0000018230-12-000202.txt : 20120410 0000018230-12-000202.hdr.sgml : 20120410 20120410162230 ACCESSION NUMBER: 0000018230-12-000202 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100309 FILED AS OF DATE: 20120410 DATE AS OF CHANGE: 20120410 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: 12752171 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 X0305 4 2010-03-09 0000018230 CATERPILLAR INC CAT 0001171774 LAVIN RICHARD P 100 N.E. ADAMS STREET PEORIA IL 61629 0 1 0 0 Group President Common 79967 D Common 2010-03-09 4 J 0 4 0 D 0 I Daughter Common 2010-07-07 4 P 0 355 58.23 A 355 I Daughter Phantom Stock Units Common 0 23555 D This amount includes 243 shares in 401K and 386 shares in dividend reinvestment. These 4 shares were escheated by the transfer agent. These shares were purchased by the reporting person's daughter. The purchase of shares on July 7, 2010 by the reporting person's daughter was matchable under Section 16(b) of the Securities Exchange Act of 1934 with the reporting person's sale of shares on August 2, 2010 (to the extent of 355 shares sold on that date). The reporting person has paid to Caterpillar Inc. the full amount of profit realized in connection with the short-swing transaction. Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled 100% in cash upon the reporting person's retirement or separation from service. R. P. Lavin; L.J. Huxtable, POA 2012-04-10