-----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, PhhD6pN8Y0NmcFfutLU3/thAMp6Y9ejvnMzSMHJyW0rdDNb6yY1ZtvH+t5WzaFGL h4Bjph4nzdXE0HS8rrknkA== 0000018230-04-000018.txt : 20040106 0000018230-04-000018.hdr.sgml : 20040106 20040106102831 ACCESSION NUMBER: 0000018230-04-000018 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: HAEFELI HANS A CENTRAL INDEX KEY: 0001273770 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 04508066 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 0001273770 HAEFELI HANS A FRANK PERKINS WAY EASTFIELD PETERBOROUGH, U.K. PE1 5NA 0100Vice PresidentCommon4922DOption (NQ)55.68751998-06-092008-06-09C ommon6000DOption (NQ)62.34381999-06-082009-06-08Common6228DOption (NQ)< /value>62.34381999-06-082009-06-08Common772DOption (NQ)38.40632000-06-122010-06-12Common3000DOption (NQ)53.532001-06-122011-06-12Common8000DOption (NQ)50.7152002-06-112012-06-11Common8500DOption (NQ)54.2852003-06-102013-06-10Common7860DExercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs.Stock Option (right to buy) granted under company's 1996 Stock Option Plan.This amount includes 1948 shares in EIP and 75 shares in dividend reinvestment.Hans. A. Haefeli; L.J. Huxtable, POA2004-01-06 -----END PRIVACY-ENHANCED MESSAGE-----