-----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, MToZdHU2tPyZ4weNxK6cGpUYFgO9+pPHt29dF/Zkf2Z3O5WZ+Vb81Eniq2krDOdS 5YOC9+ZmGVBpPqga1RqnSA== 0000018230-09-000317.txt : 20090805 0000018230-09-000317.hdr.sgml : 20090805 20090805120323 ACCESSION NUMBER: 0000018230-09-000317 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090804 FILED AS OF DATE: 20090805 DATE AS OF CHANGE: 20090805 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MAGOWAN PETER A CENTRAL INDEX KEY: 0001171799 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 09986210 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 X0303 4 2009-08-04 0000018230 CATERPILLAR INC CAT 0001171799 MAGOWAN PETER A 100 PINE STREET, SUITE 2700 SAN FRANCISCO CA 94111 1 0 0 0 Common 2009-08-04 4 M 0 8000 21.875 A 297666 D Common 2009-08-04 4 F 0 3748 46.68 D 293918 D Common 2009-08-04 4 M 0 8000 22.755 A 301918 D Common 2009-08-04 4 F 0 3899 46.68 D 298019 D Common 2009-08-04 4 M 0 8000 29.4325 A 306019 D Common 2009-08-04 4 F 0 5044 46.68 D 300975 D Common 2009-08-04 4 M 0 8000 26.03 A 308975 D Common 2009-08-04 4 F 0 4461 46.68 D 304514 D Phantom Stock Units Common 0 17752 D Employee Stock Option 21.875 2009-08-04 4 M 0 8000 0 D 2010-04-12 Common 8000 0 D Employee Stock Option 22.755 2009-08-04 4 M 0 8000 0 D 2011-04-11 Common 8000 0 D Employee Stock Option 29.4325 2009-08-04 4 M 0 8000 0 D 2012-04-10 Common 8000 0 D Employee Stock Option 26.03 2009-08-04 4 M 0 8000 0 D 2013-04-09 Common 8000 0 D This amount includes 4417 shares in dividend reinvestment. Security converts to common stock on a one-for-one basis. The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in July 2009 at a price of $43.735 per share. (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. Peter A. Magowan; L. J. Huxtable, POA 2009-08-05 -----END PRIVACY-ENHANCED MESSAGE-----