0000018230-16-000553.txt : 20160617 0000018230-16-000553.hdr.sgml : 20160617 20160617160500 ACCESSION NUMBER: 0000018230-16-000553 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160304 FILED AS OF DATE: 20160617 DATE AS OF CHANGE: 20160617 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: 161720185 MAIL ADDRESS: STREET 1: 100 NE ADAMS STREET CITY: PEORIA STATE: IL ZIP: 61629 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2016-03-04 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 2016-03-04 4 A 0 841 72.84 A Common Stock 841 4465 D Each phatom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. Inadvertently filed late due to an administrative error. 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; G. Acker, POA 2016-06-17