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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
FORM 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: December 31, 1999
Check here if Amendment [ ]; Amendment Number: ____
This Amendment (Check only one.): [ ] is a restatement.
[ ] adds new holdings entries.
Institutional Investment Manager Filing this Report:
Name: Caterpillar Investment Management Ltd.
Address: 411 Hamilton, Suite 1200, Peoria, IL 61602-1104
13F File Number: 28-6134
The institutional investment manager filing this report and the person by whom
it is signed hereby represent that the person signing the report is authorized
to submit it, that all information contained herein is true, correct and
complete, and that it is understood that all required items, statements,
schedules, lists, and tables, are considered integral parts of this form.
Person Signing this Report on Behalf of Reporting Manager:
Name: Richard P. Konrath
Title: Secretary
Phone: 309-675-5355
Signature, Place, and Date of Signing:
Peoria, IL February 3, 2000
- ----------------------------- ---------- ----------------
[Signature] [City, State] [Date]
Report Type (Check only one.):
[x ] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting
manager are reported in this report.)
[ ] 13F NOTICE. (Check here if no holdings reported are in this report, and
all holdings are reported by other reporting manager(s).)
[ ] 13F COMBINATION REPORT. (Check here if a portion of the holdings for
this reporting manager are reported in this report and a portion are
reported by other reporting manager(s).)
List of Other Managers Reporting for this Manager:
[If there are no entries in this list, omit this section.]
13F File Number Name
28-____________
______________________________________________________
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CATERPILLAR INVESTMENT MANAGEMENT LTD.
PERIOD END DATE: DECEMBER 31, 1999
ITEM 1: ITEM 2: ITEM 3: ITEM 4: ITEM 5: ITEM 6: ITEM 7: ITEM 8:
TITLE OF CUSIP MARKET INVESTMENT DISCRETION VOTING AUTHORITY
-------- ----- ------ ---------- ---------- ----------------
NAME OF ISSUER CLASS NUMBER VALUE SHARES SOLE SHARED MANAGERS SOLE SHARED
- -------------- ----- ------ ----- ------ ---- ------ -------- ---- ------
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
AMCOL INTL CORP Common 02341W103 $ 1,306,125.00 81,000 X 45000 36000
ADVANTA CORP Common 7942105 $ 2,456,450.00 134,600 X 67600 67000
AMERICAN FREIGHTWAYS C Common 02629V108 $ 728,437.50 45,000 X 25000 20000
AGRIBRANDS INTL INC Common 00849R105 $ 1,265,000.00 27,500 X 15000 12500
ARGOSY GAMING CO Common 40228108 $ 703,425.00 45,200 X 24200 21000
GALLAGHER ARTHUR J & C Common 363576109 $ 310,800.00 4,800 X 0 4800
ALEXANDER & BALDWIN IN Common 14482103 $ 1,252,406.25 54,900 X 29900 25000
ALFA CORP Common 15385107 $ 683,493.75 41,900 X 20900 21000
AFFILIATED MANAGERS GR Common 8252108 $ 1,435,531.25 35,500 X 19300 16200
AMERON INTL INC Common 30710107 $ 1,776,356.25 44,900 X 26300 18600
