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SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Caterpillar Inc.
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| September 3, 2025 |
JAPAN LOCAL CURRENCY ADDENDUM (THREE-YEAR FACILITY) Exhibit 10.8 EXECUTION VERSION JAPAN LOCAL CURRENCY ADDENDUM (THREE-YEAR FACILITY) JAPAN LOCAL CURRENCY ADDENDUM, dated as of August 28, 2025, to the Credit Agreement (as defined below), among Caterpillar Financial Services Corporation, Caterpillar Finance Kabushiki Kaisha, the Japan Local Currency Banks (as defined below), Citibank, N.A., as Agent, and MUFG Bank, Ltd., as Japan Local Cur |
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| September 3, 2025 |
JAPAN LOCAL CURRENCY ADDENDUM (364-DAY FACILITY) Exhibit 10.4 EXECUTION VERSION JAPAN LOCAL CURRENCY ADDENDUM (364-DAY FACILITY) JAPAN LOCAL CURRENCY ADDENDUM, dated as of August 28, 2025, to the Credit Agreement (as defined below), among Caterpillar Financial Services Corporation, Caterpillar Finance Kabushiki Kaisha, the Japan Local Currency Banks (as defined below), Citibank, N.A., as Agent, and MUFG Bank, Ltd., as Japan Local Currenc |
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| September 3, 2025 |
CIF LUX LOCAL CURRENCY ADDENDUM (THREE-YEAR FACILITY) Exhibit 10.7 EXECUTION VERSION CIF LUX LOCAL CURRENCY ADDENDUM (THREE-YEAR FACILITY) CIF LUX LOCAL CURRENCY ADDENDUM, dated as of August 28, 2025, to the Credit Agreement (as defined below), among Caterpillar Financial Services Corporation, Caterpillar International Finance Luxembourg S.à r.l., the Local Currency Banks (as defined below), Citibank, N.A., as Agent, and Citibank Europe plc, UK Branc |
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| September 3, 2025 |
Exhibit 10.9 EXECUTION VERSION FOURTH AMENDED AND RESTATED CREDIT AGREEMENT (Five-Year Facility) Dated as of August 28, 2025 among CATERPILLAR INC., CATERPILLAR FINANCIAL SERVICES CORPORATION, CATERPILLAR INTERNATIONAL FINANCE DESIGNATED ACTIVITY COMPANY, CATERPILLAR FINANCE KABUSHIKI KAISHA, and CATERPILLAR INTERNATIONAL FINANCE LUXEMBOURG S.À R.L. as Borrowers THE FINANCIAL INSTITUTIONS NAMED HE |
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| September 3, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 28, 2025 CATERPILLAR INC. (Exact name of registrant as specified in its charter) Delaware 1-768 37-0602744 (State or other jurisdiction of incorporat |
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| September 3, 2025 |
CIF LOCAL CURRENCY ADDENDUM (THREE-YEAR FACILITY) Exhibit 10.6 EXECUTION VERSION CIF LOCAL CURRENCY ADDENDUM (THREE-YEAR FACILITY) CIF LOCAL CURRENCY ADDENDUM, dated as of August 28, 2025, to the Credit Agreement (as defined below), among Caterpillar Financial Services Corporation, Caterpillar International Finance Designated Activity Company, the Local Currency Banks (as defined below), Citibank, N.A., as Agent, and Citibank Europe plc, UK Branc |
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| September 3, 2025 |
Exhibit 10.5 EXECUTION VERSION FOURTH AMENDED AND RESTATED CREDIT AGREEMENT (Three-Year Facility) Dated as of August 28, 2025 among CATERPILLAR INC., CATERPILLAR FINANCIAL SERVICES CORPORATION, CATERPILLAR INTERNATIONAL FINANCE DESIGNATED ACTIVITY COMPANY, CATERPILLAR FINANCE KABUSHIKI KAISHA, and CATERPILLAR INTERNATIONAL FINANCE LUXEMBOURG S.À R.L. as Borrowers THE FINANCIAL INSTITUTIONS NAMED H |
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| September 3, 2025 |
Exhibit 10.1 EXECUTION VERSION CREDIT AGREEMENT (2025 364-Day Facility) Dated as of August 28, 2025 among CATERPILLAR INC., CATERPILLAR FINANCIAL SERVICES CORPORATION, CATERPILLAR INTERNATIONAL FINANCE DESIGNATED ACTIVITY COMPANY, CATERPILLAR FINANCE KABUSHIKI KAISHA, and CATERPILLAR INTERNATIONAL FINANCE LUXEMBOURG S.À R.L. as Borrowers THE FINANCIAL INSTITUTIONS NAMED HEREIN, as Banks CITIBANK, |
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| September 3, 2025 |
CIF LOCAL CURRENCY ADDENDUM (364-DAY FACILITY) Exhibit 10.2 EXECUTION VERSION CIF LOCAL CURRENCY ADDENDUM (364-DAY FACILITY) CIF LOCAL CURRENCY ADDENDUM, dated as of August 28, 2025, to the Credit Agreement (as defined below), among Caterpillar Financial Services Corporation, Caterpillar International Finance Designated Activity Company, the Local Currency Banks (as defined below), Citibank, N.A., as Agent, and Citibank Europe plc, UK Branc |
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| September 3, 2025 |
CIF LUX LOCAL CURRENCY ADDENDUM (5 Year Facility) Exhibit 10.11 EXECUTION VERSION CIF LUX LOCAL CURRENCY ADDENDUM (5 Year Facility) CIF LUX LOCAL CURRENCY ADDENDUM, dated as of August 28, 2025, to the Credit Agreement (as defined below), among Caterpillar Financial Services Corporation, Caterpillar International Finance Luxembourg S.à r.l., the Local Currency Banks (as defined below), Citibank, N.A., as Agent, and Citibank Europe plc, UK Br |
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| September 3, 2025 |
CIF LUX LOCAL CURRENCY ADDENDUM (364-DAY FACILITY) Exhibit 10.3 EXECUTION VERSION CIF LUX LOCAL CURRENCY ADDENDUM (364-DAY FACILITY) CIF LUX LOCAL CURRENCY ADDENDUM, dated as of August 28, 2025, to the Credit Agreement (as defined below), among Caterpillar Financial Services Corporation, Caterpillar International Finance Luxembourg S.à r.l., the Local Currency Banks (as defined below), Citibank, N.A., as Agent, and Citibank Europe plc, UK Branch, |
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| September 3, 2025 |
JAPAN LOCAL CURRENCY ADDENDUM (Five Year Facility) Exhibit 10.12 EXECUTION VERSION JAPAN LOCAL CURRENCY ADDENDUM (Five Year Facility) JAPAN LOCAL CURRENCY ADDENDUM, dated as of August 28, 2025, to the Credit Agreement (as defined below), among Caterpillar Financial Services Corporation, Caterpillar Finance Kabushiki Kaisha, the Japan Local Currency Banks (as defined below), Citibank, N.A., as Agent, and MUFG Bank, Ltd., as Japan Local Curr |
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| September 3, 2025 |
CIF LOCAL CURRENCY ADDENDUM (FIVE-YEAR FACILITY) Exhibit 10.10 EXECUTION VERSION CIF LOCAL CURRENCY ADDENDUM (FIVE-YEAR FACILITY) CIF LOCAL CURRENCY ADDENDUM, dated as of August 28, 2025, to the Credit Agreement (as defined below), among Caterpillar Financial Services Corporation, Caterpillar International Finance Designated Activity Company, the Local Currency Banks (as defined below), Citibank, N.A., as Agent, and Citibank Europe plc, |
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| August 28, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 28, 2025 CATERPILLAR INC. (Exact name of registrant as specified in its charter) Delaware 1-768 37-0602744 (State or other jurisdiction of incorporation) (Commission File Numbe |
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| August 6, 2025 |
First Amended and Restated Aircraft Time Sharing Agreement, dated as of April 28, 2025. EXHIBIT 10.1 FIRST AMENDED AND RESTATED AIRCRAFT TIME SHARING AGREEMENT This First Amended and Restated Aircraft Time Sharing Agreement (the “Agreement”) is made and entered into as of this 28th day of April 2025, by and between Caterpillar Inc., a Delaware corporation (“Company”), and D. James Umpleby, III, an individual (“Executive”), who together are sometimes also referred to herein individual |
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| August 6, 2025 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 1-768 CATERPI |
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| August 6, 2025 |
Aircraft Time Sharing Agreement, dated as of May 7, 2025. EXHIBIT 10.2 AIRCRAFT TIME SHARING AGREEMENT This Aircraft Time Sharing Agreement (the “Agreement”) is made and entered into as of this 7th day of May 2025, by and between Caterpillar Inc., a Delaware corporation (“Company”), and Joseph E. Creed, an individual (“Executive”), who together are sometimes also referred to herein individually as a “Party” or collectively as the “Parties.” WITNESSETH: W |
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| August 5, 2025 |
Exhibit 99.1 Caterpillar Inc. 2Q 2025 Earnings Release FOR IMMEDIATE RELEASE Caterpillar Reports Second-Quarter 2025 Results Second Quarter ($ in billions except profit per share) 2025 2024 Sales and Revenues $16.6 $16.7 Profit Per Share $4.62 $5.48 Adjusted Profit Per Share $4.72 $5.99 Please see a reconciliation of GAAP to non-GAAP financial measures in the appendix on pages 13 and 14. ● Second- |
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| August 5, 2025 |
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 5, 2025 CATERPILLAR INC. (Exact name of registrant as specified in its charter) Delaware 1-768 37-0602744 (State or other jurisdiction of incorporation) (Commission File Number |
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| August 5, 2025 |
EXHIBIT 99.2 Caterpillar Inc. (“Caterpillar”, “we” or “our”) is furnishing supplemental information concerning (i) retail sales of machines to end users and (ii) retail sales of power systems (including reciprocating and turbine engines and locomotives) to end users and Original Equipment Manufacturers (“OEMs”). Caterpillar sells the majority of its machinery and power systems to independently own |
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| June 26, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 11-K (Mark One) [X] ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2024 OR [ ] TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission File No. 1-768 CATERPILLAR RAIL DIVISION RE |
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| June 26, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 11-K (Mark One) [X] ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2024 OR [ ] TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission File No. 1-768 CATERPILLAR GLOBAL MINING LE |
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| June 26, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 11-K (Mark One) [X] ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2024 OR [ ] TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission File No. 1-768 SOLAR SAVINGS AND INVESTMENT |
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| June 26, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 11-K (Mark One) [X] ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2024 OR [ ] TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission File No. 1-768 CATERPILLAR INC. TAX DEFERRE |
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| June 26, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 11-K (Mark One) [X] ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2024 OR [ ] TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission File No. 1-768 CATERPILLAR 401(K) SAVINGS P |
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| June 13, 2025 |
As filed with the Securities and Exchange Commission on June 13, 2025 As filed with the Securities and Exchange Commission on June 13, 2025 Registration No. |
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| June 13, 2025 |
Calculation of Filing Fee Tables S-8 CATERPILLAR INC Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee 1 Other Deferred Compensation Obligations Other 260,000,000 $ 260,000,000. |
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| June 12, 2025 |
Caterpillar Inc. Increases Dividend Exhibit 99.1 Caterpillar contact: Tiffany Heikkila Global Government & Corporate Affairs 832-573-0958 [email protected] FOR IMMEDIATE RELEASE Caterpillar Inc. Increases Dividend IRVING, Texas, June 11, 2025 – The Board of Directors of Caterpillar Inc. (NYSE: CAT) voted today to raise the quarterly dividend by 10 cents, a seven percent increase, to one dollar and fifty-one cents ($1.51) per |
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| June 12, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 11, 2025 CATERPILLAR INC. (Exact name of registrant as specified in its charter) Delaware 1-768 37-0602744 (State or other jurisdiction of incorporation) (Commission File Number) |
