0000018230-16-000598.txt : 20160705 0000018230-16-000598.hdr.sgml : 20160705 20160705145829 ACCESSION NUMBER: 0000018230-16-000598 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160630 FILED AS OF DATE: 20160705 DATE AS OF CHANGE: 20160705 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: DICKINSON DANIEL M CENTRAL INDEX KEY: 0001264714 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 161750084 MAIL ADDRESS: STREET 1: THAYER CAPITAL PARTNERS STREET 2: 1455 PENNSYLVANIA AVENUE NW, STE 350 CITY: WASHINGTON STATE: DC ZIP: 20004 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2016-06-30 0000018230 CATERPILLAR INC CAT 0001264714 DICKINSON DANIEL M 100 N.E. ADAMS STREET PEORIA IL 61629 1 0 0 0 Phantom Stock Units 2016-06-30 4 A 0 501 74.91 A Common Stock 501 23176 D Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. Phantom stock units awarded or acquired in lieu of director cash compensation. The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Includes adjustments for dividends accrued. Daniel M. Dickinson; G. Acker, POA 2016-07-05