-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, IilUqgh5UDfOPI2RE5p6FujkYnhJSBx6Z0s2pwEPdcv+3Q/bsZdSzHDC5A7ozBMT Wjm6KwYPQ503vyYta245YA== 0000018230-09-000331.txt : 20090812 0000018230-09-000331.hdr.sgml : 20090812 20090812122307 ACCESSION NUMBER: 0000018230-09-000331 CONFORMED SUBMISSION TYPE: 10-Q/A PUBLIC DOCUMENT COUNT: 35 CONFORMED PERIOD OF REPORT: 20090630 FILED AS OF DATE: 20090812 DATE AS OF CHANGE: 20090812 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CATERPILLAR INC CENTRAL INDEX KEY: 0000018230 STANDARD INDUSTRIAL CLASSIFICATION: CONSTRUCTION MACHINERY & EQUIP [3531] IRS NUMBER: 370602744 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 10-Q/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 091005881 BUSINESS ADDRESS: STREET 1: 100 NE ADAMS ST CITY: PEORIA STATE: IL ZIP: 61629 BUSINESS PHONE: 3096751000 MAIL ADDRESS: STREET 1: 100 NE ADAMS ST CITY: PEORIA STATE: IL ZIP: 61629 FORMER COMPANY: FORMER CONFORMED NAME: CATERPILLAR TRACTOR CO DATE OF NAME CHANGE: 19860623 10-Q/A 1 form10q-a_2q09.htm form10q-a_2q09.htm
 
 
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C.  20549
 
 
FORM 10-Q/A
Amendment No. 1
 
[X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For the quarterly period ended June 30, 2009
 
OR
[  ]  TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For the transition period from ________________ to ________________
 
Commission File Number:  1-768
 
CATERPILLAR INC.
(Exact name of registrant as specified in its charter)
 
Delaware
(State or other jurisdiction of incorporation)
 
37-0602744
(IRS Employer I.D. No.)
 
100 NE Adams Street, Peoria, Illinois
(Address of principal executive offices)
 
61629
(Zip Code)
 
Registrant's telephone number, including area code:
(309) 675-1000
 
Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days.  Yes [ X ]     No [    ]
 
Indicate by check mark whether the registrant has submitted electronically and posted on its corporate Web site, if any, every Interactive Data File required to be submitted and posted pursuant to Rule 405 of Regulation S-T (§232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit and post such files).  Yes [ X ]     No [    ]
 
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or a smaller reporting company.  See definitions of "large accelerated filer”, “accelerated filer" and “smaller reporting company” in Rule 12b-2 of the Exchange Act.  (Check one):

 
Large accelerated filer
 
[ X ]
 
Accelerated filer
   [   ]  
                 
 
Non-accelerated filer
  [    ]  
Smaller reporting company
   [   ]  
 
Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act).  Yes [   ] No [ X ]
 
At June 30, 2009, 621,293,542 shares of common stock of the registrant were outstanding.
 
 
Page 1


EXPLANATORY NOTE
 
The sole purpose of this Amendment No. 1 to our Quarterly Report on Form 10-Q for the period ended June 30, 2009 (the Form 10-Q), is to file Exhibit 101 to the Form 10-Q.  Exhibit 101 consists of the following materials from Caterpillar Inc.’s Form 10-Q for the period ended June 30, 2009, filed with the Securities and Exchange Commission (SEC) on July 31, 2009, formatted in eXtensible Business Reporting Language (XBRL):  (i) unaudited Consolidated Statement of Results of Operations for the three-month periods ended June 30, 2009 and 2008, (ii) unaudited Consolidated Statement of Results for Operations for the six-month periods ended June 30, 2009 and 2008, (iii) unaudited Consolidated Statement  of Financial Position at June 30, 2009 and December 31, 2008, (iv) unaudited Consolidated Statement of Changes in Stockholders’ Equity for the sixth-month periods ended June 30, 2009 and 2008, (v) unaudited Consolidated Statement of Cash Flow for the sixth-month periods ended June 30, 2009 and 2008 and (vi) the Notes to the unaudited consolidated financial statements, tagged as blocks of text.

No other changes have been made to the Form 10-Q.  This Form 10-Q/A speaks as of the original filing date and has not been updated to reflect events occurring subsequent to the original filing date.

Pursuant to Rule 406T of Regulation S-T, the interactive data files on Exhibit 101 hereto are deemed not filed or part of a registration statement or prospectus for purposes of sections 11 or 12 of the Securities Act of 1933 as amended, are deemed not filed for purposes of section 18 of the Securities and Exchange Act of 1934, as amended, and otherwise are not subject to liability under those sections.

Item 6. Exhibits

 
3.1
 
Restated Certificate of Incorporation (incorporated by reference from Exhibit 3(i) to the Form 10-Q filed for the quarter ended March 31, 1998).
 
 
3.2
 
Bylaws amended and restated as of February 11, 2004 (incorporated by reference from Exhibit 3.3 to the Form 10-Q filed for the quarter ended March 31, 2004).
 
 
4.1
 
Indenture dated as of May 1, 1987, between the Registrant and The First National Bank of Chicago, as Trustee (incorporated by reference from Exhibit 4.1 to Form S-3 (Registration No. 333-22041) filed February 19, 1997).
 
 
4.2
 
First Supplemental Indenture, dated as of June 1, 1989, between Caterpillar Inc. and The First National Bank of Chicago, as Trustee (incorporated by reference from Exhibit 4.2 to Form S-3 (Registration No. 333-22041) filed February 19, 1997).
 
 
4.3
 
Appointment of Citibank, N.A. as Successor Trustee, dated October 1, 1991, under the Indenture, as supplemented, dated as of May 1, 1987 (incorporated by reference from Exhibit 4.3 to Form S-3 (Registration No. 333-22041) filed February 19, 1997).
 
 
4.4
 
Second Supplemental Indenture, dated as of May 15, 1992, between Caterpillar Inc. and Citibank, N.A., as Successor Trustee (incorporated by reference from Exhibit 4.4 to Form S-3 (Registration No. 333-22041) filed February 19, 1997).
 
 
4.5
 
Third Supplemental Indenture, dated as of December 16, 1996, between Caterpillar Inc. and Citibank, N.A., as Successor Trustee (incorporated by reference from Exhibit 4.5 to Form S-3 (Registration No. 333-22041) filed February 19, 1997).
 
