0000018230-11-000133.txt : 20110304 0000018230-11-000133.hdr.sgml : 20110304 20110304172838 ACCESSION NUMBER: 0000018230-11-000133 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110303 FILED AS OF DATE: 20110304 DATE AS OF CHANGE: 20110304 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Smith Joshua I CENTRAL INDEX KEY: 0001173565 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 11665832 MAIL ADDRESS: STREET 1: 100 N.E. ADAMS STREET CITY: PEORIA STATE: IL ZIP: 61629 FORMER NAME: FORMER CONFORMED NAME: SMITH JOSHUA T DATE OF NAME CHANGE: 20020516 4 1 edgar.xml PRIMARY DOCUMENT X0303 4 2011-03-03 0000018230 CATERPILLAR INC CAT 0001173565 Smith Joshua I 8401 COLESVILLE RD. SUITE 604 SILVER SPRING MD 20910 1 0 0 0 Common 2011-03-03 4 M 0 1606 A 12591 D Restricted Stock Units 2011-03-03 4 M 0 1606 D 2011-03-03 2011-03-03 Common 1606 0 D This amount includes 203 shares in dividend reinvestment. 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. Joshua I. Smith; L.J. Huxtable, POA 2011-03-04