0000018230-12-000417.txt : 20120821 0000018230-12-000417.hdr.sgml : 20120821 20120821163806 ACCESSION NUMBER: 0000018230-12-000417 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120817 FILED AS OF DATE: 20120821 DATE AS OF CHANGE: 20120821 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Copeland Jananne A. CENTRAL INDEX KEY: 0001415606 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 121048073 MAIL ADDRESS: STREET 1: 100 N.E. 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 X0306 4 2012-08-17 0000018230 CATERPILLAR INC CAT 0001415606 Copeland Jananne A. 100 N.E. ADAMS STREET PEORIA IL 61629 0 1 0 0 Controller/Chief Acctg Officer Common 2012-08-17 4 M 0 3700 38.6275 A 11607 D Common 2012-08-17 4 S 0 3700 90.00 D 7907 D Employee Stock Option 38.6275 2012-08-17 4 M 0 3700 0 D 2014-06-08 Common 3700 7420 D Phantom Stock Units Common 0 1434 D This amount includes 3681 shares in 401K. 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. Right to buy with tandem tax withholding rights. Exercisable in thirds beginning 1 year after the initial grant date of 6/8/2004. (1/3 after one year; 1/3 after two years; 1/3 after three years). J. A. Copeland; L. J. Huxtable, POA 2012-08-21