0000018230-11-000293.txt : 20110509 0000018230-11-000293.hdr.sgml : 20110509 20110509110940 ACCESSION NUMBER: 0000018230-11-000293 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110505 FILED AS OF DATE: 20110509 DATE AS OF CHANGE: 20110509 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Halverson Bradley M CENTRAL INDEX KEY: 0001307061 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 11821901 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 2011-05-05 0000018230 CATERPILLAR INC CAT 0001307061 Halverson Bradley M 100 N.E. ADAMS STREET PEORIA IL 61629 0 1 0 0 Vice President Common 2011-05-05 4 M 0 3901 38.6275 A 8615 D Common 2011-05-05 4 S 0 3901 111.00 D 16686 D Common 4287 I Owned by Wife's Trust Phantom Stock Units Common 0 5693 D Employee Stock Option 38.6275 2011-05-05 4 M 0 3901 0 D 2014-06-08 Common 3901 0 D This amount includes 11,968 shares in 401K and 4 shares in dividend reinvestment. Beneficial ownership denied. Security converts to common stock on a one-for-one basis. 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. Right to buy with tandem tax withholding rights. Exercisable in thirds - 1/3 after one year; 1/3 after two years; 1/3 after three years. Bradley M. Halverson; L.J. Huxtable, POA 2011-05-09