0000018230-13-000032.txt : 20130111 0000018230-13-000032.hdr.sgml : 20130111 20130111151553 ACCESSION NUMBER: 0000018230-13-000032 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130101 FILED AS OF DATE: 20130111 DATE AS OF CHANGE: 20130111 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Halverson Bradley M CENTRAL INDEX KEY: 0001307061 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 13525335 MAIL ADDRESS: STREET 1: 100 N.E. 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 3 1 edgar.xml PRIMARY DOCUMENT X0206 3 2013-01-01 0 0000018230 CATERPILLAR INC CAT 0001307061 Halverson Bradley M 100 N.E. ADAMS STREET PEORIA IL 61629 0 1 0 0 Group President Common Stock 18964 D Employee Stock Option 45.6425 2005-02-18 2015-02-18 Common Stock 21000 D Employee Stock Option 72.05 2009-02-17 2016-02-17 Common Stock 17000 D Employee Stock Option 63.04 2010-03-02 2017-03-02 Common Stock 9935 D Employee Stock Option 73.20 2011-03-03 2018-03-03 Common Stock 9306 D Employee Stock Option 22.17 2012-03-02 2019-03-02 Common Stock 14092 D Employee Stock Option 57.85 2013-03-01 2020-03-01 Common Stock 9449 D Employee Stock Option 102.13 2014-03-07 2021-03-07 Common Stock 22696 I By Halverson Children's Trust Employee Stock Option 110.09 2015-03-05 2022-03-05 Common Stock 21416 I By Halverson Children's Trust Phantom Stock Units Common Stock 8633 D Restricted Stock Units Common Stock 2500 D Restricted Stock Units 2013-03-01 2013-03-01 Common Stock 458 D 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. Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. Represents restricted stock units (RSUs) awarded pursuant to the Caterpillar Inc. 2006 Long -Term Incentive Plan. Each RSU award vests in three equal annual installments beginning on the third anniversary of the initial grant date of May 1, 2012. Each RSU represents the contingent right to receive one share of Caterpillar Inc. common stock. Bradley M. Halverson; S. R. Underwood, POA 2013-01-11