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As Of Filer Filing For·On·As Docs:Size 6/15/20 Caterpillar Inc 8-K:5,9 6/15/20 12:319K |
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Document |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 | |||||||||||
FORM | i 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): | |||||||||||
i CATERPILLAR
INC. | |||||||||||
(Exact name of registrant as specified in its charter) | |||||||||||
i Delaware | i 1-768 | i 37-0602744 | |||||||||
(State
or other jurisdiction of incorporation) | (Commission File Number) | (I.R.S Employer Identification No.) |
i 510
Lake Cook Road, | i Suite 100, | i Deerfield, | i Illinois | i 60015 | ||||||
(Address
of principal executive offices) | (Zip Code) | |||||||||
Registrant’s telephone number, including area code: | i (224) | i 551-4000 | ||||||||
Former
name or former address, if changed since last report: | N/A |
i ☐ | Written
communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) | ||||||||||
i ☐ | Soliciting
material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) | ||||||||||
i ☐ | Pre-commencement
communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) | ||||||||||
i ☐ | Pre-commencement
communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) | ||||||||||
Securities registered pursuant to Section 12(b) of the Act: | |||||||||||
Title of each class | Trading Symbol (s) | Name of each exchange
which registered | |||||||||
i Common Stock ($1.00 par value) | i CAT | i The
New York Stock Exchange | |||||||||
i 9 3/8% Debentures due March 15, 2021 | i CAT21 | i The
New York Stock Exchange | |||||||||
i 8% Debentures due February 15, 2023 | i CAT23 | i The
New York Stock Exchange | |||||||||
i 5.3% Debentures due September 15, 2035 | i CAT35 | i The
New York Stock Exchange | |||||||||
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions: | |||||||||||
Indicate by check mark whether the registrant is an emerging growth company as defined by Rule 405 of the Securities Act of | |||||||||||
1933 (17 CFR §230.405
of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR §240.12b-2 of this chapter). | |||||||||||
Emerging growth company | i ☐ | ||||||||||
If an emerging growth company, indicate by check mark if the registrant
has elected not to use the extended transition period | |||||||||||
for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. | ☐ |
Director | For | Against | Abstain | Broker
Non-Votes |
Kelly A. Ayotte | 369,125,084 | 6,507,073 | 1,148,664 | 93,766,354 |
David L. Calhoun | 363,505,583 | 9,905,031 | 3,370,207 | 93,766,354 |
Daniel M. Dickinson | 360,306,884 | 15,175,282 | 1,298,655 | 93,766,354 |
Juan
Gallardo | 364,400,473 | 11,108,456 | 1,271,892 | 93,766,354 |
William A. Osborn | 360,409,620 | 15,041,774 | 1,329,426 | 93,766,354 |
Debra L. Reed-Klages | 371,956,759 | 3,642,558 | 1,181,504 | 93,766,354 |
Edward
B. Rust, Jr. | 360,900,244 | 14,644,429 | 1,236,148 | 93,766,354 |
Susan C. Schwab | 364,667,840 | 10,792,321 | 1,320,660 | 93,766,354 |
D. James Umpleby III | 354,839,926 | 19,556,414 | 2,374,481 | 93,766,354 |
Miles
D. White | 362,422,694 | 13,072,265 | 1,285,862 | 93,766,354 |
Rayford Wilkins, Jr. | 371,499,341 | 4,023,259 | 1,258,221 | 93,766,354 |
For | Against | Abstain |
447,405,589 | 21,859,186 | 1,282,400 |
For | Against | Abstain | Broker Non-Votes |
351,313,478 | 22,742,934 | 2,724,409 | 93,766,354 |
For | Against | Abstain | Broker Non-Votes |
124,661,480 | 246,989,885 | 5,129,446 | 93,766,354 |
For | Against | Abstain | Broker
Non-Votes |
114,041,763 | 259,982,425 | 2,756,633 | 93,766,354 |
For | Against | Abstain | Broker
Non-Votes |
165,515,378 | 207,521,915 | 3,743,528 | 93,766,354 |
Exhibit | ||||
Number | Description | |||
104 | The
cover page from this Current Report on Form 8-K, formatted in Inline XBRL. |
SIGNATURES | ||
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized. | ||
CATERPILLAR
INC. | ||
By: | /s/ Suzette M. Long | |
Chief
Legal Officer, General Counsel & Corporate Secretary | ||
This ‘8-K’ Filing | Date | Other Filings | ||
---|---|---|---|---|
9/15/35 | ||||
2/15/23 | ||||
3/15/21 | ||||
Filed on / For Period end: | 6/15/20 | |||
6/10/20 | DEF 14A | |||
List all Filings |
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 3/04/21 Caterpillar Inc. 424B5 1:830K Toppan Merrill/FA 3/02/21 Caterpillar Inc. 424B5 1:785K Toppan Merrill/FA |