0000018230-12-000421.txt : 20120905 0000018230-12-000421.hdr.sgml : 20120905 20120905140814 ACCESSION NUMBER: 0000018230-12-000421 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120831 FILED AS OF DATE: 20120905 DATE AS OF CHANGE: 20120905 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: 121073507 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 X0306 4 2012-08-31 0000018230 CATERPILLAR INC CAT 0001171770 OBERHELMAN DOUGLAS R 100 N.E. ADAMS STREET PEORIA IL 61629 1 1 0 0 CEO & Chairman of the Board Common 143825 D Phantom Stock Units 2012-08-31 4 A 0 141 0 A Common 141 53543 D This amount includes 29683 shares in 401K and 9256 shares in dividend reinvestment. Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. 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. Includes 412 units acquired under Tax-Conditioned Plans. D. R. Oberhelman; L.J. Huxtable, POA 2012-09-05