Schedule 13G

Filed by: STATE STREET CORP
Total Shares: 59,086,900
Subject Company: Caterpillar Inc. - View Complete Ownership History Backtest
Filed as of Date: 02/11/2015
Event Date: 02/11/2015
Overall % Ownership: 9.8
Theoretical performance if you bought this security on the day the filing was released.
Perf 1d Perf 5d Perf 1m Perf 6m Perf 1y Max Gain # Days to Max Gain Max Loss # Days to Max Loss
0.1439 -0.1319 -4.2321 -3.718 -23.2943 7.9851 70 -27.6661 240

Reporting Persons

Name Sole
Voting Power
Shared
Voting Power
Sole
Dispositive Power
Shared
Dispositive Power
Aggregate
Amount Owned
Percent
of class
IRS IDENTIFICATION NO OF THE ABOVE PERSON: 042456637 0 59,086,900 0 59,086,900 59,086,900 9.8%
STATE STREET BANK AND TRUST COMPANY ACTING IN VARIOUS CAPACITIES 0 36,572,037 0 36,572,037 36,572,037 6.0%
View Original Filing on Edgar's

Raw Filing Contents

0001519058-15-000076.txt : 20150211
0001519058-15-000076.hdr.sgml : 20150211
20150211173035
ACCESSION NUMBER:		0001519058-15-000076
CONFORMED SUBMISSION TYPE:	SC 13G
PUBLIC DOCUMENT COUNT:		1
FILED AS OF DATE:		20150211
DATE AS OF CHANGE:		20150211

SUBJECT COMPANY:	

	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

	FILING VALUES:
		FORM TYPE:		SC 13G
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	005-38237
		FILM NUMBER:		15600687

	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

FILED BY:		

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			STATE STREET CORP
		CENTRAL INDEX KEY:			0000093751
		STANDARD INDUSTRIAL CLASSIFICATION:	STATE COMMERCIAL BANKS [6022]
		IRS NUMBER:				042456637
		STATE OF INCORPORATION:			MA
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		SC 13G

	BUSINESS ADDRESS:	
		STREET 1:		ONE LINCOLN STREET
		CITY:			BOSTON
		STATE:			MA
		ZIP:			02111
		BUSINESS PHONE:		617 786-3000

	MAIL ADDRESS:	
		STREET 1:		ONE LINCOLN STREET
		CITY:			BOSTON
		STATE:			MA
		ZIP:			02111

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	STATE STREET Corp
		DATE OF NAME CHANGE:	20090218

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	STATE STREET CORP
		DATE OF NAME CHANGE:	19970424

