-----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, FgahMtY0ewhlaS/nKweGsvAmZ08YcM9qlyOZPJ60NQOC1Ckkds3gd4W1ARs5vYcW 9ItByhBjEvq+rnx+aqWFPQ== 0000018230-07-000385.txt : 20070726 0000018230-07-000385.hdr.sgml : 20070726 20070726092209 ACCESSION NUMBER: 0000018230-07-000385 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070725 FILED AS OF DATE: 20070726 DATE AS OF CHANGE: 20070726 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: Halverson Bradley M CENTRAL INDEX KEY: 0001307061 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 071000936 BUSINESS ADDRESS: BUSINESS PHONE: (309) 675-4610 MAIL ADDRESS: STREET 1: 100 N.E. ADAMS STREET CITY: PEORIA STATE: IL ZIP: 61629 4 1 edgar.xml PRIMARY DOCUMENT X0202 4 2007-07-25 0000018230 CATERPILLAR INC CAT 0001307061 Halverson Bradley M 100 N.E. ADAMS STREET PEORIA IL 61629 0 1 0 0 Controller Common 2007-07-25 4 M 0 1500 31.1719 A 10383 D Common 2007-07-25 4 S 0 1500 80.1753 D 9049 I Owned by Wife's Trust Employee Stock Option 31.1719 2007-07-25 4 M 0 1500 0 D 2009-06-08 Common 1500 0 D Phantom Stock Units Common 748 748 D This amount includes 8883 shares in 401K. Beneficial ownership denied. 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. (Right to buy) with tandem tax withholding rights. Exercisable in thirds - 1/3 after 1 yr.; 1/3 after 2 yrs.; 1/3 after 3 yrs. Security converts to common stock on a one-for-one basis. Bradley M. Halverson; L.J. Huxtable, POA 2007-07-26 -----END PRIVACY-ENHANCED MESSAGE-----