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