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| May 23, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD SPECIALIZED DISCLOSURE REPORT CATERPILLAR INC. (Exact name of the registrant as specified in its charter) Delaware 1-768 (State or other jurisdiction of incorporation or organization) (Commission File Number) 5205 N. O'Connor Boulevard, Suite 100 Irving, Texas 75039 (Address of principal executive offices) (Zip code) D |
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| May 23, 2025 |
EX-1.01 2 tm2515025d1ex1-01.htm EXHIBIT 1.01 EXHIBIT 1.01 CATERPILLAR INC. Conflict Minerals Report For The Year Ended December 31, 2024 Section 1: Introduction and Company Overview This Conflict Minerals Report (“CMR”) of Caterpillar Inc. (herein referred to as “Caterpillar,” “we,” or “our”) is being filed in accordance with Rule 13p-1 under the Securities Exchange Act of 1934 (“Rule 13p-1”) for |
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| May 15, 2025 |
EXHIBIT 1.1 Execution Version CATERPILLAR INC. $1,700,000,000 5.200% Senior Notes due 2035 $300,000,000 5.500% Senior Notes due 2055 UNDERWRITING AGREEMENT To the Representatives named in Schedule B hereto of the Several Underwriters named in Schedule A hereto May 12, 2025 Ladies and Gentlemen: Caterpillar Inc. (the “Company”) confirms its agreement (the “Agreement”) with you and each of the other |
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| May 15, 2025 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 15, 2025 CATERPILLAR INC. (Exact name of registrant as specified in its charter) Delaware 1-768 37-0602744 (State or other jurisdiction of incorporation) (Commission File Number) |
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| May 15, 2025 |
Form of 5.200% Senior Note due 2035 EXHIBIT 4.1 THIS SECURITY IS A GLOBAL SECURITY WITHIN THE MEANING OF THE INDENTURE HEREINAFTER REFERRED TO AND IS REGISTERED IN THE NAME OF A DEPOSITORY OR A NOMINEE OF A DEPOSITORY. THIS SECURITY IS EXCHANGEABLE FOR SECURITIES REGISTERED IN THE NAME OF A PERSON OTHER THAN THE DEPOSITORY OR ITS NOMINEE ONLY IN THE LIMITED CIRCUMSTANCES HEREINAFTER DESCRIBED AND MAY NOT BE TRANSFERRED EXCEPT AS A W |
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| May 15, 2025 |
Form of 5.500% Senior Note due 2055 EXHIBIT 4.2 THIS SECURITY IS A GLOBAL SECURITY WITHIN THE MEANING OF THE INDENTURE HEREINAFTER REFERRED TO AND IS REGISTERED IN THE NAME OF A DEPOSITORY OR A NOMINEE OF A DEPOSITORY. THIS SECURITY IS EXCHANGEABLE FOR SECURITIES REGISTERED IN THE NAME OF A PERSON OTHER THAN THE DEPOSITORY OR ITS NOMINEE ONLY IN THE LIMITED CIRCUMSTANCES HEREINAFTER DESCRIBED AND MAY NOT BE TRANSFERRED EXCEPT AS A W |
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| May 14, 2025 |
Table 1: Newly Registered and Carry Forward Securities Calculation of Filing Fee Tables S-3 CATERPILLAR INC Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Carry Forward Form Type Carry Forward File Number Carry Forward Initial Effective Date Filing Fee Previously Paid in Connection with Unsold Securities to be Carried Forward Newly Registered Securities Fees to be Paid 1 Debt 5. |
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| May 14, 2025 |
$2,000,000,000 $1,700,000,000 5.200% Senior Notes due 2035 $300,000,000 5.500% Senior Notes due 2055 TABLE OF CONTENTS Filed Pursuant to Rule 424(b)(5) Registration Statement No. 333-283791 PROSPECTUS SUPPLEMENT (To Prospectus Dated December 13, 2024) $2,000,000,000 $1,700,000,000 5.200% Senior Notes due 2035 $300,000,000 5.500% Senior Notes due 2055 We are offering $1,700,000,000 aggregate principal amount of our 5.200% Senior Notes due 2035 (the “2035 notes”) and $300,000,000 aggregate princi |
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| May 12, 2025 |
Issuer Free Writing Prospectus supplementing the Preliminary Prospectus Supplement dated May 12, 2025 and the Prospectus dated December 13, 2024 Filed Under Rule 433 Registration No. |
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| May 12, 2025 |
SUBJECT TO COMPLETION, DATED MAY 12, 2025 TABLE OF CONTENTS The information in this preliminary prospectus supplement is not complete and may be changed. |
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| May 7, 2025 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 1-768 CATERP |
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| April 30, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| April 30, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 30, 2025 CATERPILLAR INC. (Exact name of registrant as specified in its charter) Delaware 1-768 37-0602744 (State or other jurisdiction of incorporation) (Commission File Number |
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| April 30, 2025 |
EXHIBIT 99.2 Caterpillar Inc. (“Caterpillar”, “we” or “our”) is furnishing supplemental information concerning (i) retail sales of machines to end users and (ii) retail sales of power systems (including reciprocating and turbine engines and locomotives) to end users and Original Equipment Manufacturers (“OEMs”). Caterpillar sells the majority of its machinery and power systems to independently own |
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| April 30, 2025 |
Exhibit 99.1 Caterpillar Inc. 1Q 2025 Earnings Release FOR IMMEDIATE RELEASE Caterpillar Reports First-Quarter 2025 Results First Quarter ($ in billions except profit per share) 2025 2024 Sales and Revenues $14.2 $15.8 Profit Per Share $4.20 $5.75 Adjusted Profit Per Share $4.25 $5.60 Please see a reconciliation of GAAP to non-GAAP financial measures in the appendix on pages 12 and 13. ● First-qua |
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| April 30, 2025 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| April 15, 2025 |
Exhibit 99.1 Caterpillar contact: Tiffany Heikkila Mobile: 832-573-0958 [email protected] FOR IMMEDIATE RELEASE Caterpillar Chairman and CEO Jim Umpleby to become Executive Chairman; Caterpillar Chief Operating Officer Joe Creed Elected as Caterpillar’s Next CEO Irving, Texas, April 15, 2025 – After eight years as CEO and nearly 45 years of service, Caterpillar Inc. (NYSE: CAT) Chairman and |
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| April 15, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 9, 2025 CATERPILLAR INC. (Exact name of registrant as specified in its charter) Delaware 1-768 37-0602744 (State or other jurisdiction of incorporation) (Commission File Number) |
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| April 9, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 7, 2025 CATERPILLAR INC. (Exact name of registrant as specified in its charter) Delaware 1-768 37-0602744 (State or other jurisdiction of incorporation) (Commission File Number) |
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| February 14, 2025 |
Caterpillar Inc. Insider Trading Policy (as adopted January 30, 2025) Caterpillar Inc. Insider Trading Policy January 30, 2025 Caterpillar: Confidential Green 1 Table of Contents Contents 1. 2. 3. 4. Purpose Persons Subject to the Policy Transactions Subject to the Policy Statement of Policy 4 4 5 5 a. Transactions in Securities 5 b. Prohibitions Regarding Disclosure of Information 6 c. Selective Disclosure of Information 6 d. Company Compliance with Securities Laws |
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| February 14, 2025 |
Caterpillar Inc. Incentive Compensation Clawback Policy (as adopted October 11, 2023) EXHIBIT 97 CATERPILLAR INC. Incentive Compensation Clawback Policy (As Adopted on October 11, 2023 Pursuant to NYSE Rule 303A.14) 1.Overview. The Compensation and Human Resources Committee (the “Committee”) of the Board of Directors (the “Board”) of Caterpillar Inc. (the “Company”) has adopted this Incentive Compensation Clawback Policy (the “Policy”) which requires the recoupment of certain incen |
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| February 14, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission File No. 1-768 CA |
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| February 14, 2025 |
Subsidiaries and Affiliates of the Registrant EXHIBIT 21 CATERPILLAR INC. List of Subsidiaries and Affiliated Companies (as of December 31, 2024) Direct and Indirect Wholly-Owned Subsidiaries Name of Company Where Organized 1214213 B.C. Ltd. Canada Asia Power Systems (Tianjin) Ltd. China AsiaTrak (Tianjin) Ltd. China Banco Caterpillar S.A. Brazil Bucyrus Australia Surface Pty. Ltd. Australia Bucyrus International (Peru) S.A. Peru Bucyrus Mini |
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| January 30, 2025 |
EXHIBIT 99.2 Caterpillar Inc. (“Caterpillar”, “we” or “our”) is furnishing supplemental information concerning (i) retail sales of machines to end users and (ii) retail sales of power systems (including reciprocating and turbine engines and locomotives) to end users and Original Equipment Manufacturers (“OEMs”). Caterpillar sells the majority of its machinery and power systems to independently own |
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| January 30, 2025 |
Exhibit 99.1 Caterpillar Inc. 4Q 2024 Earnings Release FOR IMMEDIATE RELEASE Caterpillar Reports Fourth-Quarter and Full-Year 2024 Results ● Fourth-quarter 2024 sales and revenues were $16.2 billion; full-year sales and revenues were $64.8 billion ● Fourth-quarter 2024 profit per share of $5.78; adjusted profit per share of $5.14 ● Full-year profit per share of $22.05; adjusted profit per share of |
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| January 30, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 30, 2025 CATERPILLAR INC. (Exact name of registrant as specified in its charter) Delaware 1-768 37-0602744 (State or other jurisdiction of incorporation) (Commission File Numb |
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| December 13, 2024 |
Calculation of Filing Fee Tables S-3 CATERPILLAR INC Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Carry Forward Form Type Carry Forward File Number Carry Forward Initial Effective Date Filing Fee Previously Paid in Connection with Unsold Securities to be Carried Forward Newly Registered Securities Fees to be Paid 1 Debt Debt Securities 457(r) 0. |
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| December 13, 2024 |
As filed with the Securities and Exchange Commission on December 13, 2024 TABLE OF CONTENTS As filed with the Securities and Exchange Commission on December 13, 2024 Registration Statement No. |
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| December 13, 2024 |
Exhibit 25.1 securities and exchange commission Washington, D.C. 20549 FORM T-1 Statement of Eligibility Under The Trust Indenture Act of 1939 of a Corporation Designated to Act as Trustee Check if an Application to Determine Eligibility of a Trustee Pursuant to Section 305(b)(2) ¨ U.S. BANK TRUST COMPANY, NATIONAL ASSOCIATION (Exact name of Trustee as specified in its charter) 91-1821036 I.R.S. E |
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| November 13, 2024 |
CAT / Caterpillar Inc. / Capital World Investors - SEC SCHEDULE 13G Passive Investment SC 13G/A 1 SEC13GFiling.htm SEC SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2 )* Caterpillar Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 149123101 (CUSIP Number) September 30, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to d |
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| November 6, 2024 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 1-768 CA |
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| October 30, 2024 |
Exhibit 99.1 Caterpillar Inc. 3Q 2024 Earnings Release FOR IMMEDIATE RELEASE Caterpillar Reports Third-Quarter 2024 Results Third Quarter ($ in billions except profit per share) 2024 2023 Sales and Revenues $16.1 $16.8 Profit Per Share $5.06 $5.45 Adjusted Profit Per Share $5.17 $5.52 Please see a reconciliation of GAAP to non-GAAP financial measures in the appendix on pages 13 and 14. ● Third-qua |
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| October 30, 2024 |
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 30, 2024 CATERPILLAR INC. (Exact name of registrant as specified in its charter) Delaware 1-768 37-0602744 (State or other jurisdiction of incorporation) (Commission File Numb |
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| October 30, 2024 |
