-----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, P/P6x/PW0ApFVnwx5BkbLWJW9J45lKGD6Wn6YGq1IDgsbGYTl6/lEdtAEm2GsQUC nkgTJHmTfVsJnxqCI4PiAQ== 0000018230-08-000434.txt : 20081211 0000018230-08-000434.hdr.sgml : 20081211 20081211160024 ACCESSION NUMBER: 0000018230-08-000434 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20081210 FILED AS OF DATE: 20081211 DATE AS OF CHANGE: 20081211 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: 081243593 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 X0303 4 2008-12-10 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 2008-12-10 4 M 0 3208 31.1719 A 187124 D Common 2008-12-10 4 F 0 2276 43.925 D 184848 D Common 2008-12-10 4 M 0 96792 31.1719 A 281640 D Common 2008-12-10 4 F 0 79775 43.925 D 201865 D Common 121044 I Held in Revocable Trust Common 2400 I Grandchildren's Trust Phantom Stock Units Common 6617 6617 D Employee Stock Option 31.1719 2008-12-10 4 M 0 3208 0 D 2009-06-08 Common 3208 0 D Employee Stock Option 31.1719 2008-12-10 4 M 0 96792 0 D 2009-06-08 Common 96792 0 D This amount includes 30,337 shares in 401K. 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. (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. James W. Owens; L.J. Huxtable, POA 2008-12-11 -----END PRIVACY-ENHANCED MESSAGE-----