-----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, Ik7BPHl/zdJI8Q0HlnSiZxnWD+wgQzIG+fqxpOlOWxrnEzxFf8xElEHAFiaP+mQ8 ynjtXPa2HvGiUH9ZWD2QVA== 0000018230-09-000325.txt : 20090807 0000018230-09-000325.hdr.sgml : 20090807 20090807093631 ACCESSION NUMBER: 0000018230-09-000325 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090806 FILED AS OF DATE: 20090807 DATE AS OF CHANGE: 20090807 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LAVIN RICHARD P CENTRAL INDEX KEY: 0001171774 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 09993726 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 2009-08-06 0000018230 CATERPILLAR INC CAT 0001171774 LAVIN RICHARD P 100 N.E. ADAMS STREET PEORIA IL 61629 0 1 0 0 Group President Common 2009-08-06 4 M 0 20000 27.1425 A 68098 D Common 2009-08-06 4 S 0 20000 47.117 D 48098 D Common 4 I Custodian for Daughter Phantom Stock Units Common 0 15808 D Employee Stock Option 27.1425 2009-08-06 4 M 0 20000 0 D 2013-06-10 Common 20000 0 D This amount includes 12,682 shares in 401K and 165 shares 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. (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. R. P. Lavin; L.J. Huxtable, POA 2009-08-07 -----END PRIVACY-ENHANCED MESSAGE-----