0000018230-12-000002.txt : 20120103 0000018230-12-000002.hdr.sgml : 20120102 20120103121533 ACCESSION NUMBER: 0000018230-12-000002 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111230 FILED AS OF DATE: 20120103 DATE AS OF CHANGE: 20120103 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BUDA JAMES B CENTRAL INDEX KEY: 0001171771 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 12500859 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 2011-12-30 0000018230 CATERPILLAR INC CAT 0001171771 BUDA JAMES B 100 N.E. ADAMS STREET PEORIA IL 61629-7310 0 1 0 0 Sr. VP & Chief Legal Officer Common 43405 D Phantom Stock Units 2011-12-30 4 A 0 53 0 A Common 53 16761 D This amount includes 9485 shares in 401K and 4543 shares in dividend reinvestment. Includes 7361 shares previously owned indirectly through Caterpillar's 401k 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. J. B. Buda; L.J. Huxtable, POA 2012-01-03