-----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, HKPZl5BufiyqpT50EaEWeJ5OiNsexL22zIbckCYQtoVClHqshaKkDvmENpcjVOhA Ioj5/BV+vnUfEa4nQWJL8g== 0000018230-07-000265.txt : 20070403 0000018230-07-000265.hdr.sgml : 20070403 20070403135522 ACCESSION NUMBER: 0000018230-07-000265 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070402 FILED AS OF DATE: 20070403 DATE AS OF CHANGE: 20070403 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: OWENS JAMES W CENTRAL INDEX KEY: 0001171767 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 07743162 BUSINESS ADDRESS: BUSINESS PHONE: 3096754610 MAIL ADDRESS: STREET 1: 100 NE ADAMS STREET CITY: PEORIA STATE: IL ZIP: 61629 4 1 edgar.xml PRIMARY DOCUMENT X0202 4 2007-04-02 0000018230 CATERPILLAR INC CAT 0001171767 OWENS JAMES W 100 N.E. ADAMS STREET PEORIA IL 61629-7230 1 1 0 0 Chairman of the Board/CEO Common 2007-04-02 4 A 0 5000 66.585 A 156775 D Common 117006 I Held in revocable trust Phantom Stock Units 0 Common 6428 6428 D This amount includes 29,371 shares in 401K and 1 share in dividend reinvestment. Restricted stock awarded pursuant to Caterpillar Inc. 2006 Long-Term Incentive Plan. 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 separation from service. The SEIP shares previously reported under Table I are now reported under Table II as derivative securities. James W. Owens; L.J. Huxtable, POA 2007-04-03 -----END PRIVACY-ENHANCED MESSAGE-----