0000018230-15-000335.txt : 20151103
0000018230-15-000335.hdr.sgml : 20151103
20151103152135
ACCESSION NUMBER: 0000018230-15-000335
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20151030
FILED AS OF DATE: 20151103
DATE AS OF CHANGE: 20151103
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: OBERHELMAN DOUGLAS R
CENTRAL INDEX KEY: 0001171770
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-00768
FILM NUMBER: 151193501
MAIL ADDRESS:
STREET 1: 100 NE ADAMS STREET
CITY: PEORIA
STATE: IL
ZIP: 61629
4
1
edgar.xml
PRIMARY DOCUMENT
X0306
4
2015-10-30
0000018230
CATERPILLAR INC
CAT
0001171770
OBERHELMAN DOUGLAS R
100 N.E. ADAMS STREET
PEORIA
IL
61629
1
1
0
0
CEO & Chairman of the Board
Common Stock
2015-10-26
5
G
0
3765
0
D
190032
D
Common Stock
33603
I
Held by 401(k) Plan
Phantom Stock Units
2015-10-30
4
A
0
165
72.99
A
Common Stock
165
69919
D
The information in this report is based on a 401(k) Plan statement dated as of 09/30/2015.
Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock.
This total includes 110 shares that were credited to the reporting person's account under the Caterpillar Inc. Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $72.99 and 55 shares that were 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 Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service.
Douglas R. Oberhelman; G. Acker POA
2015-11-03