AMERICAN MGMT SYS INC Common 27352103 $ 1,443,250.00 46,000 X 25000 21000
AMTRAN INC Common 03234G106 $ 899,000.00 46,400 X 26900 19500
ANDOVER BANCORP INC DE Common 34258103 $ 610,400.00 21,800 X 10900 10900
ANNTAYLOR STORES CORP Common 36115103 $ 1,367,168.75 39,700 X 22200 17500
ANSWERTHINK CONSULTING Common 36916104 $ 3,541,450.00 103,400 X 53400 50000
AMPHENOL CORP NEW Common 32095101 $ 1,464,375.00 22,000 X 12000 10000
ARDENT SOFTWARE INC Common 39794102 $ 1,950,000.00 50,000 X 25000 25000
ARVIN INDS INC Common 43339100 $ 1,606,025.00 56,600 X 29600 27000
AVIS RENT A CAR INC Common 53790101 $ 2,707,068.75 105,900 X 58300 47600
AVANT CORP Common 53487104 $ 1,042,500.00 69,500 X 39500 30000
AMERICA WEST HLDG CORP Common 23657208 $ 1,867,500.00 90,000 X 45000 45000
ANIXTER INTL INC Common 35290105 $ 926,062.50 44,900 X 29900 15000
BRIGGS & STRATTON CORP Common 109043109 $ 1,930,500.00 36,000 X 20000 16000
BROWN SHOE INC NEW Common 115736100 $ 1,269,837.50 89,900 X 53200 36700
CATO CORP NEW Common 149205106 $ 757,500.00 60,000 X 25000 35000
CAPITAL AUTOMOTIVE REI Common 139733109 $ 2,123,062.50 174,200 X 76000 98200
CATAPULT COMMUNICATION Common 149016107 $ 248,437.50 25,000 X 0 25000
CANANDAIGUA BRANDS INC Common 137219200 $ 1,377,000.00 27,000 X 15000 12000
COMMERCE GROUP INC MAS Common 200641108 $ 242,962.50 9,300 X 0 9300
CRESTLINE CAP CORP Common 226153104 $ 1,858,312.50 90,100 X 45100 45000
COMMERCIAL METALS CO Common 201723103 $ 468,337.50 13,800 X 7000 6800
COMMONWEALTH BANCORP I Common 20268X102 $ 1,055,687.50 63,500 X 35000 28500
COOPER COS INC Common 216648402 $ 1,644,825.00 54,600 X 24600 30000
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<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
CSG SYS INTL INC Common 126349109 $1,116,500.00 28,000 X 15000 13000
CTS CORP Common 126501105 $3,067,762.50 40,700 X 16300 24400
CENTEX CORP Common 152312104 $1,520,750.00 61,600 X 34000 27600
CENTEX CONSTRUCTION PR Common 15231R109 $2,796,300.00 71,700 X 38700 33000
DIME CMNTY BANCSHARES Common 253922108 $1,365,300.00 73,800 X 42000 31800
DEB SHOPS INC Common 242728103 $ 937,950.00 50,700 X 25600 25100
D R HORTON INC Common 23331A109 $ 787,312.50 57,000 X 35200 21800
DORAL FINL CORP Common 25811P100 $1,257,106.25 102,100 X 55300 46800
DAIN RAUSCHER CORP Common 233856103 $1,106,700.00 23,800 X 12400 11400
DOLLAR THRIFTY AUTOMOT Common 256743105 $2,367,418.75 98,900 X 53900 45000
ENERGEN CORP Common 29265N108 $ 969,956.25 53,700 X 29200 24500
ESS TECHNOLOGY INC Common 269151106 $2,252,031.25 101,500 X 45800 55700
ETHAN ALLEN INTERIORS Common 297602104 $2,603,475.00 81,200 X 45600 35600
EAST WEST BANCORP INC Common 27579R104 $1,606,968.75 140,500 X 64700 75800
FIRSTFED FINL CORP Common 337907109 $ 513,281.25 36,500 X 20000 16500
FOREMOST CORP OF AMER Common 345469100 $1,447,125.00 51,000 X 28000 23000
FOSSIL INC Common 349882100 $1,609,500.00 69,600 X 36000 33600
FLORIDA ROCK INDS INC Common 341140101 $1,150,212.50 33,400 X 18400 15000
FIRST FED CAP CORP Common 319960110 $ 295,425.00 20,200 X 0 20200