 
4.6
 
Tri-Party Agreement, dated as of November 2, 2006, between Caterpillar Inc., Citibank, N.A. and U.S. Bank National Association appointing U.S. Bank as Successor Trustee under the Indenture dated as of May 1, 1987, as amended and supplemented (incorporated by reference from Exhibit 4.6 to the 2006 Form 10-K).
 
 
4.7
 
Form of Global Note used in connection with Caterpillar's issuance and sale of 7.000 percent Notes due 2013 and 7.900 percent Notes due 2018 in December, 2008 (incorporated by reference from Exhibit 4.1 to Form 8-K filed December 5, 2008).
 
 
Page 2


 
 
4.8
 
Form of Global Debenture used in connection with Caterpillar's issuance and sale of 8.250 percent Debentures due 2038 in December, 2008 (incorporated by reference from Exhibit 4.2 to Form 8-K filed December 5, 2008).
 
 
10.1
 
Caterpillar Inc. 1996 Stock Option and Long-Term Incentive Plan amended and restated through fourth amendment (incorporated by reference from Exhibit 10.1 to the 2008 Form 10-K).
 
 
10.2
 
Caterpillar Inc. 2006 Long-Term Incentive Plan as amended and restated through fifth amendment (incorporated by reference from Exhibit 10.2 to the 2008 Form 10-K).
 
 
10.3
 
Supplemental Pension Benefit Plan, as amended and restated January 2003 (incorporated by reference from Exhibit 10.3 to the 2004 Form 10-K).
 
 
10.4
 
Supplemental Employees' Investment Plan, as amended and restated through December 1, 2002 (incorporated by reference from Exhibit 10.4 to the 2002 Form 10-K).
 
 
10.5
 
Caterpillar Inc. Executive Incentive Compensation Plan, effective as of January 1, 2002 (incorporated by reference from Exhibit 10.5 to the 2002 Form 10-K).
 
 
10.6
 
Directors' Deferred Compensation Plan, as amended and restated through January 1, 2005 (incorporated by reference from Exhibit 10.6 to the 2006 Form 10-K).
 
 
10.7
 
Directors' Charitable Award Program, as amended and restated through April 1, 2008 (incorporated by reference from Exhibit 10.7 to the 2008 Form 10-K).
 
 
10.8
 
Deferred Employees' Investment Plan, as amended and restated through February 16, 2005 (incorporated by reference as Exhibit 10.8 to the 2005 Form 10-K).
 
 
10.9
 
Five-Year Credit Agreement dated September 21, 2006 (2006 Five-Year Credit Agreement) among Caterpillar Inc., Caterpillar Financial Services Corporation, Caterpillar International Finance p.l.c. and Caterpillar Finance Corporation, the Banks named therein, Citibank, N.A., The Bank of Tokyo-Mitsubishi UFJ, Ltd., Citibank International plc, ABN AMRO Bank N.V., Bank of America, N.A., Barclays Bank PLC, J.P. Morgan Securities, Inc., Société Générale and Citigroup Global Markets Inc. (incorporated by reference from Exhibit 99.1 to Form 8-K filed September 26, 2006).
 
 
10.10
 
Japan Local Currency Addendum to the 2006 Five-Year Credit Agreement among Caterpillar Financial Services Corporation, Caterpillar Finance Corporation, the Japan Local Currency Banks named therein, Citibank, N.A. and The Bank of Tokyo-Mitsubishi UFJ, Ltd. (incorporated by reference from Exhibit 99.2 to Form 8-K filed September 26, 2006).
 
 
10.11
 
Local Currency Addendum to the 2006 Five-Year Credit Agreement among Caterpillar Financial Services Corporation, Caterpillar International Finance p.l.c., the Local Currency Banks named therein, Citibank, N.A.,  and Citibank International plc (incorporated by reference from Exhibit 99.3 to Form 8-K filed September 26, 2006).
 
 
10.12
 
Amendment No. 1 to the 2006 Five-Year Credit Agreement among Caterpillar Inc., Caterpillar Financial Services Corporation, Caterpillar Finance Corporation and Caterpillar International Finance p.l.c., the Banks, Japan Local Currency Banks and Local Currency Banks named therein, The Bank of Tokyo-Mitsubishi UFJ, Ltd., Citibank International plc and Citibank, N.A. (incorporated by reference from Exhibit 10.12 to Form 10-Q filed October 31, 2008).
 
 
10.13
 
Omnibus Amendment and Waiver Agreement (Amendment No. 2) to the 2006 Five-Year Credit Agreement among Caterpillar Inc., Caterpillar Financial Services Corporation, Caterpillar Finance Corporation, Caterpillar International Finance p.l.c., the Banks and Local Currency Banks named therein, Citibank International plc and Citibank, N.A. (incorporated by reference from Exhibit 10.13 to Form 10-Q filed October 31, 2008).
 
 
10.14
 
Amendment No. 3 to the 2006 Five-Year Credit Agreement among Caterpillar Inc., Caterpillar Financial Services Corporation, Caterpillar Finance Corporation and Caterpillar International Finance Limited (f/k/a Caterpillar International Finance p.l.c.), the Banks, Japan Local Currency Banks and Local Currency Banks named therein, The Bank of Tokyo-Mitsubishi UFJ, Ltd., Citibank International plc and Citibank, N.A. (incorporated by reference from Exhibit 99.4 to Form 8-K filed September 23, 2008).
 
Page 3


 
 
 
10.15
 
Five-Year Credit Agreement dated September 20, 2007 (2007 Five-Year Credit Agreement) among Caterpillar Inc., Caterpillar Financial Services Corporation and Caterpillar Finance Corporation, certain financial institutions named therein, Citibank, N.A., The Bank of Tokyo-Mitsubishi UFJ, Ltd., ABN AMRO Bank N.V., Bank of America, N.A., Barclays Bank PLC, J.P. Morgan Securities, Inc., Société Générale and Citigroup Global Markets Inc. (incorporated by reference from Exhibit 99.1 to Form 8-K filed September 25, 2007).
 
 
10.16
 
Japan Local Currency Addendum to the 2007 Five-Year Credit Agreement among Caterpillar Financial Services Corporation, Caterpillar Finance Corporation, the Japan Local Currency Banks named therein, Citibank, N.A. and The Bank of Tokyo-Mitsubishi UFJ, Ltd. (incorporated by reference from Exhibit 99.2 to Form 8-K filed September 25, 2007).
 
