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