0000018230-17-000020.txt : 20170104
0000018230-17-000020.hdr.sgml : 20170104
20170104165502
ACCESSION NUMBER: 0000018230-17-000020
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20161230
FILED AS OF DATE: 20170104
DATE AS OF CHANGE: 20170104
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: 17506515
MAIL ADDRESS:
STREET 1: 100 NE ADAMS STREET
CITY: PEORIA
STATE: IL
ZIP: 61629
4
1
edgar.xml
PRIMARY DOCUMENT
X0306
4
2016-12-30
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
Phantom Stock Units
2016-12-30
4
A
0
129
92.74
A
Common Stock
129
71724
D
Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock.
This total includes 86 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $92.74 and 43 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 retirment or separation from service.
Douglas R. Oberhelman; G. Acker POA
2017-01-04