0000018230-11-000105.txt : 20110304
0000018230-11-000105.hdr.sgml : 20110304
20110304160940
ACCESSION NUMBER: 0000018230-11-000105
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110303
FILED AS OF DATE: 20110304
DATE AS OF CHANGE: 20110304
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: 11664749
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
2011-03-03
0000018230
CATERPILLAR INC
CAT
0001171774
LAVIN RICHARD P
100 N.E. ADAMS STREET
PEORIA
IL
61629
0
1
0
0
Group President
Common
2011-03-03
4
M
0
4109
A
89514
D
Common
2011-03-03
4
F
0
1704
103.215
D
87810
D
Common
4
I
Custodian for Daughter
Phantom Stock Units
Common
0
19385
D
Restricted Stock Units
2011-03-03
4
M
0
4109
D
2011-03-03
2011-03-03
Common
4109
0
D
This amount includes 13,665 shares in 401K and 333 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.
Each restricted stock unit represents the equivalent of one share of Caterpillar common stock. On March 3, 2011, 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.
R. P. Lavin; L.J. Huxtable, POA
2011-03-04