0000018230-12-000457.txt : 20121002
0000018230-12-000457.hdr.sgml : 20121002
20121002104447
ACCESSION NUMBER: 0000018230-12-000457
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120928
FILED AS OF DATE: 20121002
DATE AS OF CHANGE: 20121002
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: GOODE DAVID R
CENTRAL INDEX KEY: 0001171794
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-00768
FILM NUMBER: 121122026
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
X0306
4
2012-09-28
0000018230
CATERPILLAR INC
CAT
0001171794
GOODE DAVID R
100 N.E. ADAMS STREET
PEORIA
IL
61629
1
0
0
0
Common
32933
D
Common
40581
I
By grantor retained annuity trust
Phantom Stock Units
2012-09-28
4
A
0
165
A
Common
165
53319
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.
The units were valued in September 2012 on the basis of the issuer's common stock price, 165 units at a price of $86.02.
David R. Goode; L.J. Huxtable, POA
2012-10-02