0000018230-11-000102.txt : 20110304 0000018230-11-000102.hdr.sgml : 20110304 20110304160730 ACCESSION NUMBER: 0000018230-11-000102 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110303 FILED AS OF DATE: 20110304 DATE AS OF CHANGE: 20110304 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BUDA JAMES B CENTRAL INDEX KEY: 0001171771 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 11664723 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 2011-03-03 0000018230 CATERPILLAR INC CAT 0001171771 BUDA JAMES B 100 N.E. ADAMS STREET PEORIA IL 61629-7310 0 1 0 0 Sr. VP & Chief Legal Officer Common 2011-03-03 4 M 0 2450 A 43610 D Common 2011-03-03 4 F 0 1016 103.215 D 42594 D Phantom Stock Units Common 0 15765 D Restricted Stock Units 2011-03-03 4 M 0 2450 D 2011-03-03 2011-03-03 Common 2450 0 D This amount includes 16,254 shares in 401K and 4324 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 3, 2011, 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. J. B. Buda; L.J. Huxtable, POA 2011-03-04