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	STATE STREET BOSTON FINANCIAL CORP
		DATE OF NAME CHANGE:	19780525
SC 13G 1 cat.txt CAT
.. UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 ANNUAL FILING CATERPILLAR INC. (NAME OF ISSUER) COMMON STOCK (TITLE OF CLASS OF SECURITIES) 149123101 (CUSIP NUMBER) 12/31/2014 (DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT) CHECK THE APPROPRIATE BOX TO DESIGNATE THE RULE PURSUANT TO WHICH THIS SCHEDULE IS FILED: (X) RULE 13D-1 (B) ( ) RULE 13D-1 (C) ( ) RULE 13D-1 (D) *THE REMAINDER OF THIS COVER PAGE SHALL BE FILLED OUT FOR A REPORTING PERSON`S INITIAL FILING ON THIS FORM WITH RESPECT TO THE SUBJECT CLASS OF SECURITIES, AND FOR ANY SUBSEQUENT AMENDMENT CONTAINING INFORMATION WHICH WOULD ALTER THE DISCLOSURES PROVIDED IN A PRIOR COVER PAGE. THE INFORMATION REQUIRED IN THE REMAINDER OF THIS COVER PAGE SHALL NOT BE DEEMED TO BE "FILED" FOR THE PURPOSE OF SECTION 18 OF THE SECURITIES EXCHANGE ACT OF 1934 ("ACT") OR OTHERWISE SUBJECT TO THE LIABILITIES OF THAT SECTION OF THE ACT BUT SHALL BE SUBJECT TO ALL OTHER PROVISIONS OF THE ACT (HOWEVER, SEE THE NOTES). CUSIP NO: 149123101 13G Page 2 of 7 Pages 1. NAME OF REPORTING PERSON: STATE STREET CORPORATION I.R.S. IDENTIFICATION NO. OF THE ABOVE PERSON: 04-2456637 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP NOT APPLICABLE 3. SEC USE ONLY 4. CITIZENSHIP OR PLACE OF ORGANIZATION BOSTON, MASSACHUSETTS 5. SOLE VOTING POWER 0 SHARES 6. SHARED VOTING POWER 59,086,900 7. SOLE DISPOSITIVE POWER 0 8. SHARED DISPOSITIVE POWER 59,086,900 9. AGGREGATED AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 59,086,900 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES NOT APPLICABLE 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 9.8% 12. TYPE OF REPORTING PERSON HC CUSIP NO: 149123101 13G Page 3 of 7 Pages 1. NAME OF REPORTING PERSON: STATE STREET BANK AND TRUST COMPANY ACTING IN VARIOUS CAPACITIES I.R.S. IDENTIFICATION NO. OF THE ABOVE PERSON: 04-1867445 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP NOT APPLICABLE 3. SEC USE ONLY 4. CITIZENSHIP OR PLACE OF ORGANIZATION BOSTON, MASSACHUSETTS NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 5. SOLE VOTING POWER 0 SHARES 6. SHARED VOTING POWER 36,572,037 7. SOLE DISPOSITIVE POWER 0 8. SHARED DISPOSITIVE POWER 36,572,037 9. AGGREGATED AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 36,572,037 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES NOT APPLICABLE 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 6.0% 12. TYPE OF REPORTING PERSON BK CUSIP NO: 149123101 13G Page 4 of 7 Pages ITEM 1. (A) NAME OF ISSUER CATERPILLAR INC. (B) ADDRESS OF ISSUER`S PRINCIPAL EXECUTIVE OFFICES 100 NE ADAMS ST PEORIA, IL 61629 ITEM 2. (A) NAME OF PERSON FILING STATE STREET CORPORATION AND ANY OTHER REPORTING PERSON IDENTIFIED ON THE SECOND PART OF THE COVER PAGES HERETO (B) ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IN NONE, RESIDENCE STATE STREET FINANCIAL CENTER ONE LINCOLN STREET BOSTON, MA 02111 (FOR ALL REPORTING PERSONS) (C) CITIZENSHIP: SEE ITEM 4 (CITIZENSHIP OR PLACE OF ORGANIZATION) OF COVER PAGES (D) TITLE OF CLASS OF SECURITIES COMMON STOCK (E) CUSIP NUMBER: 149123101 ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULE 13D-1(B), OR 13D-2(B) OR (C), CHECK WHETHER THE PERSON FILING IS A: SEE ITEM 12 (TYPE OF REPORTING PERSON) OF THE COVER PAGE FOR EACH REPORTING PERSON AND THE TABLE BELOW, WHICH EXPLAINS THE MEANING OF THE TWO LETTER SYMBOLS APPEARING IN ITEM 12 OF THE COVER PAGES. SYMBOL CATEGORY BK BANK AS DEFINED IN SECTION 3(A) (6) OF THE ACT. IC INSURANCE COMPANY AS DEFINED IN SECTION 3 (A) (19) OF THE ACT IC INVESTMENT COMPANY REGISTERED UNDER SECTION 8 OF THE INVESTMENT COMPANY ACT OF 1940. IA AN INVESTMENT ADVISOR IN ACCORDANCE WITH RULE 13D-1(B) (1) (II) (E). EP AN