EXHIBIT 99.2 Caterpillar Inc. (“Caterpillar”, “we” or “our”) is furnishing supplemental information concerning (i) retail sales of machines to end users and (ii) retail sales of power systems (including reciprocating and turbine engines and locomotives) to end users and Original Equipment Manufacturers (“OEMs”). Caterpillar sells the majority of its machinery and power systems to independently own |
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| October 11, 2024 |
Caterpillar Announces Appointment of New Independent Director Nazzic Keene to Join the Board Exhibit 99.1 Caterpillar contact: Tiffany Heikkila Global Government & Corporate Affairs Mobile: 832-573-0958 [email protected] FOR IMMEDIATE RELEASE Caterpillar Announces Appointment of New Independent Director Nazzic Keene to Join the Board IRVING, TX, Oct. 11, 2024 - Caterpillar Inc. (NYSE: CAT) today announced that Nazzic S. Keene, former chief executive officer of Science Applications |
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| October 11, 2024 |
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 9, 2024 CATERPILLAR INC. (Exact name of registrant as specified in its charter) Delaware 1-768 37-0602744 (State or other jurisdiction of incorporation) (Commission File Numbe |
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| September 4, 2024 |
Exhibit 10.1 EXECUTION VERSION CREDIT AGREEMENT (2024 364-Day Facility) Dated as of August 29, 2024 among CATERPILLAR INC., CATERPILLAR FINANCIAL SERVICES CORPORATION, CATERPILLAR INTERNATIONAL FINANCE DESIGNATED ACTIVITY COMPANY, and CATERPILLAR FINANCE KABUSHIKI KAISHA, as Borrowers THE FINANCIAL INSTITUTIONS NAMED HEREIN, as Banks CITIBANK, N.A., as Agent CITIBANK EUROPE PLC, UK BRANCH, as Loca |
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| September 4, 2024 |
Exhibit 10.2 EXECUTION VERSION LOCAL CURRENCY ADDENDUM (364-DAY FACILITY) LOCAL CURRENCY ADDENDUM, dated as of August 29, 2024, to the Credit Agreement (as defined below), among Caterpillar Financial Services Corporation, Caterpillar International Finance Designated Activity Company, the Local Currency Banks (as defined below), Citibank, N.A., as Agent, and Citibank Europe plc, UK Branch, as Local |
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| September 4, 2024 |
Exhibit 10.4 EXECUTION VERSION AMENDMENT NO. 2 to THIRD AMENDED AND RESTATED CREDIT AGREEMENT (THREE-Year Facility) This AMENDMENT NO. 2 TO THIRD AMENDED AND RESTATED CREDIT AGREEMENT (THREE-YEAR FACILITY), dated as of August 29, 2024, is entered into by and among: (i) Caterpillar Inc. (“Caterpillar”); (ii) Caterpillar Financial Services Corporation (“CFSC”); ( |
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| September 4, 2024 |
Exhibit 10.5 EXECUTION VERSION AMENDMENT NO. 2 to THIRD AMENDED AND RESTATED CREDIT AGREEMENT (FIVE-Year Facility) This AMENDMENT NO. 2 TO THIRD AMENDED AND RESTATED CREDIT AGREEMENT (FIVE-YEAR FACILITY), dated as of August 29, 2024, is entered into by and among: (i) Caterpillar Inc. (“Caterpillar”); (ii) Caterpillar Financial Services Corporation (“CFSC”); (iii) Cate |
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| September 4, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 29, 2024 CATERPILLAR INC. (Exact name of registrant as specified in its charter) Delaware 1-768 37-0602744 (State or other jurisdiction of incorporation) (Commission File Numbe |
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| September 4, 2024 |
Exhibit 10.3 EXECUTION VERSION JAPAN LOCAL CURRENCY ADDENDUM (364-DAY FACILITY) JAPAN LOCAL CURRENCY ADDENDUM, dated as of August 29, 2024, to the Credit Agreement (as defined below), among Caterpillar Financial Services Corporation, Caterpillar Finance Kabushiki Kaisha, the Japan Local Currency Banks (as defined below), Citibank, N.A., as Agent, and MUFG Bank, Ltd., as Japan Local Currency Agent. |
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| August 7, 2024 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 1-768 CATERPI |
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| August 6, 2024 |
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 6, 2024 CATERPILLAR INC. (Exact name of registrant as specified in its charter) Delaware 1-768 37-0602744 (State or other jurisdiction of incorporation) (Commission File Number |
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| August 6, 2024 |
Exhibit 99.1 Caterpillar Inc. 2Q 2024 Earnings Release FOR IMMEDIATE RELEASE Caterpillar Reports Second-Quarter 2024 Results Second Quarter ($ in billions except profit per share) 2024 2023 Sales and Revenues $16.7 $17.3 Profit Per Share $5.48 $5.67 Adjusted Profit Per Share $5.99 $5.55 Please see a reconciliation of GAAP to non-GAAP financial measures in the appendix on pages 13 and 14. ● Second- |
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| August 6, 2024 |
EXHIBIT 99.2 Caterpillar Inc. (“Caterpillar”, “we” or “our”) is furnishing supplemental information concerning (i) retail sales of machines to end users and (ii) retail sales of power systems (including reciprocating and turbine engines and locomotives) to end users and Original Equipment Manufacturers (“OEMs”). Caterpillar sells the majority of its machinery and power systems to independently own |
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| June 25, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 11-K (Mark One) [X] ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 OR [ ] TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission File No. 1-768 CATERPILLAR INC. TAX DEFERRE |
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| June 25, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 11-K (Mark One) [X] ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 OR [ ] TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission File No. 1-768 CATERPILLAR RAIL DIVISION RE |
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| June 25, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 11-K (Mark One) [X] ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 OR [ ] TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission File No. 1-768 CATERPILLAR GLOBAL MINING LE |
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| June 25, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 11-K (Mark One) [X] ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 OR [ ] TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission File No. 1-768 CATERPILLAR 401(K) SAVINGS P |
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| June 25, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 11-K (Mark One) [X] ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 OR [ ] TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission File No. 1-768 SOLAR SAVINGS AND INVESTMENT |
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| June 14, 2024 |
Caterpillar Inc. Increases Dividend and Increases Share Repurchase Authorization Exhibit 99.1 Caterpillar contact: Tiffany Heikkila Global Government & Corporate Affairs 832-573-0958 [email protected] FOR IMMEDIATE RELEASE Caterpillar Inc. Increases Dividend and Increases Share Repurchase Authorization IRVING, Texas, June 12, 2024 – The Board of Directors of Caterpillar Inc. (NYSE: CAT) voted today to raise the quarterly dividend by eleven cents, an 8% increase, to one |
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| June 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 12, 2024 CATERPILLAR INC. (Exact name of registrant as specified in its charter) Delaware 1-768 37-0602744 (State or other jurisdiction of incorporation) (Commission File Number) |
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| May 28, 2024 |
Conflict Minerals Report for the year ended December 31, 2023 as required by Items EXHIBIT 1.01 CATERPILLAR INC. Conflict Minerals Report For The Year Ended December 31, 2023 Section 1: Introduction and Company Overview This Conflict Minerals Report (“CMR”) of Caterpillar Inc. (herein referred to as “Caterpillar,” “we,” or “our”) is being filed in accordance with Rule 13p-1 under the Securities Exchange Act of 1934 (“Rule 13p-1”) for calendar year 2023. Unless otherwise defined |
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| May 28, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD SPECIALIZED DISCLOSURE REPORT CATERPILLAR INC. (Exact name of the registrant as specified in its charter) Delaware 1-768 (State or other jurisdiction of incorporation or organization) (Commission File Number) 5205 N. O'Connor Boulevard, Suite 100 Irving, Texas 75039 (Address of principal executive offices) (Zip code) D |
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| May 1, 2024 |
Form of Restricted Stock Unit Award pursuant to the 2023 Long-Term Incentive Plan EXHIBIT 10.1 Caterpillar Inc. 2023 Long-Term Incentive Plan Restricted Stock Unit Award Notice %%FIRSTNAMEMIDDLENAMELASTNAME%-% Grant Date: %%OPTIONDATE,'Month DD, YYYY'%-% Grant Number: %%OPTIONNUMBER%-% Units Granted: %%TOTALSHARESGRANTED,'999,999,999'%-% The Board of Directors of Caterpillar Inc. (the “Company”) has granted you the number of restricted stock units (“RSUs”) specified above on th |
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| May 1, 2024 |
Form of Nonqualified Stock Options Award pursuant to the 2023 Long-Term Incentive Plan EXHIBIT 10.3 Caterpillar Inc. 2023 Long-Term Incentive Plan Nonqualified Stock Option Award Notice %%FIRSTNAMEMIDDLENAMELASTNAME%-% Grant Date: %%OPTIONDATE,'Month DD, YYYY'%-% Grant Number: %%OPTIONNUMBER%-% Units Granted: %%TOTALSHARESGRANTED,'999,999,999'%-% Option Price: %%OPTIONPRICE,'$999,999,999.99'%-% Expiration Date: %%EXPIREDATEPERIOD1,'Month DD, YYYY'%-% The Board of Directors of Caterp |
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| May 1, 2024 |
Consulting Agreement between Suzette M. Long and Caterpillar Inc., dated January 29, 2024 Exhibit 10.5 CONSULTING AGREEMENT This Consulting Agreement (this “Agreement”), consisting of 5 pages, is entered into this 29th day of January, 2024, (the “Effective Date”), by and between Suzette M. Long (“Consultant”) and Caterpillar Inc., with its principal executive offices at 5205 N. O’Connor Blvd, Suite 100, Irving, Texas 75039 ( “Caterpillar”). 1.Services. During the time period beginning |
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| May 1, 2024 |
Form of Performance-Based Restricted Stock Unit Award pursuant to the 2023 Long-Term Incentive Plan EXHIBIT 10.4 Caterpillar Inc. 2023 Long-Term Incentive Plan Performance-Based Restricted Stock Unit Award Notice %%FIRSTNAMEMIDDLENAMELASTNAME%-% Grant Date: %%OPTIONDATE,'Month DD, YYYY'%-% Grant Number: %%OPTIONNUMBER%-% Units Granted: %%TOTALSHARESGRANTED,'999,999,999'%-% Vesting Date: %%VESTDATEPERIOD1,'Month DD, YYYY'%-% The Board of Directors of Caterpillar Inc. (the “Company”) has granted y |
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| May 1, 2024 |
Form of Restricted Stock Unit Award for Directors pursuant to the 2023 Long-Term Incentive Plan EXHIBIT 10.2 Caterpillar Inc. 2023 Long-Term Incentive Plan Restricted Stock Unit Award Notice %%FIRSTNAMEMIDDLENAMELASTNAME%-% Grant Date: %%OPTIONDATE,'Month DD, YYYY'%-% Grant Number: %%OPTIONNUMBER%-% Units Granted: %%TOTALSHARESGRANTED,'999,999,999'%-% Vesting Date: %%VESTDATEPERIOD1,'Month DD, YYYY'%-% The Board of Directors of Caterpillar Inc. (the “Company”) has granted you the number of r |
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| May 1, 2024 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 1-768 CATERP |
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| April 29, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| April 29, 2024 |
COURTESY PDF OF PROXY STATEMENT 2024 PROXY STATEMENT Notice of Annual Meeting June 12, 2024 | 8 a.m. CDT Virtual Annual Meeting of Shareholders D. James Umpleby III Chairman and Chief Executive Officer OUR VALUES IN ACTION Integrity The Power of Honesty Excellence The Power of Quality Teamwork The Power of Working Together Commitment The Power of Responsibility Sustainability The Power of Endurance “Caterpillar’s Values in Action |
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| April 29, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| April 25, 2024 |
