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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

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  As Of               Filer                 Filing    For·On·As Docs:Size

 3/03/21  Caterpillar Inc                   8-K:5,9     3/03/21   13:289K

Current Report   —   Form 8-K   —   Sect. 13 / 15(d) – SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 8-K         Current Report                                      HTML     36K 
 2: EX-99.1     Miscellaneous Exhibit                               HTML     16K 
 9: R1          Cover Page Cover Page                               HTML     57K 
11: XML         IDEA XML File -- Filing Summary                      XML     13K 
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10: EXCEL       IDEA Workbook of Financial Reports                  XLSX      6K 
 4: EX-101.CAL  XBRL Calculations -- cat-20210303_cal                XML      7K 
 5: EX-101.DEF  XBRL Definitions -- cat-20210303_def                 XML     44K 
 6: EX-101.LAB  XBRL Labels -- cat-20210303_lab                      XML     94K 
 7: EX-101.PRE  XBRL Presentations -- cat-20210303_pre               XML     44K 
 3: EX-101.SCH  XBRL Schema -- cat-20210303                          XSD     14K 
12: JSON        XBRL Instance as JSON Data -- MetaLinks               15±    22K 
13: ZIP         XBRL Zipped Folder -- 0000018230-21-000106-xbrl      Zip     27K 

‘8-K’   —   Current Report

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

 iX:   C:  C: 
 i 0000018230 i false00000182302021-03-032021-03-030000018230us-gaap:CommonStockMember2021-03-032021-03-030000018230cat:A938DebenturesDueMarch152021Member2021-03-032021-03-030000018230cat:A8DebenturesDueFebruary152023Member2021-03-032021-03-030000018230cat:A5.3DebenturesDueSeptember152035Member2021-03-032021-03-03

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
(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 classTrading 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.

Item 5.02 Departure of Directors or Principal Officers; Election of Directors; Appointment of Principal Officers.

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.”

A copy of the Company’s press release announcing the election of Mr. Johnson is attached as Exhibit 99.1 to this Form 8-K and incorporated herein by reference.

Item 9.01    Financial Statements and Exhibits
    (d) Exhibits.
104The cover page from this Current Report on Form 8-K, formatted in Inline XBRL.


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

Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘8-K’ Filing    Date    Other Filings
Filed on / For Period end:3/3/214
4/29/20DEF 14A,  DEFA14A
 List all Filings 

1 Subsequent Filing that References this Filing

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 3/04/21  Caterpillar Inc                   424B5                  1:830K                                   Toppan Merrill/FA
Filing Submission 0000018230-21-000106   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

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