0000018230-15-000117.txt : 20150310 0000018230-15-000117.hdr.sgml : 20150310 20150310174603 ACCESSION NUMBER: 0000018230-15-000117 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150302 FILED AS OF DATE: 20150310 DATE AS OF CHANGE: 20150310 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Pellette Thomas A CENTRAL INDEX KEY: 0001628013 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 15690335 MAIL ADDRESS: STREET 1: 100 NE ADAMS STREET CITY: PEORIA STATE: IL ZIP: 61629 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2015-03-02 0000018230 CATERPILLAR INC CAT 0001628013 Pellette Thomas A 100 N.E. ADAMS STREET PEORIA IL 61629 0 1 0 0 Group President Phantom Stock Units 2015-03-06 4 A 0 407 80.06 A Common 407 807 D Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. This total includes 271 shares where was credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $80.06 and 136 shares that was contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. T. A. Pellette; S.R. Underwood, POA 2015-03-10