0000018230-11-000197.txt : 20110330 0000018230-11-000197.hdr.sgml : 20110330 20110330110558 ACCESSION NUMBER: 0000018230-11-000197 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110328 FILED AS OF DATE: 20110330 DATE AS OF CHANGE: 20110330 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LEVENICK STUART L CENTRAL INDEX KEY: 0001171796 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 11720822 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 2011-03-28 0000018230 CATERPILLAR INC CAT 0001171796 LEVENICK STUART L 100 N.E. ADAMS STREET PEORIA IL 61629-7250 0 1 0 0 Group President Common 2011-03-28 4 M 0 126000 38.6275 A 221671 D Common 2011-03-28 4 F 0 78145 109.945 D 143526 D Phantom Stock Units Common 0 15221 D Employee Stock Option 38.6275 2011-03-28 4 M 0 126000 0 D 2014-06-08 Common 126000 0 D This amount includes 4391 shares in 401K and 27 shares in dividend reinvestment. 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. Security converts to common stock on a one-for-one basis. (Right to buy) with tandem tax withholding rights. Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. S. L. Levenick; L.J. Huxtable, POA 2011-03-30