Exhibit 99.1 Caterpillar Inc. 1Q 2024 Earnings Release FOR IMMEDIATE RELEASE Caterpillar Reports First-Quarter 2024 Results First Quarter ($ in billions except profit per share) 2024 2023 Sales and Revenues $15.8 $15.9 Profit Per Share $5.75 $3.74 Adjusted Profit Per Share $5.60 $4.91 Please see a reconciliation of GAAP to non-GAAP financial measures in the appendix on pages 12 and 13. ● First-qua |
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| April 25, 2024 |
EXHIBIT 99.2 Caterpillar Inc. (“Caterpillar”, “we” or “our”) is furnishing supplemental information concerning (i) retail sales of machines to end users and (ii) retail sales of power systems (including reciprocating and turbine engines and locomotives) to end users and Original Equipment Manufacturers (“OEMs”). Caterpillar sells the majority of its machinery and power systems to independently own |
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| April 25, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 25, 2024 CATERPILLAR INC. (Exact name of registrant as specified in its charter) Delaware 1-768 37-0602744 (State or other jurisdiction of incorporation) (Commission File Number |
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| April 3, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 1, 2024 CATERPILLAR INC. (Exact name of registrant as specified in its charter) Delaware 1-768 37-0602744 (State or other jurisdiction of incorporation) (Commission File Number) |
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| March 22, 2024 |
Caterpillar Inc. 5205 N O'Connor Boulevard Suite 100 Irving, TX 75039 March 22, 2024 VIA EDGAR SUBMISSION U.S. Securities and Exchange Commission Division of Corporation Finance Office of Technology 100 F Street, N.E. Washington, D.C. 20549 Attention: Christine Dietz, Senior Staff Accountant Brittany Ebbertt, Senior Staff Accountant Re: Caterpillar Inc. Form 10-K for the fiscal year ended December |
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| February 16, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission File No. 1-768 CA |
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| February 16, 2024 |
Caterpillar Inc. Incentive Compensation Clawback Policy (as adopted October 11, 2023) EXHIBIT 97 CATERPILLAR INC. Incentive Compensation Clawback Policy (As Adopted on October 11, 2023 Pursuant to NYSE Rule 303A.14) 1.Overview. The Compensation and Human Resources Committee (the “Committee”) of the Board of Directors (the “Board”) of Caterpillar Inc. (the “Company”) has adopted this Incentive Compensation Clawback Policy (the “Policy”) which requires the recoupment of certain incen |
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| February 16, 2024 |
Subsidiaries and Affiliates of the Registrant EXHIBIT 21 CATERPILLAR INC. List of Subsidiaries and Affiliated Companies (as of December 31, 2023) Direct and Indirect Wholly-Owned Subsidiaries Name of Company Where Organized 1214213 B.C. Ltd. Canada Asia Power Systems (Tianjin) Ltd. China Banco Caterpillar S.A. Brazil Bucyrus Australia Surface Pty. Ltd. Australia Bucyrus Europe Holdings, Ltd. England and Wales Bucyrus Europe Limited England an |
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| February 13, 2024 |
CAT / Caterpillar Inc. / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SC 13G/A 1 tv0554-caterpillarinc.htm SCHEDULE 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 11)* Name of issuer: Caterpillar Inc Title of Class of Securities: Common Stock CUSIP Number: 149123101 Date of Event Which Requires Filing of this Statement: December 29, 2023 Check the appropriate box to designate the |
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| February 9, 2024 |
CAT / Caterpillar Inc. / Capital World Investors - SEC SCHEDULE 13G Passive Investment SC 13G/A 1 SEC13GFiling.htm SEC SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1 )* Caterpillar Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 149123101 (CUSIP Number) December 29, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to de |
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| February 5, 2024 |
Exhibit 99.1 Caterpillar Inc. 4Q 2023 Earnings Release FOR IMMEDIATE RELEASE Caterpillar Reports Fourth-Quarter and Full-Year 2023 Results ● Fourth-quarter 2023 sales and revenues up 3%; full-year sales and revenues up 13% ● Fourth-quarter 2023 profit per share of $5.28; adjusted profit per share of $5.23 ● Full-year profit per share of $20.12; adjusted profit per share of $21.21 ● Strong operatin |
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| February 5, 2024 |
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 5, 2024 CATERPILLAR INC. (Exact name of registrant as specified in its charter) Delaware 1-768 37-0602744 (State or other jurisdiction of incorporation) (Commission File Numb |
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| February 5, 2024 |
EXHIBIT 99.2 Caterpillar Inc. (“Caterpillar”, “we” or “our”) is furnishing supplemental information concerning (i) retail sales of machines to end users and (ii) retail sales of power systems (including reciprocating and turbine engines and locomotives) to end users and Original Equipment Manufacturers (“OEMs”). Caterpillar sells the majority of its machinery and power systems to independently own |
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| December 14, 2023 |
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 12, 2023 CATERPILLAR INC. (Exact name of registrant as specified in its charter) Delaware 1-768 37-0602744 (State or other jurisdiction of incorporation) (Commission File Num |
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| December 14, 2023 |
Caterpillar Appoints New Energy & Transportation Group President Exhibit 99.1 Caterpillar contact: Tiffany Heikkila Global Government & Corporate Affairs Mobile: 832-573-0958 [email protected] FOR IMMEDIATE RELEASE Caterpillar Appoints New Energy & Transportation Group President IRVING, Texas, Dec. 14, 2023 – Caterpillar Inc. (NYSE: CAT) announced today that Jason Kaiser, senior vice president of the Electric Power Division, has been appointed to Group P |
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| November 1, 2023 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 1-768 CA |
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| October 31, 2023 |
EXHIBIT 99.2 Caterpillar Inc. (“Caterpillar”, “we” or “our”) is furnishing supplemental information concerning (i) retail sales of machines to end users and (ii) retail sales of power systems (including reciprocating and turbine engines and locomotives) to end users and Original Equipment Manufacturers (“OEMs”). Caterpillar sells the majority of its machinery and power systems to independently own |
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| October 31, 2023 |
Exhibit 99.1 Caterpillar Inc. 3Q 2023 Earnings Release FOR IMMEDIATE RELEASE Caterpillar Reports Third-Quarter 2023 Results Third Quarter ($ in billions except profit per share) 2023 2022 Sales and Revenues $16.8 $15.0 Profit Per Share $5.45 $3.87 Adjusted Profit Per Share $5.52 $3.95 ● Third-quarter 2023 sales and revenues increased 12% to $16.8 billion ● Third-quarter 2023 profit per share of $5 |
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| October 31, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 31, 2023 CATERPILLAR INC. (Exact name of registrant as specified in its charter) Delaware 1-768 37-0602744 (State or other jurisdiction of incorporation) (Commission File Numb |
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| October 16, 2023 |
Caterpillar Appoints Chief Operating Officer Exhibit 99.1 Caterpillar contact: Tiffany Heikkila Global Government & Corporate Affairs Mobile: 832-573-0958 [email protected] FOR IMMEDIATE RELEASE Caterpillar Appoints Chief Operating Officer IRVING, Texas – Oct. 16, 2023 – Caterpillar Inc. (NYSE: CAT) announced today that Joseph E. Creed, group president of Energy & Transportation, has been appointed to the newly created position of chi |
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| October 16, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 11, 2023 CATERPILLAR INC. (Exact name of registrant as specified in its charter) Delaware 1-768 37-0602744 (State or other jurisdiction of incorporation) (Commission File Numb |
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| September 1, 2023 |
Exhibit 10.5 AMENDMENT NO. 1 to THIRD AMENDED AND RESTATED CREDIT AGREEMENT (FIVE-Year Facility) This AMENDMENT NO. 1 TO THIRD AMENDED AND RESTATED CREDIT AGREEMENT (FIVE-YEAR FACILITY), dated as of August 31, 2023, is entered into by and among: (i) Caterpillar Inc. (“Caterpillar”); (ii) Caterpillar Financial Services Corporation (“CFSC”); (iii) Caterpillar Finan |
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| September 1, 2023 |
Exhibit 10.2 LOCAL CURRENCY ADDENDUM (364-DAY FACILITY) LOCAL CURRENCY ADDENDUM, dated as of August 31, 2023, to the Credit Agreement (as defined below), among Caterpillar Financial Services Corporation, Caterpillar International Finance Designated Activity Company, the Local Currency Banks (as defined below), Citibank, N.A., as Agent, and Citibank Europe plc, UK Branch, as Local Currency Agent. A |
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| September 1, 2023 |
Exhibit 10.4 AMENDMENT NO. 1 to THIRD AMENDED AND RESTATED CREDIT AGREEMENT (THREE-Year Facility) This AMENDMENT NO. 1 TO THIRD AMENDED AND RESTATED CREDIT AGREEMENT (THREE-YEAR FACILITY), dated as of August 31, 2023, is entered into by and among: (i) Caterpillar Inc. (“Caterpillar”); (ii) Caterpillar Financial Services Corporation (“CFSC”); (iii) Caterpillar Finance |
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| September 1, 2023 |
Exhibit 10.1 CREDIT AGREEMENT (2023 364-Day Facility) Dated as of August 31, 2023 among CATERPILLAR INC., CATERPILLAR FINANCIAL SERVICES CORPORATION, CATERPILLAR INTERNATIONAL FINANCE DESIGNATED ACTIVITY COMPANY, and CATERPILLAR FINANCE KABUSHIKI KAISHA, as Borrowers THE FINANCIAL INSTITUTIONS NAMED HEREIN, as Banks CITIBANK, N.A., as Agent, CITIBANK EUROPE PLC, UK BRANCH, as Local Currency Agent |
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| September 1, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 31, 2023 CATERPILLAR INC. (Exact name of registrant as specified in its charter) Delaware 1-768 37-0602744 (State or other jurisdiction of incorporation) (Commission File Numbe |
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| September 1, 2023 |
Exhibit 10.3 JAPAN LOCAL CURRENCY ADDENDUM (364-DAY FACILITY) JAPAN LOCAL CURRENCY ADDENDUM, dated as of August 31, 2023, to the Credit Agreement (as defined below), among Caterpillar Financial Services Corporation, Caterpillar Finance Kabushiki Kaisha, the Japan Local Currency Banks (as defined below), Citibank, N.A., as Agent, and MUFG Bank, Ltd., as Japan Local Currency Agent. ARTICLE I Definit |
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| August 9, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 8, 2023 CATERPILLAR INC. (Exact name of registrant as specified in its charter) Delaware 1-768 37-0602744 (State or other jurisdiction of incorporation) (Commission File Number |
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| August 2, 2023 |
Form of Restricted Stock Unit Award for Directors pursuant to the 2023 Long-Term Incentive Plan EXHIBIT 10.2 Caterpillar Inc. 2023 Long-Term Incentive Plan Restricted Stock Unit Award Notice %%FIRSTNAMEMIDDLENAMELASTNAME%-% Grant Date: %%OPTIONDATE,'Month DD, YYYY'%-% Grant Number: %%OPTIONNUMBER%-% Units Granted: %%TOTALSHARESGRANTED,'999,999,999'%-% Vesting Date: %%VESTDATEPERIOD1,'Month DD, YYYY'%-% The Board of Directors of Caterpillar Inc. (the “Company”) has granted you the number of r |
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| August 2, 2023 |
Form of Nonqualified Stock Options Award pursuant to the 2023 Long-Term Incentive Plan EXHIBIT 10.3 Caterpillar Inc. 2023 Long-Term Incentive Plan Nonqualified Stock Option Award Notice %%FIRSTNAMEMIDDLENAMELASTNAME%-% Grant Date: %%OPTIONDATE,'Month DD, YYYY'%-% Grant Number: %%OPTIONNUMBER%-% Units Granted: %%TOTALSHARESGRANTED,'999,999,999'%-% Option Price: %%OPTIONPRICE,'$999,999,999.99'%-% Expiration Date: %%EXPIREDATEPERIOD1,'Month DD, YYYY'%-% The Board of Directors of Caterp |
