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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 12/13/21 Caterpillar Inc. S-3ASR 12/13/21 4:548K Toppan Merrill/FA |
Document/Exhibit Description Pages Size 1: S-3ASR Automatic Shelf Registration Statement by a HTML 187K Well-Known Issuer 2: EX-5.1 Opinion of Counsel re: Legality HTML 21K 3: EX-23.1 Consent of Expert or Counsel HTML 5K 4: EX-25.1 Statement of Eligibility to Act as a Trustee HTML 24K
tm2135062-1_s3asr - none - 5.5156545s |
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Delaware
(State or other jurisdiction of incorporation or organization) |
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37-0602744
(I.R.S. Employer Identification No.) |
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Large accelerated filer: ☒
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Accelerated filer ☐
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Non-accelerated filer ☐
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Smaller Reporting Company ☐
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Emerging Growth Company ☐
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Title of Each Class of Securities
to be Registered(1) |
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Amount to be
Registered / Proposed Maximum Offering Price Per Unit / Proposed Maximum Aggregate Offering Price(2) |
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Amount of
Registration Fee(3) |
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Debt Securities
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Common Stock
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Preferred Stock
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Warrants to Purchase Common Stock or Debt Securities
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Page
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SEC Registration Fee
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Printing Expenses
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Legal Fees and Expenses
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Audit Fees and Expenses
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FINRA Fees and Expenses
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Trustee Fees and Expenses
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Transfer Agent Fees and Expenses
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Miscellaneous Expenses
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Total
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Date
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Signature
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Title
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Chairman of the Board & Chief Executive Officer
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Chief Financial Officer
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Chief Accounting Officer
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/s/ Kelly A. Ayotte
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Director
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/s/ David L. Calhoun
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Director
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Director
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/s/ Gerald Johnson
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Director
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Date
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Signature
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Title
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Director
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Director
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Director
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/s/ Susan C. Schwab
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Director
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/s/ Miles D. White
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Director
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Director
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This ‘S-3ASR’ Filing | Date | Other Filings | ||
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Filed on / Effective on: | 12/13/21 | |||
9/30/21 | 10-Q, 4 | |||
12/31/19 | 10-K, 11-K, 4, SD | |||
List all Filings |
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 11/03/21 Caterpillar Inc. 10-Q 9/30/21 99:25M 9/08/21 Caterpillar Inc. 8-K:1,9 9/08/21 16:5.5M 8/04/21 Caterpillar Inc. 10-Q 6/30/21 99:22M 6/11/21 Caterpillar Inc. 8-K:5,9 6/11/21 11:291K 5/05/21 Caterpillar Inc. 10-Q 3/31/21 100:19M 4/30/21 Caterpillar Inc. DEF 14A 6/09/21 2:9.6M Labrador Co./FA 4/16/21 Caterpillar Inc. 8-K:5,9 4/14/21 13:297K 3/12/21 Caterpillar Inc. 8-K:8,9 3/12/21 14:596K Toppan Merrill/FA 3/03/21 Caterpillar Inc. 8-K:5,9 3/03/21 13:289K 2/17/21 Caterpillar Inc. 10-K 12/31/20 145:38M 2/09/21 Caterpillar Inc. 8-K:5,9 2/09/21 15:347K 4/14/20 Caterpillar Inc. 8-K:5,9 4/08/20 14:577K 2/19/20 Caterpillar Inc. 10-K 12/31/19 158:48M 2/23/07 Caterpillar Inc. 10-K 12/31/06 15:9M 2/19/97 Caterpillar Inc. S-3 11:380K |