0000018230-14-000167.txt : 20140502 0000018230-14-000167.hdr.sgml : 20140502 20140502123932 ACCESSION NUMBER: 0000018230-14-000167 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140430 FILED AS OF DATE: 20140502 DATE AS OF CHANGE: 20140502 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: RUST EDWARD B JR CENTRAL INDEX KEY: 0001196159 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 14808168 MAIL ADDRESS: STREET 1: MCGRAW-HILL COMPANIES STREET 2: 1221 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10020 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2014-04-30 0000018230 CATERPILLAR INC CAT 0001196159 RUST EDWARD B JR 100 N.E. ADAMS STREET PEORIA IL 61629 1 0 0 0 Phantom Stock Units 2014-04-30 4 A 0 138 0 A Common Stock 138 24071 D Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. Phantom stock units awarded or acquired in lieu of director cash compensation. The phantom stock units were acquired under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Edward B. Rust, Jr.; S.R. Underwood, POA 2014-05-02