0000018230-12-000206.txt : 20120410 0000018230-12-000206.hdr.sgml : 20120410 20120410164954 ACCESSION NUMBER: 0000018230-12-000206 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120409 FILED AS OF DATE: 20120410 DATE AS OF CHANGE: 20120410 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GALLARDO JUAN CENTRAL INDEX KEY: 0001173956 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 12752364 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 2012-04-09 0000018230 CATERPILLAR INC CAT 0001173956 GALLARDO JUAN 100 N.E. ADAMS STREET PEORIA IL 61629 1 0 0 0 Common 2012-04-09 4 M 0 8000 29.43 A 239475 D Phantom Stock Units Common 0 14408 D Employee Stock Option 29.43 2012-04-09 4 M 0 8000 0 D 2012-04-10 Common 8000 0 D Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. Right to buy with tandem tax withholding rights. Exercisable in thirds beginning 1 year after the initial grant date. (1/3 after one year; 1/3 after two years; 1/3 after three years). Juan Gallardo T.; L.J. Huxtable, POA 2012-04-10