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