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Caterpillar Inc. 
 TX
  SEC # 18230

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4,779  SEC Filings
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  from  2/10/94  to  4/25/24  (Today)

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  Filer / Offerer   Owner / Insider   Issuer / Subject Company   Filing Agent   
 
Most-Recent Filing:    ‘8-K’ — Current Report — Form 8-K — Filed as:  Filer / Offerer 
 
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notifications of all
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Filings
involving  Caterpillar Inc. 

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Forms
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, Documents
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& Exhibits
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 in  1,167 Filings
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 Filed as:  Filer / Offerer  or  Owner / Insider


        
Latest Filing  Type    Category    Description        Documents
     
4/25/24 New Document this Past Month!8-KUpdate:  Current Reports — Form 8-K  New Document this Past Month!  — Press Releases
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& Conference Calls
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 — Financial Reports
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916

8-K Items: 
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9/1/23
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  Business & Operations: 
Entry into a Material Definitive Agreement — Item 1.01 — ‘EX-10’
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31
8/31/20 OLD"Termination of a Material Definitive Agreement — Item 1.02  OLD  — ‘EX-10’
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2
6/25/12 OLD"Mine Safety – Reporting of Shutdowns and Patterns of Violations — Item 1.04  OLD  — ‘EX-95’
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1
4/25/24 New Document this Past Month!
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  Financial Info: 
Results of Operations and Financial Condition — Item 2.02  New Document this Past Month!  — Financial Reports
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82
9/1/23"Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant — Item 2.03 — ‘EX-10’
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27
9/24/15 OLD"Cost Associated with Exit or Disposal Activities — Item 2.05  OLD  — ‘EX-2’
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2
1/18/13 OLD"Material Impairments — Item 2.06  OLD  — ‘EX-2’
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1
6/17/05 OLD
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  Securities & Trading: 
Material Modifications to Rights of Security Holders — Item 3.03  OLD  — ‘EX-4’
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1
4/3/24 New Document this Past Month!
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  Governance & Management: 
Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers — Item 5.02  New Document this Past Month!  — List of Directors & Officers
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62
6/14/22 OLD"Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year — Item 5.03  OLD  — ‘EX-3’
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11
6/20/23"Submission of Matters to a Vote of Security Holders — Item 5.0715
4/25/24 New Document this Past Month!
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  Disclosures: 
Regulation FD Disclosure — Item 7.01  New Document this Past Month!  — ‘EX-99’
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275
12/14/23
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  Events: 
Other Events — Item 8.0180
4/25/24 New Document this Past Month!
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  Financials: 
Financial Statements and Exhibits — Item 9.01  New Document this Past Month!  — Financial Reports
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234

