-----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, GnvF7eJ8WZaqB3+jVVlOGGddZdLRgpGey71QdkiF1sWa/3R9diF38KhH94bzSxsM 5xk3cH1WSMhS1ksYhggYUw== 0000018230-10-000153.txt : 20100304 0000018230-10-000153.hdr.sgml : 20100304 20100304135259 ACCESSION NUMBER: 0000018230-10-000153 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100302 FILED AS OF DATE: 20100304 DATE AS OF CHANGE: 20100304 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: OBERHELMAN DOUGLAS R CENTRAL INDEX KEY: 0001171770 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 10656620 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 2010-03-02 0000018230 CATERPILLAR INC CAT 0001171770 OBERHELMAN DOUGLAS R 100 N.E. ADAMS STREET PEORIA IL 61629-7220 0 1 0 0 Vice Chairman & CEO-Elect Common 2010-03-02 4 M 0 4832 A 84861 D Common 2010-03-02 4 F 0 1907 58.42 D 82954 D Phantom Stock Units Common 0 41747 D Restricted Stock Units 2010-03-02 4 M 0 4832 D 2010-03-02 2010-03-02 Common 4832 0 D This amount includes 27,094 shares in 401K and 7975 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. Each restricted stock unit represents the equivalent of one share of Caterpillar common stock. On March 2, 2010, the reporting person's restricted stock units were settled for an equal number of shares of Caterpillar common stock. Amount reflects shares surrendered to satisfy tax withholding requirements upon the vesting of restricted stock units. D. R. Oberhelman; L.J. Huxtable, POA 2010-03-04 -----END PRIVACY-ENHANCED MESSAGE-----