0000018230-11-000128.txt : 20110304 0000018230-11-000128.hdr.sgml : 20110304 20110304172531 ACCESSION NUMBER: 0000018230-11-000128 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: GOODE DAVID R CENTRAL INDEX KEY: 0001171794 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 11665778 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 0001171794 GOODE DAVID R THREE COMMERCIAL PLACE NORFOLK VA 23510-2191 1 0 0 0 Common 2011-03-03 4 M 0 1606 A 59859 D Phantom Stock Units Common 0 48960 D Restricted Stock Units 2011-03-03 4 M 0 1606 D 2011-03-03 2011-03-03 Common 1606 0 D Included in this amount are 5198 shares in dividend reinvestment. 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. Security converts to common stock on a one-for-one basis. 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. David R. Goode; L.J. Huxtable, POA 2011-03-04