 
10.17
 
Amendment No. 1 to the 2007 Five-Year Credit Agreement among Caterpillar Inc., Caterpillar Financial Services Corporation and Caterpillar Finance Corporation, the Banks and Japan Local Currency Banks named therein, The Bank of Tokyo-Mitsubishi UFJ, Ltd. and Citibank, N.A. (incorporated by reference from Exhibit 99.3 to Form 8-K filed September 23, 2008).
 
 
10.18
 
364-Day Credit Agreement dated September 18, 2008 (2008 364-Day Credit Agreement) among Caterpillar Inc., Caterpillar Financial Services Corporation, Caterpillar Finance Corporation, the Banks named therein, Citibank, N.A., The Bank of Tokyo-Mitsubishi UFJ, Ltd., ABN AMRO Bank N.V., Bank of America, N.A., Barclays Bank PLC, J.P. Morgan Securities, Inc., Société Générale and Citigroup Global Markets Inc. (incorporated by reference from Exhibit 99.1 to Form 8-K filed September 23, 2008).
 
 
10.19
 
Japan Local Currency Addendum to the 2008 364-Day Credit Agreement among Caterpillar Financial Services Corporation, Caterpillar Finance Corporation, the Japan Local Currency Banks named therein, Citibank, N.A. and The Bank of Tokyo-Mitsubishi UFJ, Ltd. (incorporated by reference from Exhibit 99.2 to Form 8-K filed September 23, 2008).
 
 
10.20
 
Amendment No. 1 to the 2008 364-Day Credit Agreement among Caterpillar Inc., Caterpillar Financial Services Corporation, Caterpillar Finance Corporation, the Banks and Japan Local Currency Banks named therein, The Bank of Tokyo - Mitsubishi UFJ, Ltd. and Citibank, N.A. (incorporated by reference from Exhibit 99.1 to Form 8-K filed January 26, 2009).
 
 
10.21
 
Amendment No. 2 to the 2007 Five-Year Credit Agreement among Caterpillar Inc., Caterpillar Financial Services Corporation, Caterpillar Finance Corporation, the Banks and Japan Local Currency Banks named therein, The Bank of Tokyo-Mitsubishi UFJ, Ltd. and Citibank, N.A. (incorporated by reference from Exhibit 99.2 to Form 8-K filed January 26, 2009).
 
 
10.22
 
Amendment No. 4 to the 2006 Five-Year Credit Agreement among Caterpillar Inc., Caterpillar Financial Services Corporation, Caterpillar Finance Corporation, Caterpillar International Finance Limited (f/k/a Caterpillar International Finance p.l.c.), the Banks, Japan Local Currency Banks and Local Currency Banks named therein, The Bank of Tokyo-Mitsubishi UFJ, Ltd., Citibank International plc and Citibank, N.A. (incorporated by reference from Exhibit 99.3 to Form 8-K filed January 26, 2009).
 
 
10.23
 
Amendment No. 1 to 2007 Japan Local Currency Addendum among Caterpillar Financial Services Corporation, Caterpillar International Finance Limited (f/k/a Caterpillar International Finance p.l.c.), the Local Currency Banks named therein, Citibank International plc and Citibank, N.A. (incorporated by reference from Exhibit 99.4 to Form 8-K filed January 26, 2009).
 
 
10.24
 
Amendment No. 1 to 2006 Japan Local Currency Addendum among Caterpillar Financial Services Corporation, Caterpillar Finance Corporation, The Bank of Tokyo-Mitsubishi UFJ, Ltd. and Citibank, N.A. (incorporated by reference from Exhibit 99.5 to Form 8-K filed January 26, 2009).
 
 
10.25
 
Amendment No. 1 to 2006 Local Currency Addendum among Caterpillar Financial Services Corporation, Caterpillar Finance Corporation, The Bank of Tokyo-Mitsubishi UFJ, Ltd. and Citibank, N.A. (incorporated by reference from Exhibit 99.6 to Form 8-K filed January 26, 2009).
 
 
10.26
 
364-Day Credit Agreement dated March 31, 2009 (2009 364-Day Backup Facility) among Caterpillar Inc., Caterpillar Financial Services Corporation, the Banks named therein and Citibank, N.A. (incorporated by reference from Exhibit 99.1 to Form 8-K/A filed April 8, 2009) and Notice of Bank Addition and Assumption and Acceptance dated April 7, 2009 (incorporated by reference from Exhibit 99.2 to Form 8-K/A filed April 8, 2009).
 
Page 4


 
 
 
11
 
Computations of Earnings per Share (previously filed as Exhibit 11 included in Note 11 to Form 10-Q filed for the quarter ended June 30, 2009).
 
*
 
31.1
 
Certification of James W. Owens, Chairman and Chief Executive Officer of Caterpillar Inc., as required pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
 
*
 
31.2
 
Certification of David B. Burritt, Vice President and Chief Financial Officer of Caterpillar Inc., as required pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
 
*
 
32
 
Certification of James W. Owens, Chairman and Chief Executive Officer of Caterpillar Inc. and David B. Burritt, Vice President and Chief Financial Officer of Caterpillar Inc., as required pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.
 
**
 
101.INS
 
XBRL Instance Document
 
**
 
101.SCH
 
XBRL Taxonomy Extension Schema Document
 
**
 
101.CAL
 
XBRL Taxonomy Extension Calculation Linkbase Document
 
**
 
101.DEF
 
XBRL Taxomony Extension Definition Linkbase Document
 
**
 
101.LAB
 
XBRL Taxonomy Extension Label Linkbase Document
 
**
 
101.PRE
 
XBRL Taxonomy Extension Presentation Linkbase Document
 
 
     
*
Filed with our Form 10-Q as filed on July 31, 2009
**
Furnished with this Form 10-Q/A
 
Page 5


 
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 thereunto duly authorized.
 
       
 
CATERPILLAR INC.
 