EMPLOYEE BENEFIT PLAN OR ENDOWMENT FUND IN ACCORDANCE WITH RULE 13D-1(B) (1) (II) (F) . HC A PARENT HOLDING COMPANY OR CONTROL PERSON IN ACCORDANCE WITH RULE 13D-1(B)(1)(II) (G). SA A SAVINGS ASSOCIATIONS AS DEFINED IN SECTION 3(B) OF THE FEDERAL DEPOSIT INSURANCE ACT (12 U.S.C. 1813). CP A CHURCH PLAN THAT IS EXCLUDED FROM THE DEFINITION OF AN INVESTMENT COMPANY UNDER SECTION 3(C)(14) OF THE INVESTMENT COMPANY ACT OF 1940. CUSIP NO: 149123101 13G Page 5 of 7 Pages ITEM 4. OWNERSHIP THE INFORMATION SET FORTH IN ROWS 5 THROUGH 11 OF THE COVER PAGE HERETO FOR EACH OF THE REPORTING PERSONS IS INCORPORATED HEREIN BY REFERENCE. ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF CLASS NOT APPLICABLE ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON NOT APPLICABLE ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY OR CONTROL PERSON SEE EXHIBIT 1 ATTACHED HERETO ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP NOT APPLICABLE ITEM 9. NOTICE OF DISSOLUTION OF GROUP NOT APPLICABLE ITEM 10. CERTIFICATION BY SIGNING BELOW I CERTIFY THAT, TO THE BEST OF MY KNOWLEDGE AND BELIEF, THE SECURITIES REFERRED TO ABOVE WERE ACQUIRED AND ARE HELD IN THE ORDINARY COURSE OF BUSINESS AND WERE NOT ACQUIRED AND ARE NOT HELD FOR THE PURPOSE OR WITH THE EFFECT OF CHANGING OR INFLUENCING THE CONTROL OF THE ISSUER OF THE SECURITIES AND WERE NOT ACQUIRED AND ARE NOT HELD IN CONNECTION WITH OR AS A PARTICIPANT IN ANY TRANSACTION HAVING THAT PURPOSE OR EFFECT. SIGNATURES AFTER REASONABLE INQUIRY AND TO THE BEST OF HIS KNOWLEDGE AND BELIEF, EACH OF THE UNDERSIGNED CERTIFIES THAT THE INFORMATION SET FORTH IN THIS STATEMENT IS TRUE, COMPLETE AND CORRECT. 11 February 2015 STATE STREET CORPORATION /s/ SEAN P. NEWTH SENIOR VICE PRESIDENT, CHIEF ACCOUNTING OFFICER AND CONTROLLER 11 February 2015 STATE STREET BANK AND TRUST COMPANY /s/ ALYSSA ALBERTELLI SENIOR VICE PRESIDENT CUSIP NO: 149123101 13G Page 6 of 7 Pages EXHIBIT 1 THE FOLLOWING TABLE LISTS THE IDENTITY AND ITEM 3 CLASSIFICATION OF EACH SUBSIDIARY OF STATE STREET CORPORATION, THE PARENT HOLDING COMPANY, THAT BENEFICIALLY OWNS THE ISSUER`S COMMON STOCK. PLEASE REFER TO ITEM 3 OF THE ATTACHED SCHEDULE 13G FOR A DESCRIPTION OF EACH OF THE TWO-LETTER SYMBOLS REPRESENTING THE ITEM 3 CLASSIFICATION BELOW. SUBSIDIARY ITEM 3 CLASSIFICATION STATE STREET GLOBAL ADVISORS FRANCE S.A. IA STATE STREET BANK AND TRUST COMPANY BK SSGA FUNDS MANAGEMENT, INC IA STATE STREET GLOBAL ADVISORS LIMITED IA STATE STREET GLOBAL ADVISORS LTD IA STATE STREET GLOBAL ADVISORS, AUSTRALIA LIMITED IA STATE STREET GLOBAL ADVISORS JAPAN CO., LTD. IA STATE STREET GLOBAL ADVISORS, ASIA LIMITED IA SSARIS ADVISORS LLC IA NOTE: ALL OF THE LEGAL ENTITIES ABOVE ARE DIRECT OR INDIRECT SUBSIDIARIES OF STATE STREET CORPORATION. CUSIP NO: 149123101 13G Page 7 of 7 Pages JOINT FILING AGREEMENT IN ACCORDANCE WITH RULE 13D-1(K)(1) UNDER THE SECURITIES EXCHANGE ACT OF 1934, AS AMENDED (THE EXCHANGE ACT), EACH UNDERSIGNED ENTITY (EACH A COMPANY) HEREBY AGREES TO ANY AND ALL JOINT FILINGS REQUIRED TO BE MADE ON THE COMPANY`S BEHALF ON SCHEDULE 13G (INCLUDING AMENDMENTS THERETO) UNDER THE EXCHANGE ACT, WITH RESPECT TO SECURITIES WHICH MAY BE DEEMED TO BE BENEFICIALLY OWNED BY THE COMPANY UNDER THE EXCHANGE ACT, AND THAT THIS AGREEMENT BE INCLUDED AS AN EXHIBIT TO ANY SUCH JOINT FILING. THIS AGREEMENT MAY BE EXECUTED IN ANY NUMBER OF COUNTERPARTS ALL OF WHICH TAKEN TOGETHER SHALL CONSTITUTE ONE AND THE SAME INSTRUMENT. IN WITNESS WHEREOF, EACH COMPANY HEREBY EXECUTES THIS AGREEMENT EFFECTIVE AS OF THE DATE SET FORTH BELOW. 11 FEBRUARY 2015 STATE STREET CORPORATION /s/ SEAN P. NEWTH SENIOR VICE PRESIDENT, CHIEF ACCOUNTING OFFICER AND CONTROLLER 11 FEBRUARY 2015 STATE STREET BANK AND TRUST COMPANY /s/ ALYSSA ALBERTELLI SENIOR VICE PRESIDENT
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