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