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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549 |
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| | | | | | FORM | 8-K | | | | | |
| Current Report |
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
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| Date of Report (Date of earliest event reported): | March 26, 2020 |
| CATERPILLAR INC. |
| (Exact name of registrant as specified in its charter) | |
| Delaware | 1-768 | 37-0602744 | |
| (State or other jurisdiction of incorporation) | (Commission File Number) | (I.R.S Employer Identification No.) | |
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| | 510 Lake Cook Road, | Suite 100, | Deerfield, | Illinois | 60015 |
| | (Address of principal executive offices) | | (Zip Code) | |
| Registrant’s telephone number, including area code: | (224) | 551-4000 |
| Former name or former address, if changed since last report: | N/A |
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| | ☐ | | Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) | |
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| | ☐ | | Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) | |
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| | ☐ | | Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) | |
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| | ☐ | | Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) | |
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Securities registered pursuant to Section 12(b) of the Act:
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| Title of each class | Trading Symbol (s) | Name of each exchange which registered |
| Common Stock ($1.00 par value) | CAT | The New York Stock Exchange |
| 9 3/8% Debentures due March 15, 2021 | CAT21 | The New York Stock Exchange |
| 8% Debentures due February 15, 2023 | CAT23 | The New York Stock Exchange |
| 5.3% Debentures due September 15, 2035 | CAT35 | The New York Stock Exchange |
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| 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 | ☐ | |
| 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 8.01. Other Events.
On March 26, 2020, Caterpillar Inc. issued a press release providing a business update regarding the COVID-19 pandemic.
A copy of the press release is attached hereto as Exhibit 99.1.
Item 9.01 Financial Statements and Exhibits
(d) Exhibits.
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| Exhibit | | | | |
| Number | Description | | | |
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| 99.1 | |
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| 104 | The cover page from this Current Report on Form 8-K, formatted in Inline XBRL. |
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SIGNATURES
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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.
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| | CATERPILLAR INC. |
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| March 26, 2020 | By: | /s/ Suzette M. Long |
| | | Suzette M. Long Chief Legal Officer, General Counsel & Corporate Secretary |
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