0000018230-13-000191.txt : 20130401 0000018230-13-000191.hdr.sgml : 20130401 20130401180227 ACCESSION NUMBER: 0000018230-13-000191 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130328 FILED AS OF DATE: 20130401 DATE AS OF CHANGE: 20130401 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: OBERHELMAN DOUGLAS R CENTRAL INDEX KEY: 0001171770 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 13732701 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 2013-03-28 0000018230 CATERPILLAR INC CAT 0001171770 OBERHELMAN DOUGLAS R 100 N.E. ADAMS STREET PEORIA IL 61629 1 1 0 0 CEO & Chairman of the Board Phantom Stock Units 2013-03-28 4 A 0 138 86.97 A Common Stock 138 55123 D Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. Includes 92 phantom stock units which were credited to the Reporting Person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $86.97 and 46 phantom stock units that were contributed to the Reporting Person's account pursuant to the terms of the Plan for no consideration. 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. Includes 598 phantom stock units acquired under Tax-Conditioned Plans. Douglas R. Oberhelman; S.R. Underwood, POA 2013-04-01