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| August 2, 2023 |
Form of Performance-Based Restricted Stock Unit Award pursuant to the 2023 Long-Term Incentive Plan EXHIBIT 10.4 Caterpillar Inc. 2023 Long-Term Incentive Plan Performance-Based Restricted Stock Unit Award Notice %%FIRSTNAMEMIDDLENAMELASTNAME%-% Grant Date: %%OPTIONDATE,'Month DD, YYYY'%-% Grant Number: %%OPTIONNUMBER%-% Units Granted: %%TOTALSHARESGRANTED,'999,999,999'%-% Vesting Date: %%VESTDATEPERIOD1,'Month DD, YYYY'%-% The Board of Directors of Caterpillar Inc. (the “Company”) has granted y |
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| August 2, 2023 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 1-768 CATERPI |
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| August 2, 2023 |
Form of Restricted Stock Unit Award pursuant to the 2023 Long-Term Incentive Plan EXHIBIT 10.1 Caterpillar Inc. 2023 Long-Term Incentive Plan Restricted Stock Unit Award Notice %%FIRSTNAMEMIDDLENAMELASTNAME%-% Grant Date: %%OPTIONDATE,'Month DD, YYYY'%-% Grant Number: %%OPTIONNUMBER%-% Units Granted: %%TOTALSHARESGRANTED,'999,999,999'%-% The Board of Directors of Caterpillar Inc. (the “Company”) has granted you the number of restricted stock units (“RSUs”) specified above on th |
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| August 2, 2023 |
EXHIBIT 10.5 Caterpillar Inc. 2023 Long-Term Incentive Plan Nonqualified Stock Option Award Notice – China Payroll Addendum %%FIRSTNAMEMIDDLENAMELASTNAME%-% Grant Date: %%OPTIONDATE,'Month DD, YYYY'%-% Grant Number: %%OPTIONNUMBER%-% Units Granted: %%TOTALSHARESGRANTED,'999,999,999'%-% Option Price: %%OPTIONPRICE,'$999,999,999.99'%-% Expiration Date: %%EXPIREDATEPERIOD1,'Month DD, YYYY'%-% Notwith |
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| August 1, 2023 |
Exhibit 99.1 Caterpillar Inc. 2Q 2023 Earnings Release FOR IMMEDIATE RELEASE Caterpillar Reports Second-Quarter 2023 Results Second Quarter ($ in billions except profit per share) 2023 2022 Sales and Revenues $17.3 $14.2 Profit Per Share $5.67 $3.13 Adjusted Profit Per Share $5.55 $3.18 ● Second-quarter 2023 sales and revenues increased 22% to $17.3 billion ● Second-quarter 2023 profit per share o |
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| August 1, 2023 |
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 1, 2023 CATERPILLAR INC. (Exact name of registrant as specified in its charter) Delaware 1-768 37-0602744 (State or other jurisdiction of incorporation) (Commission File Number |
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| August 1, 2023 |
EXHIBIT 99.2 Caterpillar Inc. (“Caterpillar”, “we” or “our”) is furnishing supplemental information concerning (i) retail sales of machines to end users and (ii) retail sales of power systems (including reciprocating and turbine engines and locomotives) to end users and Original Equipment Manufacturers (“OEMs”). Caterpillar sells the majority of its machinery and power systems to independently own |
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| June 22, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 11-K (Mark One) [X] ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 OR [ ] TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission File No. 1-768 CATERPILLAR RAIL DIVISION RE |
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| June 22, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 11-K (Mark One) [X] ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 OR [ ] TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission File No. 1-768 SOLAR SAVINGS AND INVESTMENT |
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| June 22, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 11-K (Mark One) [X] ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 OR [ ] TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission File No. 1-768 CATERPILLAR GLOBAL MINING LE |
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| June 22, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 11-K (Mark One) [X] ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 OR [ ] TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission File No. 1-768 CATERPILLAR INC. TAX DEFERRE |
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| June 22, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 11-K (Mark One) [X] ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 OR [ ] TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission File No. 1-768 CATERPILLAR 401(K) SAVINGS P |
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| June 21, 2023 |
Exhibit 107.1 Calculation of Filing Fee Tables Form S-8 (Form Type) Caterpillar Inc. (Exact Name of Registrant as Specified in its Charter) Table 1 – Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered (1) Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Equity Common Stock, par value $1. |
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| June 21, 2023 |
As filed with the Securities and Exchange Commission on June 21, 2023 As filed with the Securities and Exchange Commission on June 21, 2023 Registration No. |
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| June 20, 2023 |
Exhibit 99.1 June 14, 2023 Caterpillar contact: Tiffany Heikkila Global Government & Corporate Affairs 832-573-0958 [email protected] FOR IMMEDIATE RELEASE Caterpillar Inc. Increases Dividend IRVING, Texas, June 14, 2023 – The Board of Directors of Caterpillar Inc. (NYSE: CAT) voted today to raise the quarterly dividend by ten cents, an 8% increase, to one dollar and thirty cents ($1.30) pe |
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| June 20, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 14, 2023 CATERPILLAR INC. (Exact name of registrant as specified in its charter) Delaware 1-768 37-0602744 (State or other jurisdiction of incorporation) (Commission File Number) |
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| June 20, 2023 |
Exhibit 10.1 CATERPILLAR INC. 2023 LONG-TERM INCENTIVE PLAN (EFFECTIVE AS OF JUNE 15, 2023) I. INTRODUCTION 1.1 Purposes. The purposes of the Caterpillar Inc. 2023 Long-Term Incentive Plan (this “Plan”) are (i) to align the interests of the Company’s stockholders and the recipients of awards under this Plan by increasing the proprietary interest of such recipients in the Company’s growth and succe |
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| May 26, 2023 |
CATERPILLAR INC. Conflict Minerals Report For The Year Ended December 31, 2022 EX-1.01 2 exhibit101toformsdfy2022.htm EX-1.01 EX-1.01 2 exhibit101cmr.htm EXHIBIT 1.01 EXHIBIT 1.01 CATERPILLAR INC. Conflict Minerals Report For The Year Ended December 31, 2022 Section 1: Introduction and Company Overview This Conflict Minerals Report (“CMR”) of Caterpillar Inc. (herein referred to as “Caterpillar,” “we,” or “our”) is being filed in accordance with Rule 13p-1 under the Securiti |
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| May 26, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD SPECIALIZED DISCLOSURE REPORT CATERPILLAR INC. (Exact name of the registrant as specified in its charter) Delaware 1-768 37-0602744 (State or other jurisdiction of incorporation or organization) (Commission File Number) (IRS Employer Identification No.) 5205 N. O'Connor Boulevard, Suite 100, Suite 100, Irving, Texas 75 |
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| May 24, 2023 |
PX14A6G 1 o524230px14a6g.htm Caterpillar Inc. (CAT) Shareholder Alert Voluntary submission by John Chevedden, POB 2673, Redondo Beach, CA 90278 Caterpillar shareholder since 1997 Vote FOR Proposal 6 at Caterpillar’s (“CAT” or “the Company”) shareholder meeting on June 14, 2023. The Proposal’s Resolved Clause: RESOLVED: Shareholders request that the Board of Directors conduct an evaluation and issu |
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| May 9, 2023 |
NOTICE OF EXEMPT SOLICITATION NAME OF REGISTRANT: Caterpillar Inc. NAME OF PERSON RELYING ON EXEMPTION: General Board of Pension and Health Benefits of The United Methodist Church, Incorporated in Illinois d/b/a Wespath Benefits and Investments ADDRESS OF PERSON RELYING ON EXEMPTION: 1901 Chestnut Ave, Glenview, IL 60025 To: Caterpillar Inc. Shareholders Subject: 2023 Proxy Statement—Item No. 8: R |
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| May 3, 2023 |
Form of Performance-Based Restricted Stock Unit Award pursuant to the 2014 Long-Term Incentive Plan EXHIBIT 10.4 Caterpillar Inc. 2014 Long-Term Incentive Plan Performance-Based Restricted Stock Unit Award Notice %%FIRSTNAMEMIDDLENAMELASTNAME%-% Grant Date: %%OPTIONDATE,'Month DD, YYYY'%-% Grant Number: %%OPTIONNUMBER%-% Units Granted: %%TOTALSHARESGRANTED,'999,999,999'%-% Vesting Date: %%VESTDATEPERIOD1,'Month DD, YYYY'%-% The Board of Directors of Caterpillar Inc. (the “Company”) has granted y |
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| May 3, 2023 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 1-768 CATERP |
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| May 3, 2023 |
EXHIBIT 10.1 Caterpillar Inc. 2014 Long-Term Incentive Plan Restricted Stock Unit Award Notice %%FIRSTNAMEMIDDLENAMELASTNAME%-% Grant Date: %%OPTIONDATE,'Month DD, YYYY'%-% Grant Number: %%OPTIONNUMBER%-% Units Granted: %%TOTALSHARESGRANTED,'999,999,999'%-% The Board of Directors of Caterpillar Inc. (the “Company”) has granted you the number of restricted stock units (“RSUs”) specified above on th |
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| May 3, 2023 |
EXHIBIT 10.2 Caterpillar Inc. 2014 Long-Term Incentive Plan Restricted Stock Unit Award Notice %%FIRSTNAMEMIDDLENAMELASTNAME%-% Grant Date: %%OPTIONDATE,'Month DD, YYYY'%-% Grant Number: %%OPTIONNUMBER%-% Units Granted: %%TOTALSHARESGRANTED,'999,999,999'%-% Vesting Date: %%VESTDATEPERIOD1,'Month DD, YYYY'%-% The Board of Directors of Caterpillar Inc. (the “Company”) has granted you the number of r |
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| May 3, 2023 |
EXHIBIT 10.3 Caterpillar Inc. 2014 Long-Term Incentive Plan Nonqualified Stock Option Award Notice %%FIRSTNAMEMIDDLENAMELASTNAME%-% Grant Date: %%OPTIONDATE,'Month DD, YYYY'%-% Grant Number: %%OPTIONNUMBER%-% Units Granted: %%TOTALSHARESGRANTED,'999,999,999'%-% Option Price: %%OPTIONPRICE,'$999,999,999.99'%-% Expiration Date: %%EXPIREDATEPERIOD1,'Month DD, YYYY'%-% The Board of Directors of Caterp |
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| May 1, 2023 |
Proposal 5 – Approval of Caterpillar Inc. 2023 Long-Term Incentive Plan, UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| May 1, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| May 1, 2023 |
COURTESY PDF OF PROXY STATEMENT D. James Umpleby III Chairman and Chief Executive Officer OUR VALUES IN ACTION Integrity The Power of Honesty Excellence The Power of Quality Teamwork The Power of Working Together Commitment The Power of Responsibility Sustainability The Power of Endurance “Caterpillar’s Values in Action guide our business conduct with our customers, partners and one another as we fulfill our purpose of helping our |
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| April 27, 2023 |
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 27, 2023 CATERPILLAR INC. (Exact name of registrant as specified in its charter) Delaware 1-768 37-0602744 (State or other jurisdiction of incorporation) (Commission File Number |
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| April 27, 2023 |
Exhibit 99.1 Caterpillar Inc. 1Q 2023 Earnings Release FOR IMMEDIATE RELEASE Caterpillar Reports First-Quarter 2023 Results First Quarter ($ in billions except profit per share) 2023 2022 Sales and Revenues $15.9 $13.6 Profit Per Share $3.74 $2.86 Adjusted Profit Per Share $4.91 $2.88 ● First-quarter 2023 sales and revenues increased 17% to $15.9 billion ● First-quarter 2023 profit per share of $3 |
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| April 27, 2023 |
EXHIBIT 99.2 Caterpillar Inc. (“Caterpillar”, “we” or “our”) is furnishing supplemental information concerning (i) retail sales of machines to end users and (ii) retail sales of power systems (including reciprocating and turbine engines and locomotives) to end users and Original Equipment Manufacturers (“OEMs”). Caterpillar sells the majority of its machinery and power systems to independently own |