2/16/2410-KUpdate:  Annual Reports — Form 10-K — Financial Reports
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60
11/1/2310-QUpdate:  Quarterly Reports — Form 10-Q — Financial Reports
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161
6/22/2311-KUpdate:  Annual Reports by Employee Stock Purchase, Savings and Similar Plans — Form 11-K139
6/21/23S-8Registration:  Registration Statements – Securities for Certain Employee Benefit Plans — Form S-839
5/26/23SDUpdate:  Specialized Disclosure Reports re: Uses of Conflict Minerals — Form SD10
5/1/23ARSUpdate:  Annual Reports to Security Holders8
5/1/23DEFA14AProxy:  Definitive Additional Proxy Soliciting Materials — Schedule 14A44
5/1/23DEF 14AProxy:  Definitive Proxy Statements — Schedule 14A — Financial Reports
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54
2/15/23 OLDIRANNOTICEUpdate:  Notices of Iran/Syria Disclosures in Quarterly and Annual Reports  OLD 5
10/7/22 OLDCORRESPComment:  Comment-Response and Other Letters to the SEC  [ a.k.a. COVER ]  OLD  — All Correspondence with the SEC
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22
12/13/21 OLDS-3ASRRegistration:  Automatic Shelf Registration Statements by Well-Known Issuers — Form S-3  OLD 10
3/4/21 OLD424B5Registration:  Prospectuses – Primary Offerings and Shelf Securities – New Facts or Events  OLD 20
3/2/21 OLDFWPRegistration:  Prospectuses – Free Writing  OLD 8
2/19/20 OLDS-8 POSRegistration:  Post-Effective Amendments of Form S-8 Registrations  OLD 8
4/6/17 OLDNO ACTSEC:  SEC No-Action Letters re: Shareholder Proposals  OLD 23
11/2/16 OLD15-12BRegistration:  Certifications of Terminations of Registration of Classes of Securities — Form 15  OLD 2
11/7/12 OLDEFFECTSEC:  SEC Notices of Effectiveness  OLD 2
11/6/12 OLD424B3Registration:  Prospectuses – New Facts or Events  OLD 15
11/2/12 OLDS-4Registration:  Registration Statements – Securities for Mergers — Form S-4  OLD 9
10/3/12 OLDCBOwnership:  Tender-Offer, Exchange-Offer, Rights-Offering and Response Notices — Form CB  OLD 10
6/22/12 OLD424B2Registration:  Prospectuses – Primary Offerings and Shelf Securities  OLD 4
4/11/12 OLDPRE 14AProxy:  Preliminary Proxy Statements — Schedule 14A  OLD 6
11/22/10 OLD25Trading:  Notices by Issuers of the Removals from Listing and Registration on Securities Exchanges of Matured, Redeemed and Retired Securities — Form 25  OLD 3
4/3/08 OLDREGDEXRegistration:  Notice of an Exempt Offering of Securities — Form D  OLD 1
6/29/06 OLDS-3Registration:  Registration Statements – Securities for Transactions — Form S-3  OLD 7
3/9/06 OLD15-15DUpdate:  Notice of a Suspension of Duty to File Reports — Form 15  OLD 1
10/6/05 OLDCERTNYSTrading:  Certification by the NYSE Approving a Listing — Form CERT  OLD 1
9/27/05 OLD8-A12BRegistration:  Registration Statements for Certain Classes of Securities — Form 8-A  OLD 3
3/24/04 OLDDEFR14AProxy:  Definitive Revised Proxy Soliciting Material — Schedule 14A  OLD 1
3/23/04 OLDSC 13DOwnership:  Statements of Acquisitions of Beneficial Ownership by “Active” Investors — Schedule 13D  OLD 4
1/30/04 OLD4Ownership:  Statements of Changes in Beneficial Ownership of Securities by Insiders — Form 4  OLD 6
3/22/02 OLD10-K405Update:  Annual Reports — Reg. S-K – Item 405 — Form 10-K  OLD 11
10/27/00 OLD13F-HROwnership:  Quarterly Holdings and Combination Report by a Money Manager — Form 13F  OLD 1
11/2/98 OLD3Ownership:  Initial Statement of Beneficial Ownership of Securities by an Insider — Form 3  OLD 1
2/13/98 OLDPRER14AProxy:  Preliminary Revised Proxy Soliciting Material — Schedule 14A  OLD 1

General Exhibits: 
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2/16/24EX-97Clawback Policy re: Recovery of Erroneously Awarded Compensation1
2/16/24EX-23Consents of Experts and Counsel173
2/16/24EX-21Subsidiaries Lists35
9/1/23EX-10Material Contracts214
6/21/23EX-FILING FEESFiling Fees2
6/21/23EX-5Opinions of Counsel re: Legality37
5/26/23EX-1Underwriting Agreements and Conflict Minerals Reports  (and mislabeled “1st Exhibits”)24
6/14/22 OLDEX-3Articles of Incorporation/Organization and Bylaws  OLD 34
12/13/21 OLDEX-25Statements of Eligibility to Act as a Trustee — Forms T-1 & T-2  OLD 13
3/12/21 OLDEX-4Instruments, Including Indentures, Defining the Rights of Security Holders  OLD 65
2/17/15 OLDEX-13Annual and Quarterly Reports to Security Holders  OLD 20
2/17/15 OLDEX-14Codes of Ethics  OLD 4
2/17/15 OLDEX-95Mine-Safety Disclosures  OLD 11
11/18/10 OLDEX-2Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions  OLD 2
8/10/05 OLDEX-8Opinions of Counsel re: Tax Matters  OLD 3

