0000018230-15-000315.txt : 20151002 0000018230-15-000315.hdr.sgml : 20151002 20151002153553 ACCESSION NUMBER: 0000018230-15-000315 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150930 FILED AS OF DATE: 20151002 DATE AS OF CHANGE: 20151002 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: Copeland Jananne A. CENTRAL INDEX KEY: 0001415606 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 151140042 MAIL ADDRESS: STREET 1: 100 N.E. ADAMS STREET CITY: PEORIA STATE: IL ZIP: 61629 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2015-09-30 0000018230 CATERPILLAR INC CAT 0001415606 Copeland Jananne A. 100 N.E. ADAMS STREET PEORIA IL 61629 0 1 0 0 Chief Accounting Officer Phantom Stock Units 2015-09-30 4 A 0 39 65.36 A Common Stock 39 2391 D Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. This total includes 26 shares that were credited to the reporting person's account under the Caterpillar Inc. Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $65.36 and 13 shares that were 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 Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. J. A. Copeland; G. Acker, POA 2015-10-02