Form 8-K CATERPILLAR INC For: Oct 14

October 20, 2020 4:34 PM
Document
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
form8k_image1a04.jpg
 
 
 
 
 
FORM
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):
October 14, 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.)
 
 
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
 
 
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
 
 
 
 
 
 
 
 
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
 
 
 
 
 
 
 
 
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
 
 
 
 
 
 
 
 
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
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
 
 
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 5.02. Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.


On October 14, 2020, William P. Ainsworth provided notice of his decision to retire as Group President, Caterpillar Inc. (the "Company"), effective December 31, 2020.  Ramin Younessi also provided notice of his decision to retire as Group President of the Company on December 31, 2020. The Board of Directors of the Company has named Joseph E. Creed and Anthony D. Fassino as Group Presidents, effective January 1, 2021.
















































Item 9.01    Financial Statements and Exhibits
(d) Exhibits.
Exhibit
 
 
 
 
Number
Description
 
 
 
 
 
 
 
 
104
The 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.
 
 
 
 
October 20, 2020
By:
/s/ Suzette M. Long
 
 
Suzette M. Long
Chief Legal Officer, General Counsel & Corporate Secretary
 
 
 








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