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| February 15, 2023 |
EX-99.25 2 ruleprovisionnotice.htm NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The New York Stock Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on February 27, 2023, pursuant to the provisions of Rule 12d2-2 (a). [ X ] 17 CFR 240.12 |
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| February 15, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission File No. 1-768 CA |
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| February 15, 2023 |
Subsidiaries and Affiliates of the Registrant EXHIBIT 21 CATERPILLAR INC. List of Subsidiaries and Affiliated Companies (as of December 31, 2022) Direct and Indirect Wholly-Owned Subsidiaries Name of Company Where Organized 1214213 B.C. Ltd. Canada Asia Power Systems (Tianjin) Ltd. China Banco Caterpillar S.A. Brazil Bucyrus Australia Surface Pty. Ltd. Australia Bucyrus Europe Holdings, Ltd. England and Wales Bucyrus Europe Limited England an |
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| February 13, 2023 |
CAT / Caterpillar Inc. / Capital World Investors - SEC SCHEDULE 13G Passive Investment SC 13G 1 SEC13GFiling.htm SEC SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Caterpillar Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 149123101 (CUSIP Number) December 30, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to design |
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| February 9, 2023 |
CAT / Caterpillar Inc. / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SC 13G/A 1 tv0531-caterpillarinc.htm SCHEDULE 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 10)* Name of issuer: Caterpillar Inc. Title of Class of Securities: Common Stock CUSIP Number: 149123101 Date of Event Which Requires Filing of this Statement: December 30, 2022 Check the appropriate box to designate th |
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| February 2, 2023 |
February 1, 2023 Caterpillar contact: Tiffany Heikkila Global Government & Corporate Affairs Mobile: 832-573-0958 Tiffany. |
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| February 2, 2023 |
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 27, 2023 CATERPILLAR INC. (Exact name of registrant as specified in its charter) Delaware 1-768 37-0602744 (State or other jurisdiction of incorporation) (Commission File Numb |
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| January 31, 2023 |
EX-99.2 7 ex992toformxretailstatisti.htm EX-99.2 EXHIBIT 99.2 Caterpillar Inc. (“Caterpillar”, “we” or “our”) is furnishing supplemental information concerning (i) retail sales of machines to end users and (ii) retail sales of power systems (including reciprocating and turbine engines and locomotives) to end users and Original Equipment Manufacturers (“OEMs”). Caterpillar sells the majority of its |
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| January 31, 2023 |
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 31, 2023 CATERPILLAR INC. (Exact name of registrant as specified in its charter) Delaware 1-768 37-0602744 (State or other jurisdiction of incorporation) (Commission File Numb |
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| January 31, 2023 |
Exhibit 99.1 Caterpillar Inc. 4Q 2022 Earnings Release January 31, 2023 FOR IMMEDIATE RELEASE Caterpillar Reports Fourth-Quarter and Full-Year 2022 Results ● Fourth-quarter 2022 sales and revenues up 20%; full-year sales and revenues up 17% ● Fourth-quarter 2022 profit per share of $2.79; adjusted profit per share of $3.86 ● Fourth-quarter 2022 included an unfavorable ME&T foreign currency impact |
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| November 2, 2022 |
EXHIBIT 10.2 FIRST AMENDMENT TO THE CATERPILLAR INC. 2014 LONG-TERM INCENTIVE PLAN Caterpillar Inc. (the ?Company?) maintains the Caterpillar Inc. 2014 Long-Term Incentive (the ?Plan?). The Plan was originally approved by stockholders effective on June 11, 2014. On June 14, 2014, stockholders approved an amendment and restatement of the Plan that became effective on such date. Pursuant to Section |
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| November 2, 2022 |
EXHIBIT 10.7 FIFTH AMENDMENT TO THE CATERPILLAR INC. SUPPLEMENTAL DEFERRED COMPENSATION PLAN Effective as of January 1, 2005, Caterpillar Inc. (the ?Company?) established the Caterpillar Inc. Supplemental Deferred Compensation Plan (the ?Plan?). By a document dated May 9, 2017, the Plan was most recently amended and restated effective May 15, 2017, and has since been amended on four occasions. Pur |
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| November 2, 2022 |
EXHIBIT 10.6 FOURTH AMENDMENT TO THE CATERPILLAR INC. DEFERRED EMPLOYEES? INVESTMENT PLAN Caterpillar Inc. (the ?Company?) sponsors the Caterpillar Inc. Deferred Employees? Investment Plan (the ?Plan?). The Plan was most recently amended and restated effective May 15, 2017 by a document dated May 9, 2017, and has since been amended on three occasions. Pursuant to Section 9.1 of the Plan, the Compa |
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| November 2, 2022 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 1-768 CA |
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| November 2, 2022 |
EXHIBIT 10.5 SECOND AMENDMENT TO THE CATERPILLAR INC. DIRECTORS? DEFERRED COMPENSATION PLAN Caterpillar Inc. (the ?Company?) established the Caterpillar Inc. Directors? Deferred Compensation Plan (the ?Plan?) to provide members of the Board of Directors with an opportunity to defer the payment of compensation. The Plan was most recently amended and restated effective July 1, 2018, by a document da |
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| November 2, 2022 |
EXHIBIT 10.4 FOURTH AMENDMENT TO THE CATERPILLAR INC. SUPPLEMENTAL EMPLOYEES? INVESTMENT PLAN Caterpillar Inc. (the ?Company?) sponsors the Caterpillar Inc. Supplemental Employees? Investment Plan (the ?Plan?). The Plan was most recently amended and restated effective May 15, 2017 by a document dated May 9, 2017, and has since been amended on three occasions. Pursuant to Section 9.1 of the Plan, t |
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| November 2, 2022 |
EXHIBIT 10.3 SECOND AMENDMENT TO THE CATERPILLAR INC. SUPPLEMENTAL RETIREMENT PLAN Caterpillar Inc. (the ?Company?) sponsors the Caterpillar Inc. Supplemental Retirement Plan (the ?Plan?). The Plan was most recently amended and restated effective January 1, 2020 by a document dated December 16, 2020, and has since been amended on one occasion. Pursuant to Section 7.1 of the Plan, the Company has r |
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| November 2, 2022 |
Fourth Amendment to the Caterpillar Inc. 2006 Long-Term Incentive Plan EXHIBIT 10.1 FOURTH AMENDMENT TO THE CATERPILLAR INC. 2006 LONG-TERM INCENTIVE PLAN Caterpillar Inc. (the ?Company?) maintains the Caterpillar Inc. 2006 Long-Term Incentive (the ?Plan?). The Plan was originally approved by stockholders effective on June 14, 2006. On June 9, 2010, stockholders approved an amendment and restatement of the Plan that became effective on such date. Pursuant to Section |
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| October 27, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 27, 2022 CATERPILLAR INC. (Exact name of registrant as specified in its charter) Delaware 1-768 37-0602744 (State or other jurisdiction of incorporation) (Commission File Numb |
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| October 27, 2022 |
EXHIBIT 99.2 Caterpillar Inc. (?Caterpillar?, ?we? or ?our?) is furnishing supplemental information concerning (i) retail sales of machines to end users and (ii) retail sales of power systems (including reciprocating and turbine engines and locomotives) to end users and Original Equipment Manufacturers (?OEMs?). Caterpillar sells the majority of its machinery and power systems to independently own |
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| October 27, 2022 |
Exhibit 99.1 Caterpillar Inc. 3Q 2022 Earnings Release October 27, 2022 FOR IMMEDIATE RELEASE Caterpillar Reports Third-Quarter 2022 Results Third Quarter ($ in billions except profit per share) 2022 2021 Sales and Revenues $15.0 $12.4 Profit Per Share $3.87 $2.60 Adjusted Profit Per Share $3.95 $2.66 ? Third-quarter 2022 sales and revenues increased 21% to $15.0 billion ? Third-quarter 2022 profi |
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| October 13, 2022 |
Jim Umpleby to Continue as Caterpillar Chairman & CEO October 13, 2022 Caterpillar contact: Rachel Potts Global Government & Corporate Affairs Mobile: 309-573-3444 PottsRachelA@cat. |
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| October 13, 2022 |
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 13, 2022 CATERPILLAR INC. (Exact name of registrant as specified in its charter) Delaware 1-768 37-0602744 (State or other jurisdiction of incorporation) (Commission File Numb |
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| October 7, 2022 |
CORRESP 1 filename1.htm Caterpillar Inc. 5205 N O'Connor Boulevard Suite 100 Irving, TX 75039 October 7, 2022 VIA EDGAR SUBMISSION U.S. Securities and Exchange Commission Division of Corporation Finance Office of Technology Attention: Priscilla Dao, Staff Attorney Re: Caterpillar Inc. Annual Report on Form 10-K Filed February 16, 2022 File No. 001-00768 Ladies and Gentlemen: Caterpillar Inc. (“Cat |
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| September 8, 2022 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 8, 2022 CATERPILLAR INC. (Exact name of registrant as specified in its charter) Delaware 1-768 37-0602744 (State or other jurisdiction of incorporation) (Commission File Num |
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| September 6, 2022 |
EXHIBIT 10.2 LOCAL CURRENCY ADDENDUM (364-DAY FACILITY) LOCAL CURRENCY ADDENDUM, dated as of September 1, 2022, to the Credit Agreement (as defined below), among Caterpillar Financial Services Corporation, Caterpillar International Finance Designated Activity Company, the Local Currency Banks (as defined below), Citibank, N.A., as Agent, and Citibank Europe plc, UK Branch, as Local Currency Agent. |
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| September 6, 2022 |
EX-10.4 5 ex104-thirdamendmendandres.htm EX-10.4 THIRD AMENDED AND RESTATED CREDIT AGREEMENT (3Y) THIRD AMENDED AND RESTATED CREDIT AGREEMENT (Three-Year Facility) Dated as of September 1, 2022 among CATERPILLAR INC., CATERPILLAR FINANCIAL SERVICES CORPORATION, CATERPILLAR INTERNATIONAL FINANCE DESIGNATED ACTIVITY COMPANY, and CATERPILLAR FINANCE KABUSHIKI KAISHA, as Borrowers THE FINANCIAL INSTIT |
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| September 6, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 6, 2022 CATERPILLAR INC. (Exact name of registrant as specified in its charter) Delaware 1-768 37-0602744 (State or other jurisdiction of incorporation) (Commission File Num |
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| September 6, 2022 |
EXHIBIT 10.6 JAPAN LOCAL CURRENCY ADDENDUM (THREE-YEAR FACILITY) JAPAN LOCAL CURRENCY ADDENDUM, dated as of September 1, 2022, to the Credit Agreement (as defined below), among Caterpillar Financial Services Corporation, Caterpillar Finance Kabushiki Kaisha, the Japan Local Currency Banks (as defined below), Citibank, N.A., as Agent, and MUFG Bank, Ltd., as Japan Local Currency Agent. ARTICLE I De |
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| September 6, 2022 |
EXHIBIT 10.9 JAPAN LOCAL CURRENCY ADDENDUM (FIVE-YEAR FACILITY) JAPAN LOCAL CURRENCY ADDENDUM, dated as of September 1, 2022, to the Credit Agreement (as defined below), among Caterpillar Financial Services Corporation, Caterpillar Finance Kabushiki Kaisha, the Japan Local Currency Banks (as defined below), Citibank, N.A., as Agent, and MUFG Bank, Ltd., as Japan Local Currency Agent. ARTICLE I Def |
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| September 6, 2022 |
