0000018230-16-000514.txt : 20160503 0000018230-16-000514.hdr.sgml : 20160503 20160503192454 ACCESSION NUMBER: 0000018230-16-000514 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160429 FILED AS OF DATE: 20160503 DATE AS OF CHANGE: 20160503 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: Halverson Bradley M CENTRAL INDEX KEY: 0001307061 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 161617049 MAIL ADDRESS: STREET 1: 100 N.E. ADAMS STREET CITY: PEORIA STATE: IL ZIP: 61629 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2016-04-29 0000018230 CATERPILLAR INC CAT 0001307061 Halverson Bradley M 100 N.E. ADAMS STREET PEORIA IL 61629 0 1 0 0 Group President & CFO Common Stock 2016-04-29 4 S 0 184 78.08 D 17296 I Held by Mindy Halverson Trust Common Stock 2016-05-01 4 F 0 260 77.35 D 12051 D Common Stock 2016-05-03 4 S 0 694 76.53 D 11357 D Common Stock 10660 I Held by 401(k) plan Represents shares withheld from the reporting person solely to satisfy tax obligations arising from the vesting of restricted stock units granted on 05/01/2012, of which one-third vested on 05/01/2016. The information in this report is based on a 401(k) Plan statement dated as of 03/31/2016. Bradley M. Halverson; G. Acker, POA 2016-05-03