0000018230-12-000064.txt : 20120208 0000018230-12-000064.hdr.sgml : 20120208 20120208173343 ACCESSION NUMBER: 0000018230-12-000064 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120206 FILED AS OF DATE: 20120208 DATE AS OF CHANGE: 20120208 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LEVENICK STUART L CENTRAL INDEX KEY: 0001171796 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 12583234 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 2012-02-06 0000018230 CATERPILLAR INC CAT 0001171796 LEVENICK STUART L 100 N.E. ADAMS STREET PEORIA IL 61629-7250 0 1 0 0 Group President Common 2012-02-06 4 I 0 4487 113.78 D 138137 D Phantom Stock Units 2012-02-06 4 A 0 300 0 A Common 300 15552 D Phantom Stock Units 2012-02-06 4 I 0 15552 113.78 D Common 15552 0 D Includes 19 shares acquired under Caterpillar 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. Shares of phantom stock transferred by the reporting person from the Caterpillar Share Equivalency Account into an alternative investment account. Represents transfer out of Caterpillar Stock in 401(k) account. S. L. Levenick; L.J. Huxtable, POA 2012-02-08