0000018230-11-000391.txt : 20110801 0000018230-11-000391.hdr.sgml : 20110801 20110801153224 ACCESSION NUMBER: 0000018230-11-000391 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110729 FILED AS OF DATE: 20110801 DATE AS OF CHANGE: 20110801 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LAVIN RICHARD P CENTRAL INDEX KEY: 0001171774 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 111000459 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 X0304 4 2011-07-29 0000018230 CATERPILLAR INC CAT 0001171774 LAVIN RICHARD P 100 N.E. ADAMS STREET PEORIA IL 61629 0 1 0 0 Group President Common 86746 D Common 4 I Custodian for Daughter Phantom Stock Units 2011-07-29 4 A 0 192 0 A Common 192 20509 D This amount includes 14,021 shares in 401K and 333 shares in dividend reinvestment. Security converts to common stock on a one-for-one basis. The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. R. P. Lavin; L.J. Huxtable, POA 2011-08-01