   
 
August 12, 2009
/s/ James W. Owens
 
 
Chairman of the Board and Chief Executive Officer
 
(James W. Owens)
   
       
 
August 12, 2009
/s/ David B. Burritt
 
 
Vice President and Chief Financial Officer
 
(David B. Burritt)
   
       
 
August 12, 2009
/s/ Bradley M. Halverson
 
 
Controller
 
(Bradley M. Halverson)
   
       
 
August 12, 2009
/s/ James B. Buda
 
 
Vice President, General Counsel and Secretary
 
(James B. Buda)
   
       
 
August 12, 2009
/s/ Jananne A. Copeland
 
 
Chief Accounting Officer
 
(Jananne A. Copeland)
   
 

 

 
Page 6


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</font></td><td align="left" valign="bottom" width="2%" style="BORDER-BOTTOM: dimgray 4px solid"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="left"><font style="DISPLAY: inline; FONT-SIZE: 8pt; FONT-FAMILY: arial">$</font></div></td> <td align="right" valign="bottom" width="8%" style="BORDER-BOTTOM: dimgray 4px solid"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="right"><font style="DISPLAY: inline; FONT-SIZE: 8pt; FONT-FAMILY: arial">1,072</font></div></td> <td valign="bottom" width="4%" style="BORDER-BOTTOM: dimgray 4px solid"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td></tr><tr bgcolor="white"><td colspan="2" valign="bottom" width="44%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td> <td valign="bottom" width="4%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="7%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="7%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign=" bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="3%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="7%"><font style="DISPLAY: inline; 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</font></td><td valign="bottom" width="3%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="7%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="1%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: ar ial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="8%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="4%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td></tr><tr bgcolor="white"><td colspan="2" valign="top" width="44%" style="MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; MARGIN-RIGHT: 0pt; TEXT-ALIGN: left"> <div style="DISPLAY: block; 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</font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%" style="BORDER-BOTTOM: dimgray 2px solid"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td align="right" valign="top" width="8%" style="BORDER-BOTTOM: dimgray 2px solid"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="right"><font style="DISPLAY: inline; FONT-SIZE: 8pt; FONT-FAMILY: arial">(8</font></div></td> <td align="left" valign="top" width="4%" style="BORDER-BOTTOM: dimgray 2px solid"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="left"><font style="DISPLAY: inline; FONT-SIZE: 8pt; FONT-FAMILY: arial">)</font></div></td></tr><tr bgcolor="gainsboro"><td colspan="2" valign="bottom" width="44%" style="MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; MARGIN-RIGHT: 0pt; TEXT-ALIGN: left"> <div style="DISPLAY: block; 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FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="3%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="7%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="1%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="8%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="4%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td></tr><tr bgcolor="white"><td colspan="2" valign="top" width="44%" style="MARGIN-LEFT: 0pt; 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FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td align="left" valign="bottom" width="2%"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="left"><font style="DISPLAY: inline; FONT-SIZE: 8pt; FONT-FAMILY: arial">$</font></div></td> <td align="right" valign="bottom" width="7%"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="right"><font style="DISPLAY: inline; FONT-SIZE: 8pt; FONT-FAMILY: arial">218</font></div></td> <td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td align="left" valign="bottom" width="3%"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="left"><font style="DISPLAY: inline; FONT-SIZE: 8pt; FONT-FAMILY: arial">$</font></div></td> <td align="right" valign="bottom" width="7%"><div style="DISPLAY: block; 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</font></td></tr><tr bgcolor="gainsboro"><td colspan="2" valign="top" width="44%" style="MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; MARGIN-RIGHT: 0pt; TEXT-ALIGN: left"> <div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt; TEXT-ALIGN: left"><font style="DISPLAY: inline; FONT-SIZE: 8pt; FONT-FAMILY: arial">Items not included in segment capital expenditures:</font></div></td> <td valign="bottom" width="4%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="7%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="7%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign=" bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="3%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="7%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="1%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="8%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width=" 4%"><font style="DISPLAY: inline; 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</font></td><td align="right" valign="bottom" width="7%" style="BORDER-BOTTOM: dimgray 2px solid"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="right"><font style="DISPLAY: inline; FONT-SIZE: 8pt; FONT-FAMILY: arial">&#8212;</font></div></td> <td valign="bottom" width="2%" style="BORDER-BOTTOM: dimgray 2px solid"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%" style="BORDER-BOTTOM: dimgray 2px solid"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td align="right" valign="bottom" width="7%" style="BORDER-BOTTOM: dimgray 2px solid"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="right"><font style="DISPLAY: inline; FONT-SIZE: 8pt; FONT-FAMILY: arial">3</font></div></td> <td valign="bottom" width="2%" style="BORDER-BOTTOM: dimgray 2px solid"><font style="DISPLAY: inline; 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</font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="3%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="7%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="1%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="8%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="4%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td></tr><tr bgcolor="white"><td colspan="2" valign="top" width="44%" style="MARGIN-LEFT: 0pt; 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FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign=" bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="3%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="7%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="1%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="8%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width=" 4%"><font style="DISPLAY: inline; 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</font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td align="right" valign="bottom" width="7%"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="right"><font style="DISPLAY: inline; FONT-SIZE: 8pt; FONT-FAMILY: arial">&#8212;</font></div></td> <td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="3%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td align="right" valign="bottom" width="7%"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="right"><font style="DISPLAY: inline; 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</font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="8%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="3%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="7%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="1%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; 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</font></td><td valign="bottom" width="3%" style="BORDER-BOTTOM: dimgray 2px solid"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td align="right" valign="bottom" width="7%" style="BORDER-BOTTOM: dimgray 2px solid"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="right"><font style="DISPLAY: inline; FONT-SIZE: 8pt; FONT-FAMILY: arial">(1</font></div></td> <td align="left" valign="bottom" width="1%" style="BORDER-BOTTOM: dimgray 2px solid"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="left"><font style="DISPLAY: inline; FONT-SIZE: 8pt; FONT-FAMILY: arial">)</font></div></td> <td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%" style="BORDER-BOTTOM: