Caterpillar Files 8-K on Financial Condition, Operations

TL;DR

**CAT just dropped an 8-K with fresh financial deets, time to check their numbers!**

AI Summary

Caterpillar Inc. filed an 8-K on February 5, 2024, to report its financial condition and results of operations, specifically noting its Common Stock ($1.00 par value) and 5.3% Debentures due September 15, 2035, are registered on The New York Stock Exchange. This filing indicates the company is providing updated financial information, which is crucial for investors to assess its current performance and future prospects. For shareholders, this means new data is available to evaluate the company's health and make informed decisions about holding or buying more stock.

Why It Matters

This filing provides investors with the latest financial information, enabling them to assess Caterpillar's current performance and make informed investment decisions.

Risk Assessment

Risk Level: low — This 8-K is a routine disclosure of financial information and does not indicate any immediate new risks.

Analyst Insight

Investors should review the full financial statements and results of operations that this 8-K refers to, once they become available, to understand Caterpillar's current financial health and performance trends.

Key Numbers

• $1.00 — Common Stock par value (standard par value for Caterpillar's common stock)
• 5.3% — Debenture interest rate (interest rate for Caterpillar's debentures due 2035)

Key Players & Entities

• CATERPILLAR INC. (company) — the registrant filing the 8-K
• The New York Stock Exchange (company) — where Caterpillar's securities are registered
• $1.00 (dollar_amount) — par value of Common Stock
• February 5, 2024 (date) — date of earliest event reported
• September 15, 2035 (date) — maturity date of 5.3% Debentures

Forward-Looking Statements

• Caterpillar will continue to provide routine financial updates through 8-K filings. (CATERPILLAR INC.) — high confidence, target: 2025-02-05
• The 5.3% Debentures due September 15, 2035, will remain listed on the NYSE until maturity. (CATERPILLAR INC.) — high confidence, target: 2035-09-15

FAQ

From the Filing

0000018230-24-000005.txt : 20240205 0000018230-24-000005.hdr.sgml : 20240205 20240205063152 ACCESSION NUMBER: 0000018230-24-000005 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 20 CONFORMED PERIOD OF REPORT: 20240205 ITEM INFORMATION: Results of Operations and Financial Condition ITEM INFORMATION: Regulation FD Disclosure ITEM INFORMATION: Financial Statements and Exhibits FILED AS OF DATE: 20240205 DATE AS OF CHANGE: 20240205 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CATERPILLAR INC CENTRAL INDEX KEY: 0000018230 STANDARD INDUSTRIAL CLASSIFICATION: CONSTRUCTION MACHINERY & EQUIP [3531] ORGANIZATION NAME: 06 Technology IRS NUMBER: 370602744 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 24593890 BUSINESS ADDRESS: STREET 1: 5205 N. O'CONNOR BOULEVARD STREET 2: SUITE 100 CITY: IRVING STATE: TX ZIP: 75039 BUSINESS PHONE: 9728917700 MAIL ADDRESS: STREET 1: 5205 N. O'CONNOR BOULEVARD STREET 2: SUITE 100 CITY: IRVING STATE: TX ZIP: 75039 FORMER COMPANY: FORMER CONFORMED NAME: CATERPILLAR TRACTOR CO DATE OF NAME CHANGE: 19860623 8-K 1 cat-20240205.htm 8-K cat-20240205 0000018230 false 0000018230 2024-02-04 2024-02-04 0000018230 us-gaap:CommonStockMember 2024-02-04 2024-02-04 0000018230 cat:A5.3DebenturesDueSeptember152035Member 2024-02-04 2024-02-04 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 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): February 5, 2024 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.) 5205 N. O'Connor Blvd. Suite 100, Irving, Texas 75039 (Address of principal executive offices) (Zip Code) Registrant’s telephone number, including area code: (972) 891-7700 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 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 2.02. Results of Operations and Financial Condition. On February 5, 2024, Caterpillar Inc. issued a press release reporting its financial results for the quarter ended December 31, 2023. A copy of the press release is attached hereto as Exhibit 99.1 and incorporated into this Item 2.02 by reference. Item 7.01. Regulation FD Disclosure . Caterpillar Inc. is furnishing supplemental information concerning (i) retail sales of machines to end users and (ii) retail sales of power systems (including reciprocating and turbine