0000018230-15-000350.txt : 20151202 0000018230-15-000350.hdr.sgml : 20151202 20151202171557 ACCESSION NUMBER: 0000018230-15-000350 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20151130 FILED AS OF DATE: 20151202 DATE AS OF CHANGE: 20151202 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: Umpleby III Donald J CENTRAL INDEX KEY: 0001566320 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 151265527 MAIL ADDRESS: STREET 1: 100 N.E. ADAMS STREET CITY: PEORIA STATE: IL ZIP: 61629-6490 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2015-11-30 0000018230 CATERPILLAR INC CAT 0001566320 Umpleby III Donald J 100 N.E. ADAMS STREET PEORIA IL 61629 0 1 0 0 Group President Phantom Stock Units 2015-11-30 4 A 0 5431 72.65 A Common Stock 5431 187346 D Each phatom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and the Caterpillar Inc. Deferred Employees' Investment Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. D. J. Umpleby III; G. Acker, POA 2015-12-02