0000018230-13-000507.txt : 20131204 0000018230-13-000507.hdr.sgml : 20131204 20131204143329 ACCESSION NUMBER: 0000018230-13-000507 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130318 FILED AS OF DATE: 20131204 DATE AS OF CHANGE: 20131204 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: WUNNING STEVEN H CENTRAL INDEX KEY: 0001171788 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 131256841 MAIL ADDRESS: STREET 1: 100 NE ADAMS STREET CITY: PEORIA STATE: IL ZIP: 61629 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2013-03-18 0000018230 CATERPILLAR INC CAT 0001171788 WUNNING STEVEN H 100 N.E. ADAMS STREET PEORIA IL 61629 0 1 0 0 Group President Common Stock 2013-03-18 5 G 0 1315 0 A 83150 D Phantom Stock Units Common Stock 0 23782 D Includes adjustments for shares acquired under Caterpillar Inc.'s 401(k) plan. Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. 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 phantom stock units acquired under Tax-Conditioned Plan. S. H. Wunning; S.R. Underwood, POA 2013-12-04