0000018230-16-000438.txt : 20160309 0000018230-16-000438.hdr.sgml : 20160309 20160309152141 ACCESSION NUMBER: 0000018230-16-000438 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160307 FILED AS OF DATE: 20160309 DATE AS OF CHANGE: 20160309 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: Umpleby III Donald J CENTRAL INDEX KEY: 0001566320 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 161494335 MAIL ADDRESS: STREET 1: 100 N.E. ADAMS STREET CITY: PEORIA STATE: IL ZIP: 61629-6490 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2016-03-07 0000018230 CATERPILLAR INC CAT 0001566320 Umpleby III Donald J 100 N.E. ADAMS STREET PEORIA IL 61629 0 1 0 0 Group President Employee Stock Option 74.77 2016-03-07 4 A 0 114049 0 A 2026-03-07 Common Stock 114049 114049 D The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan and vest equally in 1/3 increments beginning on the first anniversary of the grant date. D. J. Umpleby III; G. Acker, POA 2016-03-09