0000018230-16-000725.txt : 20161114 0000018230-16-000725.hdr.sgml : 20161111 20161114131736 ACCESSION NUMBER: 0000018230-16-000725 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161110 FILED AS OF DATE: 20161114 DATE AS OF CHANGE: 20161114 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: OBERHELMAN DOUGLAS R CENTRAL INDEX KEY: 0001171770 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 161993118 MAIL ADDRESS: STREET 1: 100 NE ADAMS STREET CITY: PEORIA STATE: IL ZIP: 61629 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2016-11-10 0000018230 CATERPILLAR INC CAT 0001171770 OBERHELMAN DOUGLAS R 100 N.E. ADAMS STREET PEORIA IL 61629 0 1 0 0 CEO & Chairman of the Board Common Stock 2016-11-10 4 M 0 55484 73.20 A 246078 D Common Stock 2016-11-10 4 D 0 43486 93.40 D 202592 D Common Stock 2016-11-10 4 F 0 5483 93.40 D 197109 D Common Stock 35424 I Held by 401(k) Plan Stock Appreciation Right 73.20 2016-11-10 4 M 0 55484 0 D 2011-03-03 2018-03-03 Common Stock 55484 60000 D The information in this report is based on a 401(k) Plan statement dated as of 09/30/2016. Douglas R. Oberhelman; G. Acker POA 2016-11-14