dimgray 2px solid"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; 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FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="8%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign=" bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="3%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="7%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="1%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="8%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width=" 4%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td></tr><tr bgcolor="white"><td valign="bottom" width="1%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="top" width="43%" style="MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; MARGIN-RIGHT: 0pt; TEXT-ALIGN: left"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt; TEXT-ALIGN: left"><font style="DISPLAY: inline; FONT-SIZE: 8pt; FONT-FAMILY: arial">All other operating segments</font></div></td><td valign="bottom" width="3%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td align="right" valign="top" width="8%"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; 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At this time, we do not believe these proceedings will have a material impact on our consolidated results of operations, financial position or liquidity.</font></div></font></div></td></tr></table></div> <div style="DISPLAY: block; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25"> <br></div><div><table cellpadding="0" cellspacing="0" width="100%" style="FONT-SIZE: 8pt; FONT-FAMILY: arial; FONT-SIZE: 8pt; FONT-FAMILY: arial"> <tr><td valign="top" width="4%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="top" width="81%"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="justify"><font style="DISPLAY: inline; FONT-SIZE: 10pt; FONT-FAMILY: arial">We have disclosed certain individual legal proceedings in this filing.&#160;&#160;Additionally, we are involved in other unresolved legal actions that arise in the normal course of business. 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MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="right"><font style="DISPLAY: inline; FONT-SIZE: 8pt; FONT-FAMILY: arial">&#8212;</font></div></td> <td valign="bottom" width="2%" style="BORDER-BOTTOM: dimgray 2px solid"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="3%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%" style="BORDER-BOTTOM: dimgray 2px solid"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td align="right" valign="bottom" width="6%" style="BORDER-BOTTOM: dimgray 2px solid"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="right"><font style="DISPLAY: inline; FONT-SIZE: 8pt; FONT-FAMILY: arial">&#8212;</font></div></td> <td valign="bottom" width="3%" style="BORDER-BOTTOM: dimgray 2px solid"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="3%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%" style="BORDER-BOTTOM: dimgray 2px solid"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td align="right" valign="bottom" width="5%" style="BORDER-BOTTOM: dimgray 2px solid"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="right"><font style="DISPLAY: inline; FONT-SIZE: 8pt; FONT-FAMILY: arial">104</font></div></td> <td valign="bottom" width="3%" style="BORDER-BOTTOM: dimgray 2px solid"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="4%" style="BORDER-BOTTOM: dimgray 2px solid"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td align="right" valign="bottom" width="7%" style="BORDER-BOTTOM: dimgray 2px solid"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="right"><font style="DISPLAY: inline; FONT-SIZE: 8pt; FONT-FAMILY: arial">104</font></div></td> <td valign="bottom" width="4%" style="BORDER-BOTTOM: dimgray 2px solid"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td></tr><tr bgcolor="gainsboro"><td valign="bottom" width="5%" bgcolor="white"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td> <td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td colspan="3" valign="bottom" width="40%" style="MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; MARGIN-RIGHT: 0pt; TEXT-ALIGN: left"> <div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt; TEXT-ALIGN: left"><font style="DISPLAY: inline; 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MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="left"><font style="DISPLAY: inline; FONT-SIZE: 8pt; FONT-FAMILY: arial">$</font></div></td> <td align="right" valign="bottom" width="6%" style="BORDER-BOTTOM: dimgray 4px solid"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="right"><font style="DISPLAY: inline; FONT-SIZE: 8pt; FONT-FAMILY: arial">1,492</font></div></td> <td valign="bottom" width="3%" style="BORDER-BOTTOM: dimgray 4px solid"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="3%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td align="left" valign="bottom" width="2%" style="BORDER-BOTTOM: dimgray 4px solid"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="left"><font style="DISPLAY: inline; FONT-SIZE: 8pt; FONT-FAMILY: arial">$</font></div></td> <td align="right" valign="bottom" width="5%" style="BORDER-BOTTOM: dimgray 4px solid"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="right"><font style="DISPLAY: inline; FONT-SIZE: 8pt; FONT-FAMILY: arial">104</font></div></td> <td valign="bottom" width="3%" style="BORDER-BOTTOM: dimgray 4px solid"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td align="left" valign="bottom" width="4%" style="BORDER-BOTTOM: dimgray 4px solid"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="left"><font style="DISPLAY: inline; FONT-SIZE: 8pt; FONT-FAMILY: arial">$</font></div></td> <td align="right" valign="bottom" width="7%" style="BORDER-BOTTOM: dimgray 4px solid"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="right"><font style="DISPLAY: inline; FONT-SIZE: 8pt; FONT-FAMILY: arial">1,723</font></div></td> <td valign="bottom" width="4%" style="BORDER-BOTTOM: dimgray 4px solid"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td></tr><tr bgcolor="white"><td valign="bottom" width="5%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td colspan="3" valign="bottom" width="40%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td> <td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="5%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="3%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="6%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="3%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign=" bottom" width="3%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="5%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="3%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="4%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="7%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width=" 4%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td></tr><tr bgcolor="gainsboro"><td valign="bottom" width="5%" bgcolor="white"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td> <td align="left" colspan="4" valign="bottom" width="42%"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="left"><font style="DISPLAY: inline; FONT-WEIGHT: bold; FONT-SIZE: 8pt; FONT-FAMILY: arial">Liabilities</font></div></td> <td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="5%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="3%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="6%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="3%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign=" bottom" width="3%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="5%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="3%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="4%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="7%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width=" 4%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td></tr><tr bgcolor="white"><td valign="bottom" width="5%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td colspan="3" valign="bottom" width="40%" style="MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; MARGIN-RIGHT: 0pt; TEXT-ALIGN: left"> <div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt; TEXT-ALIGN: left"><font style="DISPLAY: inline; FONT-SIZE: 8pt; FONT-FAMILY: arial">Guarantees</font></div></td> <td align="left" valign="bottom" width="2%" style="BORDER-BOTTOM: dimgray 2px solid"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="left"><font style="DISPLAY: inline; FONT-SIZE: 8pt; FONT-FAMILY: arial">$</font></div></td> <td align="right" valign="bottom" width="5%" style="BORDER-BOTTOM: dimgray 2px solid"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="right"><font style="DISPLAY: