0000018230-14-000157.txt : 20140501 0000018230-14-000157.hdr.sgml : 20140501 20140501175913 ACCESSION NUMBER: 0000018230-14-000157 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140429 FILED AS OF DATE: 20140501 DATE AS OF CHANGE: 20140501 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: Halverson Bradley M CENTRAL INDEX KEY: 0001307061 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 14806298 MAIL ADDRESS: STREET 1: 100 N.E. ADAMS STREET CITY: PEORIA STATE: IL ZIP: 61629 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2014-04-29 0000018230 CATERPILLAR INC CAT 0001307061 Halverson Bradley M 100 N.E. ADAMS STREET PEORIA IL 61629 0 1 0 0 Group President & CFO Common Stock 2014-04-29 4 M 0 11000 45.6425 A 31835 D Common Stock 2014-04-29 4 S 0 11000 104.6034 D 20835 D Common Stock 2014-04-29 4 M 0 17000 72.05 A 37835 D Common Stock 2014-04-29 4 D 0 11717 104.5083 D 26118 D Common Stock 2014-04-29 4 S 0 5283 104.5083 D 20835 D Common Stock 2014-04-29 4 S 0 3355 104.80 D 17480 I By Mindy Halverson Trust Employee Stock Options 45.6425 2014-04-29 4 M 0 11000 0 D 2015-02-18 Common Stock 11000 0 D Stock Aprreciation Right 72.05 2014-04-29 4 M 0 17000 0 D 2009-02-17 2016-02-17 Common stock 17000 0 D Exercisable in thirds beginning 1 year after the initial grant date. (1/3 after one year; 1/3 after two years; 1/3 after 3 years). Bradley M. Halverson; S.R. Underwood, POA 2014-05-01