SEC Info - Caterpillar Inc. - ‘8-K’ for 3/3/21

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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 March 3, 2021

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.

☐

On February 25, 2021, the Board of Directors (the “Board”) of Caterpillar Inc. (the “Company”) elected Gerald Johnson as a member of the Board, effective March 1, 2021. Mr. Johnson will serve as a member of the Public Policy and Governance Committee. Mr. Johnson’s compensation will be consistent with the standard compensatory arrangement for non-employee directors described in the Company’s most recent proxy statement filed with the Securities and Exchange Commission on April 29, 2020, under the heading “Director Compensation.”


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.


March 3, 2021	By:	/s/ *Suzette M. Long*
		Suzette M. Long Chief Legal Officer & General Counsel

This ‘8-K’ Filing	Date	Other Filings

	9/15/35
	2/15/23
	3/15/21	25-NSE
Filed on / For Period end:	3/3/21	4
	3/1/21	3, 4, 4/A
	2/25/21
	4/29/20	DEF 14A, DEFA14A
		List all Filings

Caterpillar Inc. – ‘8-K’ for 3/3/21

On: Wednesday, 3/3/21, at 3:44pm ET · For: 3/3/21 · Accession #: 18230-21-106 · File #: 1-00768

Previous ‘8-K’: ‘8-K’ on / for 2/9/21 · Next: ‘8-K’ on / for 3/12/21 · Latest: ‘8-K’ on 4/3/24 for 4/1/24 · 2 References:

Current Report — Form 8-K
Filing Table of Contents

‘8-K’ — Current Report

This is an HTML Document rendered as filed. [ Alternative Formats ]

Dates Referenced Herein and Documents Incorporated by Reference

2 Subsequent Filings that Reference this Filing

Caterpillar Inc. – ‘8-K’ for 3/3/21

On: Wednesday, 3/3/21, at 3:44pm ET · For: 3/3/21 · Accession #: 18230-21-106 · File #: 1-00768

Previous ‘8-K’: ‘8-K’ on / for 2/9/21 · Next: ‘8-K’ on / for 3/12/21 · Latest: ‘8-K’ on 4/3/24 for 4/1/24 · 2 References: By: Caterpillar Inc. – ‘S-3ASR’ on 12/13/21 By: Caterpillar Inc. – ‘424B5’ on 3/4/21

Current Report — Form 8-KFiling Table of Contents

‘8-K’ — Current Report

This is an HTML Document rendered as filed. [ Alternative Formats ]

Dates Referenced Herein and Documents Incorporated by Reference

2 Subsequent Filings that Reference this Filing

Previous ‘8-K’: ‘8-K’ on / for 2/9/21 · Next: ‘8-K’ on / for 3/12/21 · Latest: ‘8-K’ on 4/3/24 for 4/1/24 · 2 References:

Current Report — Form 8-K
Filing Table of Contents