0000018230-16-000646.txt : 20160902
0000018230-16-000646.hdr.sgml : 20160902
20160902114134
ACCESSION NUMBER: 0000018230-16-000646
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160831
FILED AS OF DATE: 20160902
DATE AS OF CHANGE: 20160902
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: 161867631
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
2016-08-31
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
2016-08-31
4
A
0
118
81.95
A
Common Stock
118
2647
D
Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock.
This total includes 78 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 $81.95and 40 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.
D.C. Johnson; G. Acker, POA
2016-09-02