0000018230-13-000428.txt : 20131002
0000018230-13-000428.hdr.sgml : 20131002
20131002114557
ACCESSION NUMBER: 0000018230-13-000428
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20130930
FILED AS OF DATE: 20131002
DATE AS OF CHANGE: 20131002
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
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Bozeman David P
CENTRAL INDEX KEY: 0001575959
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-00768
FILM NUMBER: 131129133
MAIL ADDRESS:
STREET 1: 100 NE ADAMS STREET
CITY: PEORIA
STATE: IL
ZIP: 61629
4
1
edgar.xml
PRIMARY DOCUMENT
X0306
4
2013-09-30
0000018230
CATERPILLAR INC
CAT
0001575959
Bozeman David P
100 N.E. ADAMS STREET
PEORIA
IL
61629
0
1
0
0
Senior Vice President
Phantom Stock Units
2013-09-30
4
A
0
15
83.40
A
Common Stock
15
783
D
Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock.
This total includes 8 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 $83.40 and 7 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 are to be settled 100% in cash upon the reporting person's retirement or separation from service.
David P Bozeman; S R Underwood, POA
2013-10-02