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