-----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, S48BIXtUHa5wfMu1igaRbfIO9Z7Kg35owgLXQUMLxOuK2iPn2/4Q83a9FzNBGRkS eh/Vpl2Wtfyw2075zSgjBw== 0000018230-10-000447.txt : 20100914 0000018230-10-000447.hdr.sgml : 20100914 20100914145507 ACCESSION NUMBER: 0000018230-10-000447 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100913 FILED AS OF DATE: 20100914 DATE AS OF CHANGE: 20100914 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: 101071267 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 2010-09-13 0000018230 CATERPILLAR INC CAT 0001171767 OWENS JAMES W 100 N.E. ADAMS STREET PEORIA IL 61629-7230 1 0 0 0 Common 2010-09-13 4 M 0 122000 25.3575 A 338371 D Common 2010-09-13 4 F 0 74112 72.09 D 264259 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 8978 D Employee Stock Option 25.3575 2010-09-13 4 M 0 122000 0 D 2012-06-11 Common 122000 0 D This amount includes 32,729 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. (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. James W. Owens; L.J. Huxtable, POA 2010-09-14 -----END PRIVACY-ENHANCED MESSAGE-----