0000018230-13-000434.txt : 20131015 0000018230-13-000434.hdr.sgml : 20131014 20131015090518 ACCESSION NUMBER: 0000018230-13-000434 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131010 FILED AS OF DATE: 20131015 DATE AS OF CHANGE: 20131015 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: LEVENICK STUART L CENTRAL INDEX KEY: 0001171796 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 131150453 MAIL ADDRESS: STREET 1: 100 NE ADAMS STREET CITY: PEORIA STATE: IL ZIP: 61629 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2013-10-10 0000018230 CATERPILLAR INC CAT 0001171796 LEVENICK STUART L 100 N.E. ADAMS STREET PEORIA IL 61629 0 1 0 0 Group President Common Stock 2013-09-20 5 G 0 1500 0 D 142055 D Common Stock 2013-10-10 4 M 0 130000 45.64 A 272055 D Common Stock 2013-10-10 4 F 0 98282 84.51 D 173773 D Employee Stock Option 45.64 2013-10-10 4 M 0 130000 0 D 2005-02-18 2015-02-17 Common Stock 130000 0 D Right to buy with tandem tax withholding rights. This option was previously reported as covering 65,000 shares at an exercise price of $91.285 per share, but was adjusted to reflect the stock split that occurred on June 22, 2005 S. L. Levenick; S.R. Underwood, POA 2013-10-15