0000018230-12-000107.txt : 20120306 0000018230-12-000107.hdr.sgml : 20120306 20120306171404 ACCESSION NUMBER: 0000018230-12-000107 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120302 FILED AS OF DATE: 20120306 DATE AS OF CHANGE: 20120306 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: 12671451 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 X0304 4 2012-03-02 0000018230 CATERPILLAR INC CAT 0001171770 OBERHELMAN DOUGLAS R 100 N.E. ADAMS STREET PEORIA IL 61629-7220 1 1 0 0 CEO & Chairman of the Board Common 2012-03-02 4 M 0 7335 A 127800 D Common 2012-03-02 4 F 0 3041 112.87 D 124759 D Phantom Stock Units Common 0 46828 D Restricted Stock Units 2012-03-02 4 M 0 7335 D 2012-03-02 2012-03-02 Common 7335 0 D Represents the vesting of restricted stock units granted to the reporting person on March 2, 2009. Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 2, 2012, the reporting person's restricted stock units were setted for an equal number of shares of Caterpillar Inc. common stock. This amount includes 29114 shares in 401K and 8963 shares in dividend reinvestment and 8 shares resulting from a calculation adjustment. Amount reflects shares surrendered to satisfy tax withholding requirements upon the vesting of restricted stock units. The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled 100% in cash upon the reporting person's retirement or separation from service. Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. D. R. Oberhelman; L.J. Huxtable, POA 2012-03-06