0000018230-16-000477.txt : 20160322 0000018230-16-000477.hdr.sgml : 20160322 20160322134043 ACCESSION NUMBER: 0000018230-16-000477 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160318 FILED AS OF DATE: 20160322 DATE AS OF CHANGE: 20160322 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: OBERHELMAN DOUGLAS R CENTRAL INDEX KEY: 0001171770 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 161520700 MAIL ADDRESS: STREET 1: 100 NE ADAMS STREET CITY: PEORIA STATE: IL ZIP: 61629 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2016-03-18 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 Stock 2016-03-18 4 M 0 50884 63.04 A 246721 D Common Stock 2016-03-18 4 D 0 42323 75.79 D 204398 D Common Stock 2016-03-18 4 F 0 3912 75.79 D 200486 D Common Stock 2016-03-18 5 G 0 1847 0 D 198639 D Common Stock 33956 I Held by 401(k) Plan Stock Appreciation Right 63.04 2016-03-18 4 M 0 50884 0 D 2010-03-02 2017-03-02 Common Stock 50884 0 D The information in this report is based on a 401(k) Plan statement dated as of 12/31/2015. Douglas R. Oberhelman; G. Acker POA 2016-03-22