inline; FONT-SIZE: 8pt; FONT-FAMILY: arial">&#8212;</font></div></td> <td valign="bottom" width="2%" style="BORDER-BOTTOM: dimgray 2px solid"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="3%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td align="left" valign="bottom" width="2%" style="BORDER-BOTTOM: dimgray 2px solid"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="left"><font style="DISPLAY: inline; FONT-SIZE: 8pt; FONT-FAMILY: arial">$</font></div></td> <td align="right" valign="bottom" width="6%" style="BORDER-BOTTOM: dimgray 2px solid"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="right"><font style="DISPLAY: inline; FONT-SIZE: 8pt; FONT-FAMILY: arial">&#8212;</font></div></td> <td valign="bottom" width="3%" style="BORDER-BOTTOM: dimgray 2px solid"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="3%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td align="left" valign="bottom" width="2%" style="BORDER-BOTTOM: dimgray 2px solid"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="left"><font style="DISPLAY: inline; FONT-SIZE: 8pt; FONT-FAMILY: arial">$</font></div></td> <td align="right" valign="bottom" width="5%" style="BORDER-BOTTOM: dimgray 2px solid"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="right"><font style="DISPLAY: inline; FONT-SIZE: 8pt; FONT-FAMILY: arial">15</font></div></td> <td valign="bottom" width="3%" style="BORDER-BOTTOM: dimgray 2px solid"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td align="left" valign="bottom" width="4%" style="BORDER-BOTTOM: dimgray 2px solid"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="left"><font style="DISPLAY: inline; FONT-SIZE: 8pt; FONT-FAMILY: arial">$</font></div></td> <td align="right" valign="bottom" width="7%" style="BORDER-BOTTOM: dimgray 2px solid"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="right"><font style="DISPLAY: inline; FONT-SIZE: 8pt; FONT-FAMILY: arial">15</font></div></td> <td valign="bottom" width="4%" style="BORDER-BOTTOM: dimgray 2px solid"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td></tr><tr bgcolor="gainsboro"><td valign="bottom" width="5%" bgcolor="white"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td> <td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td colspan="3" valign="bottom" width="40%" style="MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; MARGIN-RIGHT: 0pt; TEXT-ALIGN: left"> <div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt; TEXT-ALIGN: left"><font style="DISPLAY: inline; FONT-SIZE: 8pt; FONT-FAMILY: arial">Total Liabilities</font></div></td><td align="left" valign="bottom" width="2%" style="BORDER-BOTTOM: dimgray 4px solid"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="left"><font style="DISPLAY: inline; FONT-SIZE: 8pt; FONT-FAMILY: arial">$</font></div></td> <td align="right" valign="bottom" width="5%" style="BORDER-BOTTOM: dimgray 4px solid"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="right"><font style="DISPLAY: inline; 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Fair Value Disclosures link:presentationLink link:calculationLink link:definitionLink 6140 - Redeemable Noncontrolling Interest Caterpillar Japan Ltd. link:presentationLink link:calculationLink link:definitionLink 6150 - Securitizations link:presentationLink link:calculationLink link:definitionLink 6160 - Employee separation charges link:presentationLink link:calculationLink link:definitionLink EX-101.CAL 4 cat-20090630_cal.xml EX-101.DEF 5 cat-20090630_def.xml EX-101.LAB 6 cat-20090630_lab.xml Receivables - trade and other Long-term receivables - trade and other Accumulated other comprehensive income (loss) Investments and acquisitions (net of cash acquired) Investments and acquisitions (net of cash acquired) Capital expenditures - excluding equipment leased to others Capital expenditures - excluding equipment leased to others Cash and short-term investments Cash and short-term investments at beginning of period Cash and short-term investments at end of period Accounts payable and accrued expenses Customer advances Inventories Receivables - trade and other Changes in assets and liabilities Authorized shares Cost of goods sold Cost of goods sold Current liabilities Total current liabilities Total current liabilities Long-term debt due within one year: Customer advances Profit per common share - diluted Equity in profit (loss) of unconsolidated affiliated companies Effect of exchange rate changes on cash Revenues of Financial Products Less: Profit (loss) attributable to noncontrolling interests Other assets - net Intangible assets Inventories Investments in unconsolidated affiliated companies Liabilities Total liabilities, redeemable noncontrolling interest and stockholders' equity Total liabilities Total liabilities Long-term debt due after one year Distribution to noncontrolling interest Noncontrolling interests Cash flow from financing activities Net cash provided by (used for) financing activities Cash flow from investing activities Net cash provided by (used for) investing activities Cash flow from operating activities Net cash provided by (used for) operating activities Profit Profit Increase (decrease) in cash and short-term investments Operating profit Sales and revenues Total sales and revenues Other Pension & other retirement benefits: Current year actuarial (gain) loss, net of tax Foreign currency transalation, net of tax Pension & other retirement benefits: Current year prior service costs, net of tax Derivative financial instrumentss - Gains (losses) reclassified to earnings, net of tax Pension & other retirement benefits: Amortization of prior service cost, net of tax Derivative financial instruments: Gains (losses) deferred, net of tax Available-for-sale securities: Gains (losses) deferred, net of tax Other - net Other - net Other income (expense) Dividends paid Dividends paid Common stock issued, including treasury shares reissued Proceeds from debt issued (original maturities greater than three months) Proceeds from sales of available-for-sale securities Proceeds from disposals of property, plant and equipment Property, plant and equipment - net Investments in available-for-sale securities Investments in available-for-sale securities Additions to finance receivables Additions to finance receivables Payments on debt (original maturities greater than three months) Treasury shares purchased Treasury shares purchased Acquistion of noncontrolling interests Acquistion of noncontrolling interests Profit employed in the business Sales of Machinery and Engines Investment to unconsolidated affiliated companies [Text Block] Selling, general and administrative expenses Selling, general and administrative expenses Short-term borrowings Current assets Total current assets Diluted Basic Research and development expenses Research and development expenses Total assets Other current liabilities Other liabilities Cash dividends declared per common share Assets Pension & other retirement benefits: Amortization of transition asset/obligation, net of tax Redeemable noncontrolling interest Treasury stock at cost Treasury stock at cost Pension & other retirement benefits: Amortization of actuarial (gain) loss, net of tax Profit per common share Excess tax benefit from stock-based compensation Issued shares Other operating (income) expenses Other operating (income) expenses Other assets Operating costs Total operating costs Other liabilities - net Consolidated profit before taxes Common stock, par value Available-for-sale securities: Gains (losses) reclassed to earnings, net of tax Provision for income taxes Profit Employed in the Business [Member] Short-term borrowings (original maturities three months or less) - net Stock-based compensation expense Adjustment to adopt FIN 48 Shares repurchased at cost Shares repurchased Dividends declared Tax benefits from stock-based compensation Weighted-average common shares outstanding Profit of consolidated and affiliated companies Profit of consolidated and affiliated companies Depreciation and amortization Comprehensive income (loss) Stockholders' equity Total stockholders' equity Beginning Ending Accounts payable Accrued expenses Accrued wages, salaries and employee benefits Commitments and contingencies (Notes 10 and 12) Adjustments for non-cash items Dividends payable Amounts due from customers, clients, lessees, borrowers, or others within one year of the balance sheet date (or the normal operating cycle, whichever is longer) under the terms of its agreements therewith. Such amount may include accrued interest receivable in accordance with the terms of the agreements. The agreements also may contain provisions and related items including a discount or premium, payable on demand, secured, or unsecured, interest bearing or noninterest bearing, among myriad other features and characteristics Receivables - finance Include the following two items 1) The current portion of the aggregate tax effects as of the balance sheet date of all future tax deductions arising from temporary differences between tax basis and generally accepted accounting principles basis recognition of assets, liabilities, revenues and expenses, which can only be deducted for tax purposes when permitted under enacted tax laws; after deducting the allocated valuation allowance, if any, to reduce such amount to net realizable value. Deferred tax liabilities and assets shall be classified as current or noncurrent based on the classification of the related asset or liability for financial reporting. 