0000018230-11-000497.txt : 20111102 0000018230-11-000497.hdr.sgml : 20111102 20111102160239 ACCESSION NUMBER: 0000018230-11-000497 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111031 FILED AS OF DATE: 20111102 DATE AS OF CHANGE: 20111102 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GOODE DAVID R CENTRAL INDEX KEY: 0001171794 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 111174472 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 2011-10-31 0000018230 CATERPILLAR INC CAT 0001171794 GOODE DAVID R 100 N.E. ADAMS STREET PEORIA IL 61629 1 0 0 0 Common 32024 D Common 40581 I By grantor retained annuity trust Phantom Stock Units 2011-10-31 4 A 0 149 0 A Common 149 50640 D Security converts to common stock on a one-for-one basis. The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in October 2011 at a price of $94.74 per share. David R. Goode; L.J. Huxtable, POA 2011-11-02