GENESCO INC Common 371532102 $ 553,800.00 42,600 X 27600 15000
GUESS INC Common 401617105 $1,370,250.00 63,000 X 35000 28000
GRACO INC Common 384109104 $1,363,250.00 38,000 X 13000 25000
GEON CO Common 37246W105 $1,787,500.00 55,000 X 30000 25000
OSHKOSH B GOSH INC Common 688222207 $ 686,637.50 32,600 X 17600 15000
GTECH HLDGS CORP Common 400518106 $1,458,600.00 66,300 X 33600 32700
HAVERTY FURNITURE INC Common 419596101 $ 787,800.00 62,400 X 34400 28000
JACK IN THE BOX INC Common 466367109 $ 986,793.75 47,700 X 26100 21600
JOHN NUVEEN CO Common 478035108 $ 627,487.50 17,400 X 10200 7200
JUSTIN INDS INC Common 482171105 $ 490,875.00 33,000 X 15200 17800
KAUFMAN & BROAD HOME C Common 486168107 $1,356,918.75 56,100 X 31800 24300
K-SWISS INC Common 482686102 $ 854,593.74 46,000 X 25000 21000
LNR PPTY CORP Common 501940100 $ 795,000.00 40,000 X 20000 20000
LANDSTAR SYS INC Common 515098101 $1,626,875.00 38,000 X 18000 20000
LEUCADIA NATL CORP Common 527288104 $2,203,812.50 95,300 X 35000 60300
LA Z BOY INC Common 505336107 $1,296,243.75 77,100 X 39000 38100
M D C HLDGS INC Common 552676108 $ 724,762.50 46,200 X 28400 17800
MEDQUIST INC Common 584949101 $1,290,625.00 50,000 X 25000 25000
MOHAWK INDS INC Common 608190104 $1,893,725.00 71,800 X 39100 32700
M/I SCHOTTENSTEIN HOME Common 55305B101 $ 641,175.00 41,200 X 23300 17900
MIKASA INC Common 59862T109 $ 553,437.50 55,000 X 27500 27500
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<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
MUSICLAND STORES CORP Common 62758B109 $1,204,031.25 142,700 X 79300 63400
MID ATLANTIC MED SVCS Common 59523C107 $ 87,281.25 10,500 X 0 10500
MONACO COACH CORP Common 60886R103 $1,811,103.12 70,850 X 40750 30100
MANITOWOC INC Common 563571108 $1,494,300.00 43,950 X 23850 20100
MICRO WHSE INC Common 59501B105 $1,850,000.00 100,000 X 45000 55000
NEOMAGIC CORP Common 640497103 $ 843,281.25 77,100 X 34300 42800
COMMERCIAL NET LEASE R Common 202218103 $ 898,350.00 90,400 X 44700 45700
NEWPORT NEWS SHIPBUILD Common 652228107 $1,215,500.00 44,200 X 24900 19300
NORTEK INC Common 656559101 $ 840,000.00 30,000 X 17800 12200
NVIDIA CORP Common 67066G104 $2,684,825.00 57,200 X 32200 25000
NATIONAL R V HLDGS INC Common 637277104 $1,155,000.00 60,000 X 30000 30000
OCEANFIRST FINL CORP Common 675234108 $1,038,750.00 60,000 X 30000 30000
OCULAR SCIENCES INC Common 675744106 $1,415,625.00 75,000 X 45000 30000
P C CONNECTION Common 69318J100 $ 244,950.00 7,100 X 0 7100
PINNACLE SYS INC Common 723481107 $1,830,937.50 45,000 X 25000 20000
PFF BANCORP INC Common 69331W104 $1,220,625.00 63,000 X 35000 28000
PULTE CORP Common 745867101 $1,327,500.00 59,000 X 32500 26500
PROFESSIONALS GROUP IN Common 742954100 $1,069,921.87 45,650 X 13750 31900
PARK ELECTROCHEMICAL C Common 700416209 $2,164,843.75 81,500 X 44500 37000
SCP POOL CORP Common 784028102 $ 894,843.75 34,500 X 17200 17300
PROGRESS SOFTWARE CORP Common 743312100 $3,677,400.00 64,800 X 33900 30900
PRIMEX TECHNOLOGIES IN Common 741597108 $1,234,625.00 59,500 X 34000 25500