2)Carrying amount due within one year of the balance sheet date (or one operating cycle, if longer) from tax authorities as of the balance sh eet date representing refunds of overpayments or recoveries based on agreed-upon resolutions of disputes. Deferred and refundable income taxes Include the following two items: 1)Carrying amount as of the balance sheet date of expenditures made, in advance of the timing of recognition of expenses which are expected to be charged against earnings within one year or the normal operating cycle, if longer. 2) Aggregate carrying amount, as of the balance sheet date, of current assets not separately disclosed in the balance sheet due to materiality considerations. Current assets are expected to be realized or consumed within one year (or the normal operating cycle, if longer). Prepaid expenses and other current assets Long-term receivables - finance Amounts due from customers, clients, lessees, borrowers, or others more than one year from the balance sheet date (or the normal operating cycle, whichever is longer) under the terms of its agreements therewith. Such amount may include accrued interest receivable in accordance with the terms of the agreements. The agreements also may contain provisions and related items including a discount or premium, payable on demand, secured, or unsecured, interest bearing or noninterest bearing, among myriad other features and characteristics. Noncurrent Deferred and Refundable Income Taxes Include the following two items 1) The noncurrent portion of the aggregate tax effects as of the balance sheet date of all future tax deductions arising from temporary differences between tax basis and generally accepted accounting principles basis recognition of assets, liabilities, revenues and expenses, which can only be deducted for tax purposes when permitted under enacted tax laws; after deducting the allocated valuation allowance, if any, to reduce such amount to net realizable value. Deferred tax liabilities and assets shall be classified as current or noncurrent based on the classification of the related asset or liability for financial reporting. 2)Carrying amount due more than one year of the balance sheet date (or one operating cycle, if longer) from tax author ities as of the balance sheet date representing refunds of overpayments or recoveries based on agreed-upon resolutions of disputes. Reflects the total carrying amount as of the balance sheet date of debt having initial terms less than one year or the normal operating cycle, if longer from the Machinery and Engines lines of business. Machinery and Engines Reflects the total carrying amount as of the balance sheet date of debt having initial terms less than one year or the normal operating cycle, if longer from the Financial Products line of business. Financial Products The carrying amounts as of the balance sheet date of long-term debt, which may include notes payable, bonds payable, debentures, mortgage loans, and commercial paper, which are scheduled to be repaid within one year or the normal operating cycle, if longer from Machinery and Engines lines of business Machinery and Engines The carrying amounts as of the balance sheet date of long-term debt, which may include notes payable, bonds payable, debentures, mortgage loans, and commercial paper, which are scheduled to be repaid within one year or the normal operating cycle, if longer from Financial Products line of business Financial Products Machinery and Engines carrying values as of the balance sheet date of all long-term debt, which is debt initially having maturities due after one year or beyond the operating cycle, if longer, but excluding the portions thereof scheduled to be repaid within one year or the normal operating cycle, if longer from Machinery and Engines lines of business. Financial Products carrying values as of the balance sheet date of all long-term debt, which is debt initially having maturities due after one year or beyond the operating cycle, if longer, but excluding the portions thereof scheduled to be repaid within one year or the normal operating cycle, if longer from Financial Products line of business. Include the following two items: 1) the carrying amount as of the balance sheet date of the portion of the obligations recognized for the various benefits provided to former or inactive employees, their beneficiaries, and covered dependents after employment but before retirement that is payable after one year (or beyond the operating cycle if longer). 2) the noncurrent liability for underfunded plans recognized in the balance sheet that is associated with the defined benefit pension plans and other postretirement defined benefit plans. Liability for postemployment benefits Interest expense incurred on trading liabilities, commercial paper, long-term debt, capital leases, deposits, and all other borrowings from Financial Products line of business Interest expense of Financial Products Interest expense excluding Financial Products Interest expense incurred on trading liabilities, commercial paper, long-term debt, capital leases, deposits, and all other borrowings excluding those from Financial Products line of business The cash outflow for purchases on long lived, depreciable tangible personal property, nonconsumable in nature, with finite lives used to generate rental income. Expenditures for equipment leased to others The cash inflow associated with the collection of receivables arising from the financing of goods and services. Collections of finance receivables The cash inflow associated with the sale of receivables arising from the financing of goods and services. Proceeds from sales of finance receivables The cashflow to acquire stock repurchase derivative contracts Payment for stock repurchase derivative contracts The cash inflow from a borrowing having initial term of repayment of more than three months from Machinery and Engines lines of business. Machinery and Engines The cash inflow from a borrowing having initial term of repayment of more than three months from Financial Products line of business. Financial Products The cash outflow from repayment of a borrowing having initial term of repayment of more than three months from Machinery and Engines lines of business. Machinery and Engines The cash outflow from repayment of a borrowing having initial term of repayment of more than three months from Financial Products line of business. Financial Products Value of common stock issued including both the par value and value in excess of par Common Stock at Paid-in Amount - Beginning Balance Common Stock at Paid-in Amount - Ending Balance Common stock at paid-in amount Income (Loss) from Continuing Operations less Income Taxes and before Income (Loss) from Equity Method Investments Profit (loss) of consolidated companies Profit of consolidated companies Value of treasury stock reissued during the period for stock-based compensation Common shares issued from treasury stock for stock-based compensation at cost Cumulative effect of adoption of measurement date provision of Statement of Financial Accounting Standard 158 (SFAS No. 158), Employers' Accounting for Defined Benefit Pension and Other Postretirement Plans on beginning retained earnings, net of tax. Adjustment to adopt measurement date provision of FAS 158, net of tax Accumulated Other Comprehensive Income (Loss), Foreign Currency Translation [Member] Accumulated other comprehensive income (loss), Pension and other postretirement benefits [Member] Accumulated other comprehensive income (loss), Derivative financial instruments and other [Member] Accumulated other comprehensive income (loss), Available-for-sale Securities [Member] Common Stock at Paid-in Amount [Member] Value of common stock issued including both the par value and value in excess of par Nature of Operations [Text Block] Interests Continued to be Held by Transferor in Financial Assets that It has Securitized or Servicing Assets or Liabilities, Policy [Text Block] Depreciation and Amortization, Policy [Text Block] Describes an entity's methodology for allocating the cost of a property, plant