0000018230-12-000540.txt : 20121128
0000018230-12-000540.hdr.sgml : 20121128
20121128090653
ACCESSION NUMBER: 0000018230-12-000540
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20121126
FILED AS OF DATE: 20121128
DATE AS OF CHANGE: 20121128
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: RAPP EDWARD J
CENTRAL INDEX KEY: 0001171780
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-00768
FILM NUMBER: 121227750
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
2012-11-26
0000018230
CATERPILLAR INC
CAT
0001171780
RAPP EDWARD J
100 N.E. ADAMS STREET
PEORIA
IL
61629
0
1
0
0
CFO & Group President
Common
2012-11-26
4
M
0
13500
27.1425
A
63244
D
Common
2012-11-26
4
F
0
8137
84.395
D
55107
D
Employee Stock Option
27.1425
2012-11-26
4
M
0
13500
0
D
2013-06-10
Common
13500
0
D
Phantom Stock Units
Common
0
26789
D
This amount includes 2318 shares in 401(k).
Exercisable in thirds beginning 1 year after the initial grant date of June 10, 2003. (1/3 after one year; 1/3 after two years; 1/3 after three years).
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.
E. J. Rapp; S.R. Underwood, POA
2012-11-28