EX-10.8 9 ex108-localcurrencyaddendu.htm EX-10.8 LOCAL CURRENCY ADDENDUM EXHIBIT 10.8 LOCAL CURRENCY ADDENDUM (FIVE-YEAR FACILITY) LOCAL CURRENCY ADDENDUM, dated as of September 1, 2022, to the Credit Agreement (as defined below), among Caterpillar Financial Services Corporation, Caterpillar International Finance Designated Activity Company, the Local Currency Banks (as defined below), Citibank, N |
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| September 6, 2022 |
EXHIBIT 10.1 CREDIT AGREEMENT (2022 364-Day Facility) Dated as of September 1, 2022 among CATERPILLAR INC., CATERPILLAR FINANCIAL SERVICES CORPORATION, CATERPILLAR INTERNATIONAL FINANCE DESIGNATED ACTIVITY COMPANY, and CATERPILLAR FINANCE KABUSHIKI KAISHA, as Borrowers THE FINANCIAL INSTITUTIONS NAMED HEREIN, as Banks CITIBANK, N.A., as Agent, CITIBANK EUROPE PLC, UK BRANCH, as Local Currency Agen |
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| September 6, 2022 |
EX-10.5 6 ex105-localcurrencyaddendu.htm EX-10.5 LOCAL CURRENCY ADDENDUM EXHIBIT 10.5 LOCAL CURRENCY ADDENDUM (THREE-YEAR FACILITY) LOCAL CURRENCY ADDENDUM, dated as of September 1, 2022, to the Credit Agreement (as defined below), among Caterpillar Financial Services Corporation, Caterpillar International Finance Designated Activity Company, the Local Currency Banks (as defined below), Citibank, |
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| September 6, 2022 |
EX-10.7 8 ex107-thirdamendedandresta.htm EX-10.7 THIRD AMENDED AND RESTATED CREDIT AGREEMENT (5Y) EXHIBIT 10.7 THIRD AMENDED AND RESTATED CREDIT AGREEMENT (Five-Year Facility) Dated as of September 1, 2022 among CATERPILLAR INC., CATERPILLAR FINANCIAL SERVICES CORPORATION, CATERPILLAR INTERNATIONAL FINANCE DESIGNATED ACTIVITY COMPANY, and CATERPILLAR FINANCE KABUSHIKI KAISHA, as Borrowers THE FINA |
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| September 6, 2022 |
EXHIBIT 10.3 JAPAN LOCAL CURRENCY ADDENDUM (364-DAY FACILITY) JAPAN LOCAL CURRENCY ADDENDUM, dated as of September 1, 2022, to the Credit Agreement (as defined below), among Caterpillar Financial Services Corporation, Caterpillar Finance Kabushiki Kaisha, the Japan Local Currency Banks (as defined below), Citibank, N.A., as Agent, and MUFG Bank, Ltd., as Japan Local Currency Agent. ARTICLE I Defin |
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| August 3, 2022 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 1-768 CATERPI |
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| August 2, 2022 |
Exhibit 99.1 Caterpillar Inc. 2Q 2022 Earnings Release August 2, 2022 FOR IMMEDIATE RELEASE Caterpillar Reports Second-Quarter 2022 Results Second Quarter ($ in billions except profit per share) 2022 2021 Sales and Revenues $14.2 $12.9 Profit Per Share $3.13 $2.56 Adjusted Profit Per Share $3.18 $2.60 ? Second-quarter 2022 sales and revenues increased 11% to $14.2 billion ? Second-quarter 2022 pro |
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| August 2, 2022 |
EX-99.2 3 ex992toformcat2qretailstat.htm EX-99.2 EXHIBIT 99.2 Caterpillar Inc. (“Caterpillar”, “we” or “our”) is furnishing supplemental information concerning (i) retail sales of machines to end users and (ii) retail sales of power systems (including reciprocating and turbine engines and locomotives) to end users and Original Equipment Manufacturers (“OEMs”). Caterpillar sells the majority of its |
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| August 2, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 2, 2022 CATERPILLAR INC. (Exact name of registrant as specified in its charter) Delaware 1-768 37-0602744 (State or other jurisdiction of incorporation) (Commission File Number |
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| June 24, 2022 |
11-K 1 catraildivisionretirements.htm 11-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 11-K (Mark One) [X] ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 OR [ ] TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission |
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| June 24, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 11-K (Mark One) [X] ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 OR [ ] TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission File No. 1-768 CATERPILLAR 401(K) SAVINGS P |
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| June 24, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 11-K (Mark One) [X] ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 OR [ ] TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission File No. 1-768 CATERPILLAR INC. TAX DEFERRE |
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| June 24, 2022 |
11-K 1 solarsavingsinvestmentplan.htm 11-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 11-K (Mark One) [X] ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 OR [ ] TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission |
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| June 24, 2022 |
11-K 1 caterpillarglobalminingleg.htm 11-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 11-K (Mark One) [X] ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 OR [ ] TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission |
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| June 14, 2022 |
Marked Bylaws of Caterpillar Inc. EX-3.2 3 markedbylaws8jun2022.htm EX-3.2 CATERPILLAR INC. BYLAWS (as amended and restated as of April June 8, 20220) Article I Offices Section 1. Registered Office. The registered office of the corporation in the State of Delaware shall be in the City of Wilmington, County of New Castle, State of Delaware. Section 2. Other Offices. The corporation may also have offices at such other places both wi |
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| June 14, 2022 |
Caterpillar Inc. Increases Dividend EX-99.1 4 ex991xdividendpressrelease.htm EX-99.1 June 8, 2022 Caterpillar contact: Kate Kenny Global Government & Corporate Affairs Mobile: 309-361-9333 [email protected] FOR IMMEDIATE RELEASE Caterpillar Inc. Increases Dividend DEERFIELD, Ill. – The Board of Directors of Caterpillar Inc. (NYSE: CAT) voted today to raise the quarterly cash dividend by nine cents, an 8% increase, to one dollar and |
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| June 14, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 14, 2022 CATERPILLAR INC. (Exact name of registrant as specified in its charter) Delaware 1-768 37-0602744 (State or other jurisdiction of incorporation) (Commission File Number) |
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| June 14, 2022 |
CATERPILLAR INC. BYLAWS (as amended and restated as of June 8, 2022) Article I Offices Section 1. Registered Office. The registered office of the corporation in the State of Delaware shall be in the City of Wilmington, County of New Castle, State of Delaware. Section 2. Other Offices. The corporation may also have offices at such other places both within and without the State of Delaware as the bo |
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| May 27, 2022 |
CATERPILLAR INC. Conflict Minerals Report For The Year Ended December 31, 2021 EXHIBIT 1.01 CATERPILLAR INC. Conflict Minerals Report For The Year Ended December 31, 2021 Section 1: Introduction and Company Overview This Conflict Minerals Report (?CMR?) of Caterpillar Inc. (herein referred to as ?Caterpillar,? ?we,? or ?our?) is being filed in accordance with Rule 13p-1 under the Securities Exchange Act of 1934 (?Rule 13p-1?) for calendar year 2021. Unless otherwise defined |
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| May 27, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD SPECIALIZED DISCLOSURE REPORT CATERPILLAR INC. (Exact name of the registrant as specified in its charter) Delaware 1-768 37-0602744 (State or other jurisdiction of incorporation or organization) (Commission File Number) (IRS Employer Identification No.) 510 Lake Cook Road, Suite 100, Deerfield, Illinois 60015 (Address |
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| May 18, 2022 |
Notice of Exempt Solicitation - Caterpillar Inc. (CAT) - Shareholder Alert Notice of Exempt Solicitation - Caterpillar Inc. (CAT) - Shareholder Alert Voluntary submission by James McRitchie on behalf of Myra K. Young Shareholder since 2012 Please vote FOR Proposal #5 by 7, 2022 Subject: Trojan Horse Written Consent vs Real Written Consent Subject: Please Support the Shareholder Proposal Requesting Enhanced Disclosure of Lobbying Information To Caterpillar Inc. Shareholde |
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| May 17, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| May 13, 2022 |
NOTICE OF EXEMPT SOLICITATION NAME OF REGISTRANT: Caterpillar Inc. NAME OF PERSON RELYING ON EXEMPTION: General Board of Pension and Health Benefits of The United Methodist Church, Incorporated in Illinois d/b/a Wespath Benefits and Investments ADDRESS OF PERSON RELYING ON EXEMPTION: 1901 Chestnut Ave, Glenview, IL 60025 To: Caterpillar Inc. Shareholders Subject: 2022 Proxy Statement?Item No. 6: R |
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| May 6, 2022 |
Caterpillar, Inc. (CAT) Vote Yes: Item #4 – Paris Aligned Goals Annual Meeting: June 8, 2022 Main Post Office, P.O. Box 751 www.asyousow.org Berkeley, CA 94704 BUILDING A SAFE, JUST, AND SUSTAINABLE WORLD SINCE 1992 Notice of Exempt Solicitation Pursuant to Rule 14a-103 Name of the Registrant: Caterpillar, Inc. (CAT) Name of persons relying on exemption: As You Sow Address of persons relying on exemption: Main Post Office, P.O. Box 751, Berkeley, CA 94704 Written materials are submitted p |
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| May 4, 2022 |
Form of Restricted Stock Unit Award pursuant to the 2014 Long-Term Incentive Plan Exhibit 10.1 Caterpillar Inc. 2014 Long-Term Incentive Plan Restricted Stock Unit Award Notice %%FIRSTNAMEMIDDLENAMELASTNAME%-% Grant Date: %%OPTIONDATE,'Month DD, YYYY'%-% Grant Number: %%OPTIONNUMBER%-% Units Granted: %%TOTALSHARESGRANTED,'999,999,999'%-% The Board of Directors of Caterpillar Inc. (the ?Company?) has granted you the number of restricted stock units (?RSUs?) specified above on th |
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| May 4, 2022 |
Form of Performance-Based Restricted Stock Unit Award pursuant to the 2014 Long-Term Incentive Plan Exhibit 10.4 Caterpillar Inc. 2014 Long-Term Incentive Plan Performance-Based Restricted Stock Unit Award Notice %%FIRSTNAMEMIDDLENAMELASTNAME%-% Grant Date: %%OPTIONDATE,'Month DD, YYYY'%-% Grant Number: %%OPTIONNUMBER%-% Units Granted: %%TOTALSHARESGRANTED,'999,999,999'%-% Vesting Date: %%VESTDATEPERIOD1,'Month DD, YYYY'%-% The Board of Directors of Caterpillar Inc. (the ?Company?) has granted y |
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| May 4, 2022 |
Form of Restricted Stock Unit Award for Directors pursuant to the 2014 Long-Term Incentive Plan Exhibit 10.2 Caterpillar Inc. 2014 Long-Term Incentive Plan Restricted Stock Unit Award Notice %%FIRSTNAMEMIDDLENAMELASTNAME%-% Grant Date: %%OPTIONDATE,'Month DD, YYYY'%-% Grant Number: %%OPTIONNUMBER%-% Units Granted: %%TOTALSHARESGRANTED,'999,999,999'%-% Vesting Date: %%VESTDATEPERIOD1,'Month DD, YYYY'%-% The Board of Directors of Caterpillar Inc. (the ?Company?) has granted you the number of r |
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| May 4, 2022 |
EX-10.3 4 catex103nqsoformawardnotic.htm EX-10.3 Exhibit 10.3 Caterpillar Inc. 2014 Long-Term Incentive Plan Nonqualified Stock Option Award Notice %%FIRSTNAMEMIDDLENAMELASTNAME%-% Grant Date: %%OPTIONDATE,'Month DD, YYYY'%-% Grant Number: %%OPTIONNUMBER%-% Units Granted: %%TOTALSHARESGRANTED,'999,999,999'%-% Option Price: %%OPTIONPRICE,'$999,999,999.99'%-% Expiration Date: %%EXPIREDATEPERIOD1,'Mo |
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| May 4, 2022 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 1-768 CATERP |
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| April 28, 2022 |
Exhibit 99.1 Caterpillar Inc. 1Q 2022 Earnings Release April 28, 2022 FOR IMMEDIATE RELEASE Caterpillar Reports First-Quarter 2022 Results First Quarter ($ in billions except profit per share) 2022 2021 Sales and Revenues $13.6 $11.9 Profit Per Share $2.86 $2.77 Adjusted Profit Per Share $2.88 $2.87 ? First-quarter 2022 sales and revenues increased 14% to $13.6 billion ? First-quarter 2022 profit |
