0000018230-12-000204.txt : 20120410
0000018230-12-000204.hdr.sgml : 20120410
20120410163019
ACCESSION NUMBER: 0000018230-12-000204
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110615
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: 12752221
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
2011-06-15
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
2011-06-15
4
P
0
50
97.71
A
405
I
Daughter
Phantom Stock Units
Common
0
23555
D
This amount includes 243 shares in 401K and 386 shares in dividend reinvestment.
These shares were purchased by the reporting person's daughter. The purchase of shares on June 15, 2011 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 February 7, 2011 (to the extent of 50 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