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Caterpillar Inc. – ‘8-K’ for 6/11/21

On:  Friday, 6/11/21, at 5:05pm ET   ·   For:  6/11/21   ·   Accession #:  18230-21-174   ·   File #:  1-00768

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

 6/11/21  Caterpillar Inc.                  8-K:5,9     6/11/21   11:291K

Current Report   —   Form 8-K

Filing Table of Contents

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11: ZIP         XBRL Zipped Folder -- 0000018230-21-000174-xbrl      Zip     24K 


‘8-K’   —   Current Report


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 iX:   C:  C: 
  cat-20210611  
 i 0000018230 i false00000182302021-06-092021-06-110000018230us-gaap:CommonStockMember2021-06-092021-06-110000018230cat:A8DebenturesDueFebruary152023Member2021-06-092021-06-110000018230cat:A5.3DebenturesDueSeptember152035Member2021-06-092021-06-11

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
cat-20210611_g1.jpg
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 June 11, 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 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 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 5.07    Submission of Matters to a Vote of Security Holders

    On June 9, 2021, Caterpillar Inc. (the “Company”) held a virtual 2021 Annual Shareholders Meeting. Set forth below are the voting results for each of the matters submitted to a vote of the Company’s shareholders.


Proposal 1 – Company Proposal - Election of Directors

All nominees for election to the Company’s Board of Directors named in the Proxy Statement were elected, each to a one-year term, with the following vote:

DirectorForAgainstAbstainBroker Non-Votes
Kelly A. Ayotte351,232,72512,521,9121,061,87278,787,443
David L. Calhoun343,895,65818,193,0592,727,79278,787,443
Daniel M. Dickinson344,947,67818,793,4091,075,42278,787,443
Gerald Johnson360,403,4703,285,6341,127,21878,787,443
David W. MacLennan361,353,5452,308,0451,154,91978,787,443
Debra L. Reed-Klages356,749,2277,106,528960,75478,787,443
Edward B. Rust, Jr.348,465,76515,239,1491,111,59678,787,443
Susan C. Schwab351,662,67612,211,731942,10278,787,443
D. James Umpleby III339,906,03522,941,8501,968,62478,787,443
Miles D. White303,951,27759,780,1581,085,07478,787,443
Rayford Wilkins, Jr.358,368,2305,286,8821,161,39778,787,443


Proposal 2 – Company Proposal - Ratification of Independent Registered Accounting Firm

The proposal requesting ratification of the appointment of PricewaterhouseCoopers LLP as the Company’s independent registered public accounting firm for 2021 was approved with the following vote:

ForAgainstAbstain
427,662,32314,798,2611,143,368


Proposal 3 – Company Proposal - Advisory vote on executive compensation
    
The proposal requesting that the shareholders of the Company approve executive compensation, on an advisory basis, was approved with the following vote:

ForAgainstAbstainBroker Non-Votes
342,337,93119,903,4482,575,13078,787,443







Proposal 4 – Shareholder Proposal – Report on Climate Policy

The proposal requesting that the Board of Directors provide additional disclosure of Caterpillar's climate activity was not approved based on the following vote:

ForAgainstAbstainBroker Non-Votes
173,059,923187,422,0074,334,57978,787,443

    
Proposal 5 – Shareholder Proposal – Report on Diversity and Inclusion

The proposal requesting the Board of Directors publish an annual report assessing the Company's diversity and inclusion was not approved based on the following vote:

ForAgainstAbstainBroker Non-Votes
122,153,733238,371,5494,291,22778,787,443


Proposal 6 – Shareholder Proposal – Transition to a Public Benefit Corporation

The proposal requesting that the Board of Directors amend the Company's Certificate of Incorporation and become a public benefit corporation was not approved based on the following vote:

ForAgainstAbstainBroker Non-Votes
10,645,284350,338,5933,832,63278,787,443


Proposal 7 – Shareholder Proposal – Shareholder Action by Written Consent

The proposal requesting that the Board of Directors amend the Company's governing documents to permit shareholder action by written consent was not approved based on the following vote:

ForAgainstAbstainBroker Non-Votes
145,937,468216,533,2742,345,76778,787,443


Item 9.01    Financial Statements and Exhibits
    (d) Exhibits.
Exhibit
NumberDescription
104The 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.
June 11, 2021By:/s/ Suzette M. Long
Suzette M. Long
Chief Legal Officer and General Counsel








Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘8-K’ Filing    Date    Other Filings
9/15/35
2/15/23
Filed on / For Period end:6/11/21
6/9/218-K,  DEF 14A
 List all Filings 


1 Subsequent Filing that References this Filing

  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
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