-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, DrYFUDX+6CSAEIkw2K4Ic5aJus3MBCsfK8xSptFfVNkEx+Ucx3fdGrt7YS2WZXkP qRIzX8dbry3E4JKexxbLjw== 0000018230-04-000017.txt : 20040106 0000018230-04-000017.hdr.sgml : 20040106 20040106102706 ACCESSION NUMBER: 0000018230-04-000017 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040101 FILED AS OF DATE: 20040106 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PFLEDERER MARK R CENTRAL INDEX KEY: 0001273772 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 04508065 MAIL ADDRESS: STREET 1: 100 NE ADAMS STREET CITY: PEORIA STATE: IL ZIP: 61629 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 3 1 edgar.xml PRIMARY DOCUMENT X0201 32004-01-01 0 0000018230 CATERPILLAR INC CAT 0001273772 PFLEDERER MARK R P. O. BOX 1875 PEORIA IL 61656-1875 0100Vice PresidentCommon5225DOption (ISO)30.15621995-06-062005-06-06 Common1000DOption (ISO)32.90621996-06-112006-06-11Common2140DOption (IS O)51.65621997-06-102007-06-10Common1934DOption (NQ)51.65621997-06-102007-06-10Common4366DOption (ISO)55.68751998-06-092008-06-09Common1795DOption (NQ)55.68751998-06-092008-06-09Common4505DOption (ISO)62.34381999-06-082009-06-08Common1604DOption (NQ)62.34381999-06-082009-06-08Common5816DOption (ISO)38.40632000-06-122010-06-12Common2601DOption (NQ)38.40632000-06-122010-06-12Common6438DOption (NQ)53.532001-06-122011-06-12Common9050DOption (NQ)50.7152002-06- 112012-06-11Common9000DOption (NQ)54.2852003-06-102013-06-10Common8660DPhantom Stock Units01988-08-081988-08-08Common4038DStock Option (right to buy) granted under company's 1996 Stock Option Plan.Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs.This amount includes 861 shares in 401K, 61 shares in SEIP and 26 shares in dividend reinvestment.Security converts to common stock on a one-for-one basis.The reported phantom stock units were acquired under Caterpillar Inc.'s deferred employee investment plan and will be settled upon the reporting person's retirement or other termination of service.Mark R. Pflederer; L.J. Huxtable, POA2004-01-06 -----END PRIVACY-ENHANCED MESSAGE-----