Additional Exhibits: 
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4/25/24 New Exhibit this Past Month!EX-99Miscellaneous Exhibits, such as Press Releases  New Exhibit this Past Month!  — Press Releases
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& Conference Calls
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403

Financials: 
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4/25/24 New Report this Past Month!XML  &  R#IDEA Financial Reports Info  New Report this Past Month!  — Financial Reports
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6,054
4/25/24 New Workbook this Past Month!EXCELIDEA Workbooks of Financial Reports Info  New Workbook this Past Month!  — Workbooks of Financial Reports
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137
4/25/24 New Exhibit this Past Month!EX-101.*XBRL Data  (XBRL Files)  New Exhibit this Past Month! 664
4/25/24 New Exhibit this Past Month!JSONXBRL Instances as JavaScript Object Notation Data  (JSON Files)  New Exhibit this Past Month! 89
4/25/24 New Folder this Past Month!ZIPXBRL Zipped Folders
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  (Folders of XBRL Files)  New Folder this Past Month! 
128
2/16/24EX-31Certifications — §302 – SOA’02177
2/16/24EX-32Certifications — §906 – SOA’0289
11/1/18 OLDEX-12Statements re: Computations of Ratios  OLD 46
5/2/16 OLDEX-18Letter re: a Change in Accounting Principles or Practices  OLD 1
2/17/15 OLDEX-11Statements re: Computations of Earnings Per Share  OLD 16
11/14/00 OLDEX-27Financial Data Schedules {Pre-XBRL}  OLD  — Financial Reports
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32

Graphics: 
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4/25/24 New Graphic this Past Month!GRAPHICPhotos, Images and Graphs  New Graphic this Past Month! 3,161


Forms
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, Documents
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& Exhibits
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 in  3,614 Filings
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 Filed re:  Issuer / Subject Company


        
New Filing!  List all Money Managers that own this Security Issuer:  CUSIP 149123
 

        
Latest Filing  Type    Category    Description        Documents
     
4/2/24 New Document this Past Month!4Ownership:  Statements of Changes in Beneficial Ownership of Securities by Insiders — Form 4  New Document this Past Month! 3,397
2/28/24144Ownership:  Notices of Proposed Sales of Securities by Insiders — Form 14414
2/13/24SC 13GOwnership:  Statements of Acquisitions of Beneficial Ownership by “Passive” Investors — Schedule 13G82
1/10/243Ownership:  Initial Statements of Beneficial Ownership of Securities by Insiders — Form 355
5/24/23PX14A6GProxy:  Notices of Exempt Non-Management Proxy Solicitations14
2/15/23 OLD25-NSETrading:  Notices by Securities Exchanges of the Removals from Listing and Registration of Matured, Redeemed and Retired Securities — Form 25  OLD 4
3/2/21 OLDFWPRegistration:  Prospectuses – Free Writing  OLD 8
5/18/15 OLDPX14A6NProxy:  Notice of an Exempt Non-Management Proxy Solicitation – Preliminary Roll-Up Communication  OLD 1
2/7/13 OLD5Ownership:  Annual Statements of Changes in Beneficial Ownership of Securities by Insiders — Form 5  OLD 13

Letters: 
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1/12/23 OLDLETTERComment and Other Letters from the SEC  [ a.k.a. UPLOAD ]  OLD  — All Correspondence with the SEC26
1/12/23 OLDTEXT-EXTRACTComment and Other Letters from the SEC – PDFs’ Text  [ a.k.a. LETTER ]  OLD 2

General Exhibits: 
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1/10/24EX-24Powers of Attorney38

Additional Exhibits: 
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2/15/23 OLDEX-99Miscellaneous Exhibits, such as Press Releases  OLD 4

Graphics: 
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5/24/23GRAPHICPhotos, Images and Graphs57


        

Filings History

Year    # of Filings
In descending order
2024 59
2023 116
2022 108
2021 116
2020 141
2019 142
2018 143
2017 162
2016 173
2015 173
2014 221
2013 259
2012 307
2011 269
2010 263
2009 256
2008 215
2007 197
2006 237
2005 371
2004 333
2003 282
2002 53
2001 38
2000 23
1999 23
1998 29
1997 27
1996 19
1995 12
1994 12

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