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