0000018230-12-000554.txt : 20121204 0000018230-12-000554.hdr.sgml : 20121204 20121204165735 ACCESSION NUMBER: 0000018230-12-000554 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121130 FILED AS OF DATE: 20121204 DATE AS OF CHANGE: 20121204 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CALHOUN DAVID L CENTRAL INDEX KEY: 0001233152 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 121241270 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 2012-11-30 0000018230 CATERPILLAR INC CAT 0001233152 CALHOUN DAVID L 100 N.E. ADAMS STREET PEORIA IL 61629 1 0 0 0 Common 2109 D Phantom Stock Units 2012-11-30 4 A 0 159 A Common 159 2469 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 November 2012 on the basis of the issuer's common stock price, 146 units at a price of $85.66 and 13 units at $83.18. David L. Calhoun; S.R. Underwood, POA 2012-12-04