0000018230-11-000181.txt : 20110308 0000018230-11-000181.hdr.sgml : 20110308 20110308153225 ACCESSION NUMBER: 0000018230-11-000181 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110307 FILED AS OF DATE: 20110308 DATE AS OF CHANGE: 20110308 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Copeland Jananne A. CENTRAL INDEX KEY: 0001415606 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 11671827 MAIL ADDRESS: STREET 1: 100 N.E. 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 2011-03-07 0000018230 CATERPILLAR INC CAT 0001415606 Copeland Jananne A. 100 N.E. ADAMS STREET PEORIA IL 61629 0 1 0 0 Controller/Chief Acctg Officer Common 7998 D Phantom Stock Units Common 0 1070 D Stock Appreciation Rights 102.13 2011-03-07 4 A 0 3841 0 A 2021-03-07 Common 3841 3841 D 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. This amount includes 3571 shares in 401K. Security converts to common stock on a one-for-one basis. The stock appreciation rights vest on March 7, 2014. J. A. Copeland; L. J. Huxtable, POA 2011-03-08