0000018230-12-000568.txt : 20121204 0000018230-12-000568.hdr.sgml : 20121204 20121204171442 ACCESSION NUMBER: 0000018230-12-000568 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: SCHWAB SUSAN C CENTRAL INDEX KEY: 0001202958 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 121241447 MAIL ADDRESS: STREET 1: 2101 VAN MUNCHING HALL CITY: COLLEGE PARK STATE: MD ZIP: 20742 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 0001202958 SCHWAB SUSAN C 100 N.E. ADAMS STREET PEORIA IL 61629 1 0 0 0 Common 7667 D Phantom Stock Units 2012-11-30 4 A 0 154 A Common 154 1497 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 8 units at $83.18. Susan C. Schwab; L.J. Huxtable, POA 2012-12-04