0000018230-11-000518.txt : 20111115 0000018230-11-000518.hdr.sgml : 20111115 20111115161705 ACCESSION NUMBER: 0000018230-11-000518 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111027 FILED AS OF DATE: 20111115 DATE AS OF CHANGE: 20111115 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RAPP EDWARD J CENTRAL INDEX KEY: 0001171780 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 111207442 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 2011-10-27 0000018230 CATERPILLAR INC CAT 0001171780 RAPP EDWARD J 100 N.E. ADAMS STREET PEORIA IL 61629 0 1 0 0 CFO & Group President Common 2011-10-27 5 G 0 1000 0 D 41293 D Phantom Stock Units Common 0 20617 D This amount includes 2283 shares in 401K. Includes 11,672 shares previously owned indirectly through Caterpillar's 401(k) plan. 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. E. J. Rapp; L.J. Huxtable, POA 2011-11-15