-----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, C7aVNQcko64Kp33rrfuYQzwPEnOlpDzJnt04zppZceivNKchywyVybfOxpFIlQXm TYcUHL9GoEvZJqIR9SZbnQ== 0000018230-08-000095.txt : 20080304 0000018230-08-000095.hdr.sgml : 20080304 20080304154118 ACCESSION NUMBER: 0000018230-08-000095 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080303 FILED AS OF DATE: 20080304 DATE AS OF CHANGE: 20080304 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: 08663552 BUSINESS ADDRESS: BUSINESS PHONE: 3096754610 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 4 1 edgar.xml PRIMARY DOCUMENT X0202 4 2008-03-03 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 2008-03-03 4 F 0 2631 72.92 D 187452 D Common 2400 I Grandchildren's Trust Common 117006 I Held in Revocable Trust Phantom Stock Units Common 6507 6507 D Stock Appreciation Right 73.20 2008-03-03 4 A 0 334288 0 A 2018-03-03 Common 334288 334288 D Restricted Stock Units 2008-03-03 4 A 0 14193 0 A Common 14193 14193 D This amount includes 29,835 shares in 401K and 1 share 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 separation from service. The restricted stock units and stock appreciation rights vest on March 3, 2011. Each restricted stock unit represents a contingent right to receive one share of Caterpillar common stock. Amount reflects shares sold to satisfy tax withholding requirements upon the vesting of previously restricted stock. James W. Owens; L.J. Huxtable, POA 2008-03-04 -----END PRIVACY-ENHANCED MESSAGE-----