0000018230-12-000443.txt : 20120905 0000018230-12-000443.hdr.sgml : 20120905 20120905151339 ACCESSION NUMBER: 0000018230-12-000443 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120831 FILED AS OF DATE: 20120905 DATE AS OF CHANGE: 20120905 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: 121073737 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 2012-08-31 0000018230 CATERPILLAR INC CAT 0001173956 GALLARDO JUAN 100 N.E. ADAMS STREET PEORIA IL 61629 1 0 0 0 Common 239489 D Phantom Stock Units 2012-08-31 4 A 0 233 A Common 233 15273 D Included in this amount are 14 shares in dividend reinvestment. 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. The units were valued in August 2012 on the basis of the issuer's common stock price, 86 units at a price of $89.86 and 147 units at a price of $85.10. Juan T. Gallardo; L.J. Huxtable, POA 2012-09-05