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