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