0000018230-14-000338.txt : 20140903
0000018230-14-000338.hdr.sgml : 20140903
20140903142402
ACCESSION NUMBER: 0000018230-14-000338
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20140829
FILED AS OF DATE: 20140903
DATE AS OF CHANGE: 20140903
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: Bozeman David P
CENTRAL INDEX KEY: 0001575959
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-00768
FILM NUMBER: 141080090
MAIL ADDRESS:
STREET 1: 100 NE ADAMS STREET
CITY: PEORIA
STATE: IL
ZIP: 61629
4
1
edgar.xml
PRIMARY DOCUMENT
X0306
4
2014-08-29
0000018230
CATERPILLAR INC
CAT
0001575959
Bozeman David P
100 N.E. ADAMS STREET
PEORIA
IL
61629
0
1
0
0
Senior Vice President
Phantom Stock Units
2014-08-29
4
A
0
12
109.07
A
Common Stock
12
1021
D
Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock.
This total includes 6 shares where was credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $109.07 and 6 shares that was contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.
The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service.
David P Bozeman; S R Underwood, POA
2014-09-03