0000018230-16-000475.txt : 20160322 0000018230-16-000475.hdr.sgml : 20160322 20160322132819 ACCESSION NUMBER: 0000018230-16-000475 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160318 FILED AS OF DATE: 20160322 DATE AS OF CHANGE: 20160322 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: 161520677 MAIL ADDRESS: STREET 1: 100 N.E. ADAMS STREET CITY: PEORIA STATE: IL ZIP: 61629-6490 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2016-03-18 0000018230 CATERPILLAR INC CAT 0001566320 Umpleby III Donald J 100 N.E. ADAMS STREET PEORIA IL 61629 0 1 0 0 Group President Common Stock 2016-03-18 4 M 0 1200 63.04 A 35351 D Common Stock 2016-03-18 4 D 0 998 75.79 D 34353 D Common Stock 2016-03-18 4 F 0 63 75.79 D 34290 D Common Stock 824 I Held by 401(k) Plan Stock Appreciation Right 63.04 2016-03-18 4 M 0 1200 0 D 2010-03-02 2017-03-02 Common Stock 1200 2141 D The number of shares in this column has been adjusted from the reporting person's previous Form 4 to account for dividend reinvestment. The information in this report is based on a 401(k) Plan statement dated as of 12/31/2015. D. J. Umpleby III; G. Acker, POA 2016-03-22