-----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, FhmBTtvHAAEXmV1sdukyk7Wl5DN71I5O18rEqgnc1fys1AOBrkkCkIeOtR6bew1L xybt4FgTl+/gJE0pE8GljQ== 0000018230-10-000206.txt : 20100414 0000018230-10-000206.hdr.sgml : 20100414 20100414111231 ACCESSION NUMBER: 0000018230-10-000206 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100412 FILED AS OF DATE: 20100414 DATE AS OF CHANGE: 20100414 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GALLARDO JUAN CENTRAL INDEX KEY: 0001173956 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 10748677 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 2010-04-12 0000018230 CATERPILLAR INC CAT 0001173956 GALLARDO JUAN MONTE CAUCASO 915, 4TH FLOOR COL. LOMAS DE CHAPULTEPEC MEXICO CITY 11000 1 0 0 0 Common 2010-04-12 4 M 0 8000 21.875 A 220756 D Phantom Stock Units Common 0 9723 D Employee Stock Option 21.875 2010-04-12 4 M 0 8000 0 D 2010-04-12 Common 8000 0 D Security converts to common stock on a one-for-one basis. The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. (Right to buy) with tandem tax withholding rights. Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Juan Gallardo T.; L.J. Huxtable, POA 2010-04-14 -----END PRIVACY-ENHANCED MESSAGE-----