010-03-02 4 M 0 14238 A 183668 D Common 2010-03-02 4 F 0 5617 58.42 D 178051 D Common 173277 I Held in Revocable Trust Common 7200 I Grandchildren's Trust Common 700 I Grandchild's Trust Phantom Stock Units Common 0 8151 D Restricted Stock Units 2010-03-02 4 M 0 14238 D 2010-03-02 2010-03-02 Common 14238 0 D This amount includes 32,052 shares in 401K. 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. Each restricted stock unit represents the equivalent of one share of Caterpillar common stock. On March 2, 2010, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar common stock. Amount reflects shares surrendered to satisfy tax withholding requirements upon the vesting of restricted stock units. James W. Owens; L.J. Huxtable, POA 2010-03-04 -----END PRIVACY-ENHANCED MESSAGE-----