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| April 28, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| April 28, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| April 28, 2022 | ||
| April 28, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 28, 2022 CATERPILLAR INC. (Exact name of registrant as specified in its charter) Delaware 1-768 37-0602744 (State or other jurisdiction of incorporation) (Commission File Number |
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| April 28, 2022 |
Caterpillar Inc. Quarterly Retail Sales Statistics Exhibit 99.2 ] ' Caterpillar Inc. (?Caterpillar?, ?we? or ?our?) is furnishing supplemental information concerning (i) retail sales of machines to end users and (ii) retail sales of power systems (including reciprocating and turbine engines and locomotives) to end users and Original Equipment Manufacturers (?OEMs?). Caterpillar sells the majority of its machinery and power systems to independently |
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| February 16, 2022 |
Exhibit 107.1 CALCULATION OF REGISTRATION FEE Title of securities to be registered Amount to be registered Proposed maximum offering price per share Proposed maximum aggregate offering price Amount of registration fee Common Stock, par value $1.00 per share 9,000,000 shares(1) $202.39(2) $1,821,510,000 $168,853.98 Caterpillar: Confidential Green |
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| February 16, 2022 |
EX-10.35 6 catexx1035x12312021x2ndam.htm EX-10.35 SOLAR MRO EXHIBIT 10.35 SECOND AMENDMENT TO THE SOLAR TURBINES INCORPORATED MANAGERIAL RETIREMENT OBJECTIVE PLAN Solar Turbines Incorporated (the “Company”) sponsors the Solar Turbines Incorporated Managerial Retirement Objective Plan (the “Plan”). By a document dated December 17, 2013, the Plan was most recently amended and restated effective Janu |
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| February 16, 2022 |
EXHIBIT 10.21 THIRD AMENDMENT TO THE CATERPILLAR INC. SUPPLEMENTAL EMPLOYEES? INVESTMENT PLAN Caterpillar Inc. (the ?Company?) sponsors the Caterpillar Inc. Supplemental Employees? Investment Plan (the ?Plan?). The Plan was most recently amended and restated effective May 15, 2017 by a document dated May 9, 2017. Pursuant to Section 9.1 of the Plan, the Company has reserved the right to amend the |
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| February 16, 2022 |
As filed with the Securities and Exchange Commission on February 16, 2022 As filed with the Securities and Exchange Commission on February 16, 2022 Registration No. |
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| February 16, 2022 |
EXHIBIT 10.28 THIRD AMENDMENT TO THE CATERPILLAR INC. DEFERRED EMPLOYEES? INVESTMENT PLAN Caterpillar Inc. (the ?Company?) sponsors the Caterpillar Inc. Deferred Employees? Investment Plan (the ?Plan?). The Plan was most recently amended and restated effective May 15, 2017 by a document dated May 9, 2017. Pursuant to Section 9.1 of the Plan, the Company has reserved the right to amend the Plan, in |
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| February 16, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission File No. 1-768 CA |
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| February 16, 2022 |
EXHIBIT 10.17 FIRST AMENDMENT TO THE CATERPILLAR INC. SUPPLEMENTAL RETIREMENT PLAN Caterpillar Inc. (the ?Company?) sponsors the Caterpillar Inc. Supplemental Retirement Plan (the ?Plan?). The Plan was most recently amended and restated effective January 1, 2020 by a document dated December 16, 2020. Pursuant to Section 7.1 of the Plan, the Company has reserved the right to amend the Plan, in whol |
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| February 16, 2022 |
Subsidiaries and Affiliates of the Registrant EXHIBIT 21 CATERPILLAR INC. List of Subsidiaries and Affiliated Companies (as of December 31, 2021) Direct and Indirect Wholly-Owned Subsidiaries Name of Company Where Organized Anchor Coupling Inc. Delaware Asia Power Systems (Tianjin) Ltd. China Banco Caterpillar S.A. Brazil Bucyrus Australia Surface Pty. Ltd. Australia Bucyrus Europe Holdings, Ltd. England and Wales Bucyrus Europe Limited Engla |
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| February 16, 2022 |
EXHIBIT 10.38 SECOND AMENDMENT TO THE SOLAR TURBINES INCORPORATED PENSION PLAN FOR EUROPEAN FOREIGN SERVICE EMPLOYEES Solar Turbines Incorporated (the ?Company?) sponsors the Solar Turbines Incorporated Pension Plan for European Foreign Service Employees (the ?Plan?). By a document dated March 24, 2015, the Plan was most recently amended and restated effective January 1, 2015. Pursuant to Article |
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| February 16, 2022 |
EXHIBIT 10.33 FOURTH AMENDMENT TO THE CATERPILLAR INC. SUPPLEMENTAL DEFERRED COMPENSATION PLAN Effective as of January 1, 2005, Caterpillar Inc. (the ?Company?) established the Caterpillar Inc. Supplemental Deferred Compensation Plan (the ?Plan?). By a document dated May 9, 2017, the Plan was most recently amended and restated effective May 15, 2017. Pursuant to Article IX of the Plan, the Company |
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| February 15, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 15, 2022 CATERPILLAR INC. (Exact name of registrant as specified in its charter) Delaware 1-768 37-0602744 (State or other jurisdiction of incorporation) (Commission File Num |
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| February 9, 2022 |
CAT / Caterpillar Inc. / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 9)* Name of issuer: Caterpillar Inc. Title of Class of Securities: Common Stock CUSIP Number: 149123101 Date of Event Which Requires Filing of this Statement: December 31, 2021 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: ??Ru |
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| February 8, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 8, 2022 CATERPILLAR INC. (Exact name of registrant as specified in its charter) Delaware 1-768 37-0602744 (State or other jurisdiction of incorporation) (Commission File Numb |
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| February 7, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 7, 2022 CATERPILLAR INC. (Exact name of registrant as specified in its charter) Delaware 1-768 37-0602744 (State or other jurisdiction of incorporation) (Commission File Numb |
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| January 28, 2022 |
Exhibit 99.1 Caterpillar Inc. 4Q 2021 Earnings Release January 28, 2022 FOR IMMEDIATE RELEASE Caterpillar Reports Fourth-Quarter and Full-Year 2021 Results ? Fourth-quarter 2021 sales and revenues up 23%; full-year sales and revenues up 22% ? Fourth-quarter 2021 profit per share of $3.91; adjusted profit per share of $2.69 ? 2021 profit per share of $11.83; adjusted profit per share of $10.81 ? St |
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| January 28, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 28, 2022 CATERPILLAR INC. (Exact name of registrant as specified in its charter) Delaware 1-768 37-0602744 (State or other jurisdiction of incorporation) (Commission File Numb |
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| January 28, 2022 |
EXHIBIT 99.2 Caterpillar Inc. (?Caterpillar?, ?we? or ?our?) is furnishing supplemental information concerning (i) retail sales of machines to end users and (ii) retail sales of power systems (including reciprocating and turbine engines and locomotives) to end users and Original Equipment Manufacturers (?OEMs?). Caterpillar sells the majority of its machinery and power systems to independently own |
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| December 13, 2021 |
Exhibit 25.1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM T-1 Statement of Eligibility Under The Trust Indenture Act of 1939 of a Corporation Designated to Act as Trustee Check if an Application to Determine Eligibility of a Trustee Pursuant to Section 305(b)(2) ? U.S. BANK NATIONAL ASSOCIATION (Exact name of Trustee as specified in its charter) 31-0841368 I.R.S. Employer Identif |
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| December 13, 2021 |
As filed with the Securities and Exchange Commission on December 13, 2021 TABLE OF CONTENTS As filed with the Securities and Exchange Commission on December 13, 2021 Registration Statement No. |
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| November 3, 2021 | ||
| November 3, 2021 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 1-768 CA |
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| November 3, 2021 |
EX-10.4 2 catex104amendmenttothree-.htm EX-10.4 EXHIBIT 10.4 AMENDMENT NO. 1 to SECOND AMENDED AND RESTATED CREDIT AGREEMENT (THREE-YEAR FACILITY), AMENDMENT NO. 1 TO LOCAL CURRENCY ADDENDUM and AMENDMENT NO. 1 to JAPAN LOCAL CURRENCY ADDENDUM This AMENDMENT NO. 1 TO SECOND AMENDED AND RESTATED CREDIT AGREEMENT (THREE-YEAR FACILITY), AMENDMENT NO. 1 TO LOCAL CURRENCY ADDENDUM and AMENDMENT NO. 1 T |
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| October 28, 2021 |
EX-99.1 2 ex991toformcat3q2021earnin.htm EX-99.1 EARNINGS RELEASE Exhibit 99.1 Caterpillar Inc. 3Q 2021 Earnings Release October 28, 2021 FOR IMMEDIATE RELEASE Caterpillar Reports Third-Quarter 2021 Results Third Quarter ($ in billions except profit per share) 2021 2020 Sales and Revenues $12.4 $9.9 Profit Per Share $2.60 $1.22 Adjusted Profit Per Share $2.66 $1.52 ● Third-quarter 2021 sales and r |
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| October 28, 2021 |
Caterpillar Inc. Quarterly Retail Sales Statistics EX-99.2 3 ex992toformcat3q2021retail.htm EX-99.2 RETAIL STATISTICS Exhibit 99.2 Caterpillar Inc. (“Caterpillar”, “we” or “our”) is furnishing supplemental information concerning (i) retail sales of machines to end users and (ii) retail sales of power systems (including reciprocating and turbine engines and locomotives) to end users and Original Equipment Manufacturers (“OEMs”). Caterpillar sells t |
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| October 28, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 28, 2021 CATERPILLAR INC. (Exact name of registrant as specified in its charter) Delaware 1-768 37-0602744 (State or other jurisdiction of incorporation) (Commission File Numb |
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| September 8, 2021 |
LOCAL CURRENCY ADDENDUM (364-DAY FACILITY) LOCAL CURRENCY ADDENDUM, dated as of September 2, 2021, to the Credit Agreement (as defined below), among Caterpillar Financial Services Corporation, Caterpillar International Finance Designated Activity Company, the Local Currency Banks (as defined below), Citibank, N. |
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| September 8, 2021 |
EX-10.5 6 ex105-amendno1to2ndar5xyea.htm EX-10.5 AMENDMENT TO 5 YEAR CREDIT AGR AMENDMENT NO. 1 to SECOND AMENDED AND RESTATED CREDIT AGREEMENT (FIVE-YEAR FACILITY), AMENDMENT NO. 1 TO LOCAL CURRENCY ADDENDUM and AMENDMENT NO. 1 to JAPAN LOCAL CURRENCY ADDENDUM This AMENDMENT NO. 1 TO SECOND AMENDED AND RESTATED CREDIT AGREEMENT (FIVE-YEAR FACILITY), AMENDMENT NO. 1 TO LOCAL CURRENCY ADDENDUM and |
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| September 8, 2021 |
AMENDMENT NO. 1 to SECOND AMENDED AND RESTATED CREDIT AGREEMENT (THREE-YEAR FACILITY), AMENDMENT NO. 1 TO LOCAL CURRENCY ADDENDUM and AMENDMENT NO. 1 to JAPAN LOCAL CURRENCY ADDENDUM This AMENDMENT NO. 1 TO SECOND AMENDED AND RESTATED CREDIT AGREEMENT (THREE-YEAR FACILITY), AMENDMENT NO. 1 TO LOCAL CURRENCY ADDENDUM and AMENDMENT NO. 1 TO JAPAN LOCAL CURRENCY ADDENDUM (this ?Amendment?), dated as |
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| September 8, 2021 |
JAPAN LOCAL CURRENCY ADDENDUM (364-DAY FACILITY) JAPAN LOCAL CURRENCY ADDENDUM, dated as of September 2, 2021, to the Credit Agreement (as defined below), among Caterpillar Financial Services Corporation, Caterpillar Finance Kabushiki Kaisha, the Japan Local Currency Banks (as defined below), Citibank, N. |
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| September 8, 2021 |
CREDIT AGREEMENT (2021 364-Day Facility) Dated as of September 2, 2021 among CATERPILLAR INC. |
