0000018230-16-000522.txt : 20160503 0000018230-16-000522.hdr.sgml : 20160503 20160503194441 ACCESSION NUMBER: 0000018230-16-000522 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160502 FILED AS OF DATE: 20160503 DATE AS OF CHANGE: 20160503 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: Bozeman David P CENTRAL INDEX KEY: 0001575959 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 161617094 MAIL ADDRESS: STREET 1: 100 NE ADAMS STREET CITY: PEORIA STATE: IL ZIP: 61629 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2016-05-02 0000018230 CATERPILLAR INC CAT 0001575959 Bozeman David P 100 N.E. ADAMS STREET PEORIA IL 61629 0 1 0 0 Senior Vice President Common Stock 2016-05-02 4 F 0 52 77.35 D 24260 D Common Stock 1298 I Held by 401(k) Plan Represents shares withheld from the reporting person solely to satisfy tax obligations arising from the vesting of restricted stock units granted on 05/02/2011, of which one-third vested on 05/02/2016. The number of shares in this column has been adjusted from the reporting person's previous Form 4 to account for dividend reinvestment. The information in this report is based on a 401(k) Plan statement dated as of 03/31/2016. David P. Bozeman; G. Acker, POA 2016-05-03