0000018230-14-000039.txt : 20140204 0000018230-14-000039.hdr.sgml : 20140204 20140204141343 ACCESSION NUMBER: 0000018230-14-000039 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140131 FILED AS OF DATE: 20140204 DATE AS OF CHANGE: 20140204 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: RAPP EDWARD J CENTRAL INDEX KEY: 0001171780 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 14571506 MAIL ADDRESS: STREET 1: 100 NE ADAMS STREET CITY: PEORIA STATE: IL ZIP: 61629 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2014-01-31 0000018230 CATERPILLAR INC CAT 0001171780 RAPP EDWARD J 100 N.E. ADAMS STREET PEORIA IL 61629 0 1 0 0 Group President Common Stock 2014-01-31 4 M 0 30000 38.6275 A 85755 D Common Stock 2014-01-31 4 F 0 19791 93.35 D 65824 D Common Stock 2014-01-31 4 M 0 30000 38.6275 A 95824 D Common Stock 2014-01-31 4 S 0 30000 94.2366 D 65824 D Employee Stock Option 38.6275 2014-01-31 4 M 0 60000 0 D 2004-12-31 2014-06-08 Common Stock 60000 0 D Includes adjustments for dividends accrued and shares acquired under Caterpillar Inc.'s 401(k) plan. E. J. Rapp; S.R. Underwood, POA 2014-02-04