SEC Info - Caterpillar Inc - ‘8-K/A’ for 4/30/18



UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549

FORM 8-K/A (Amendment No. 1)
Current Report
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): April 30, 2018
CATERPILLAR INC. (Exact name of registrant as specified in its charter)
Delaware (State or other jurisdiction of incorporation)
1-768 (Commission File Number)			37-0602744 (IRS Employer Identification No.)
510 Lake Cook Road, Suite 100, Deerfield, Illinois (Address of principal executive offices)			60015 (Zip Code)
Registrant’s telephone number, including area code: (224) 551-4000
Former name or former address, if changed since last report: N/A
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:
	o	Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

	o	Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

	o	Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

	o	Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

As previously reported by Caterpillar Inc. (the “Company”) in a Current Report on Form 8-K filed with the Securities and Exchange Commission on May 4, 2018 (the “Initial Form 8-K”), the Company announced that, effective May 4, 2018, Joe Creed was appointed interim Chief Financial Officer of the Company, a role he assumed in addition to his Vice President duties. Mr. Creed is serving as interim Chief Financial Officer until September 1, 2018, the effective date of Mr. Andrew Bonfield’s appointment as Chief Financial Officer.

This Current Report on Form 8-K/A is being filed as an amendment to the Initial Form 8-K to report that on June 12, 2018, the Compensation Committee of the Board of Directors of the Company approved a grant of restricted stock units (“RSUs”) to Mr. Creed in connection with his new role. The RSUs were granted under the Company’s 2014 Long-Term Incentive Plan with a grant date fair value of $1.1 million as of the date of the grant, June 13, 2018. These RSUs have a three-year pro-rata vesting schedule, vesting one-third on each of the first three anniversaries of the grant date. If Mr. Creed’s employment with the Company terminates during the vesting period, except for involuntary termination by the Company without cause, disability, death or in connection with a change in control of the Company, Mr. Creed will forfeit all unvested RSUs associated with this grant.



	CATERPILLAR INC.


	By:	/s/ *Suzette M. Long*
Dated: June 14, 2018		Suzette M. Long
		General Counsel & Corporate Secretary

This ‘8-K/A’ Filing	Date	Other Filings

	9/1/18
Filed on:	6/14/18	4
	6/13/18	4, 8-K, DEF 14A
	6/12/18
	5/4/18	3, 8-K
For Period End:	4/30/18	4, 8-K
		List all Filings

Caterpillar Inc – ‘8-K/A’ for 4/30/18

On: Thursday, 6/14/18, at 4:34pm ET · For: 4/30/18 · Accession #: 18230-18-169 · File #: 1-00768

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