0000018230-16-000555.txt : 20160617 0000018230-16-000555.hdr.sgml : 20160617 20160617161317 ACCESSION NUMBER: 0000018230-16-000555 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160129 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: Johnson Denise C CENTRAL INDEX KEY: 0001608229 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 161720276 MAIL ADDRESS: STREET 1: C/O CATERPILLAR, INCORPORATED STREET 2: 901 WEST WASHINGTON, CV41110 CITY: EAST PEORIA STATE: IL ZIP: 61630 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2016-01-29 0000018230 CATERPILLAR INC CAT 0001608229 Johnson Denise C 100 N.E. ADAMS STREET PEORIA IL 61629 0 1 0 0 Group President Phantom Stock Units 2016-01-29 4 A 0 41 62.24 A Common Stock 41 169 D Phantom Stock Units 2016-02-29 4 A 0 37 67.70 A Common Stock 37 206 D Phantom Stock Units 2016-03-04 4 A 0 2152 72.84 A Common Stock 2152 2358 D Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. Inadvertently filed late due to an administrative error. This total includes 39 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 $62.24 and 2 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. This total includes 35 shares that were credited to the reporting person's account under the Plan at a price per share of $67.70 and 2 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. This total includes1850 shares that were credited to the reporting person's account under the Plan at a price per share of $72.84 and 302 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. D.C. Johnson; G. Acker, POA 2016-06-17