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