PITTSTON CO Common 725701882 $ 871,500.00 102,400 X 86600 15800
RITCHIE BROS AUCTIONEE Common 767744105 $ 441,225.00 15,900 X 9100 6800
RICHMOND CNTY FINL COR Common 764556106 $ 937,443.75 51,900 X 29100 22800
ROCK-TENN CO Common 772739207 $ 590,000.00 40,000 X 19900 20100
ROLLINS TRUCK LEASING Common 775741101 $ 448,850.00 37,600 X 19200 18400
RLI CORP Common 749607107 $1,938,000.00 57,000 X 31000 26000
AARON RENTS INC Common 2535201 $ 798,750.00 45,000 X 25000 20000
RELIANCE STEEL & ALUMI Common 759509102 $1,283,203.12 54,750 X 30000 24750
RYLAND GROUP INC Common 783764103 $1,245,375.00 54,000 X 30000 24000
SYNCOR INTL CORP DEL Common 87157J106 $ 492,212.50 16,900 X 0 16900
SEI INVESTMENTS CO Common 784117103 $1,118,746.88 9,400 X 5100 4300
SALTON INC Common 795757103 $3,260,156.25 97,500 X 52500 45000
SWIFT ENERGY CO Common 870738101 $1,567,450.00 136,300 X 46500 89800
SHOPKO STORES INC Common 824911101 $ 678,500.00 29,500 X 16000 13500
SLI INC Common 78442T108 $ 217,000.00 16,000 X 0 16000
SPRINGS INDS INC Common 851783100 $ 798,750.00 20,000 X 10000 10000
STANDARD PAC CORP NEW Common 85375C101 $ 919,600.00 83,600 X 46500 37100
STONERIDGE INC Common 86183P102 $1,298,293.75 84,100 X 42200 41900
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<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
SUNQUEST INFORMATION S Common 867654105 $ 1,175,850.00 87,100 X 47000 40100
MEDALLION FINL CORP Common 583928106 $ 2,075,368.75 115,700 X 55600 60100
TIMBERLAND CO Common 887100105 $ 2,093,850.00 39,600 X 21000 18600
TECUMSEH PRODS CO Common 878895200 $ 1,618,531.25 34,300 X 18900 15400
TEREX CORP NEW Common 880779103 $ 1,198,800.00 43,200 X 23800 19400
TRIUMPH GROUP INC NEW Common 896818101 $ 227,362.50 9,400 X 0 9400
TRIAD GTY INC Common 895925105 $ 750,750.00 33,000 X 0 33000
THERAGENICS CORP Common 883375107 $ 1,276,906.25 140,900 X 70000 70900
THERMO OPTEK CORP Common 883582108 $ 398,125.00 35,000 X 17500 17500
TORO CO Common 891092108 $ 615,656.25 16,500 X 8700 7800
TUPPERWARE CORP Common 899896104 $ 1,100,937.50 65,000 X 34600 30400
TOWER AUTOMOTIVE INC Common 891707101 $ 1,180,968.75 76,500 X 32500 44000
TRENDWEST RESORTS INC Common 894917103 $ 1,122,750.00 49,900 X 25900 24000
TEXAS INDS INC Common 882491103 $ 1,021,500.00 24,000 X 13000 11000
UNIGRAPHICS SOLUTIONS Common 904928108 $ 1,417,500.00 52,500 X 26300 26200
U S HOME CORP NEW Common 911920106 $ 455,012.50 17,800 X 9700 8100
URS CORP NEW Common 903236107 $ 2,294,537.50 105,800 X 58300 47500
USFREIGHTWAYS CORP Common 916906100 $ 1,972,450.00 41,200 X 22300 18900
VALASSIS COMMUNICATION Common 918866104 $ 1,425,937.50 33,750 X 18750 15000
WEBSTER FINL CORP Common 947890109 $ 742,218.75 31,500 X 17500 14000
WINNEBAGO INDS INC Common 974637100 $ 2,060,418.75 102,700 X 55100 47600
XIRCOM INC Common 983922105 $ 4,912,500.00 65,500 X 32500 33000
ZALE CORP NEW Common 988858106 $ 2,152,687.50 44,500 X 24900 19600
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$178,839,893.73 7,664,650 3,938,900 3,725,750
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