or equipment, less salvage value (if any), over the estimated useful life of the asset in a systematic and rational manner. In addition, it also describes an entity's accounting policy for finite-lived intangible assets, which includes: (1) the amortization method used (2) the useful lives of such assets. Marketable Securities, Available-for-sale Securities, Policy [Text Block] Use of Estimates [Text Block] Goodwill and Intangible Assets, Goodwill, Policy [Text Block] New Accounting Pronouncements Share-based Compensation, Option and Incentive Plans Policy [Text Block] Basis of Presentation and Nature of Operations Stock Based Compensation Derivative Instruments and Hedging Activities Other Income and Other Expense Disclosure Receivables Finance Receivables [Text Block] Includes disclosure on amounts due the Company from customers, clients, lessees, borrowers, or others under the terms of its agreements therewith. Wholesale Inventory Receivables [Text Block] Includes disclosure on receivables of Cat Financial that arise primarily when Cat Financial provides financing for a dealer's purchase of inventory. Inventories Investments in Unconsolidated Affiliated Companies Intangible Assets and Goodwill Available For Sale Securities Postemployment benefit plans [Text Block] Include the following two disclosures: 1)Description containing the entire pension and other postretirement benefits disclosure as a single block of text. 2) Description containing the entire postemployment benefits disclosure which may include supplemental unemployment benefits, obligations recognized for all types of benefits provided to former or inactive employees, their beneficiaries, and covered dependents after employment but before retirement. Disclosure may also include discussion that an obligation for postemployment benefits is not accrued in accordance with regulation only because the amount cannot be reasonably estimated. Postretirement Benefits Computations of Profit Per Share Fair Value Disclosures Securitizations Employee separation charges Garantees and Product Warranty Disclosure [Text Block] Include the following two disclosures: 1) Pertinent information about each guarantee obligation, or each group of similar guarantee obligations, including (a) the nature of the guarantee, including its term, how it arose, and the events or circumstances that would require the guarantor to perform under the guarantee; (b) the maximum potential amount of future payments (undiscounted) the guarantor could be required to make under the guarantee; (c) the current carrying amount of the liability, if any, for the guarantor's obligations under the guarantee; and (d) the nature of any recourse provisions under the guarantee, and any assets held either as collateral or by third parties, and any relevant related party disclosure. Excludes disclosures about product warranties . 2) Standard and extended product warranties and other product guarantee contracts, including a tabular reconciliation of the changes in the guarantor's aggregate product warranty liability for the reporting period. Environmental and Legal Matters [Text Block] Include the following two disclosures: 1) Disclosures of environmental loss contingencies, such as presence of hazardous waste, relevant information from reports issued by regulators, and estimated costs to achieve compliance with regulatory requirements. 2) Excluding environmental contingencies, warranties and unconditional purchase obligations (all of which have their own elements in this taxonomy), describes any existing condition, situation, or set of circumstances involving uncertainty as of the balance sheet date (or prior to issuance of the financial statements) as to a probable or reasonably possible loss incurred by an entity that will ultimately be resolved when one or more future events occur or fail to occur, and typically discloses the amount of loss recorded or a rang e of possible loss, or an assertion that no reasonable estimate can be made. Segment Information Redeemable Noncontrolling Interest - Caterpillar Japan Ltd. Quarterly Financial Information Impact of Cat Japan share redemption on stockholders' equity Cat Japan share redemption Debt Change in ownership for noncontrolling interests Increase or decrease in noncontrolling interest balances due to change in ownership for noncontrolling interest Basis of Accounting [Text Block] Description of the basis of accounting used to prepare the financial statements (for example, U.S. Generally Accepted Accounting Principles, Other Comprehensive Basis of Accounting, IFRS). Retained interest: Gains / (losses) deferred, net of tax Change in accumulated gains and losses from retained interest, net of tax effect. Retained interest: Gains / (losses) reclassed to earnings, net of tax Net of tax effect of the reclassification adjustment for accumulated gains and losses from retained interests included in accumulated comprehensive income that was realized in net income during the period. 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</font></td><td valign="bottom" width="5%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="3%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="6%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="3%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign=" bottom" width="3%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="5%"><font style="DISPLAY: inline; 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MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="right"><font style="DISPLAY: inline; FONT-SIZE: 8pt; FONT-FAMILY: arial">104</font></div></td> <td valign="bottom" width="3%" style="BORDER-BOTTOM: dimgray 4px solid"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td align="left" valign="bottom" width="4%" style="BORDER-BOTTOM: dimgray 4px solid"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="left"><font style="DISPLAY: inline; FONT-SIZE: 8pt; FONT-FAMILY: arial">$</font></div></td> <td align="right" valign="bottom" width="7%" style="BORDER-BOTTOM: dimgray 4px solid"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="right"><font style="DISPLAY: inline; FONT-SIZE: 8pt; FONT-FAMILY: arial">1,723</font></div></td> <td valign="bottom" width="4%" style="BORDER-BOTTOM: dimgray 4px solid"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td></tr><tr bgcolor="white"><td valign="bottom" width="5%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td colspan="3" valign="bottom" width="40%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td> <td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="5%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="3%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="6%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="3%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign=" bottom" width="3%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="5%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="3%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="4%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="7%"><font style="DISPLAY: inline; 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FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="6%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="3%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign=" bottom" width="3%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="5%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="3%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="4%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="7%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width=" 4%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td></tr><tr bgcolor="white"><td valign="bottom" width="5%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td colspan="3" valign="bottom" width="40%" style="MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; MARGIN-RIGHT: 0pt; TEXT-ALIGN: left"> <div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt; TEXT-ALIGN: left"><font style="DISPLAY: inline; FONT-SIZE: 8pt; FONT-FAMILY: arial">Guarantees</font></div></td> <td align="left" valign="bottom" width="2%" style="BORDER-BOTTOM: dimgray 2px solid"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="left"><font style="DISPLAY: inline; FONT-SIZE: 8pt; FONT-FAMILY: arial">$</font></div></td> <td align="right" valign="bottom" width="5%" style="BORDER-BOTTOM: dimgray 2px solid"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="right"><font style="DISPLAY: inline; FONT-SIZE: 8pt; FONT-FAMILY: arial">&#8212;</font></div></td> <td valign="bottom" width="2%" style="BORDER-BOTTOM: dimgray 2px solid"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="3%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td align="left" valign="bottom" width="2%" style="BORDER-BOTTOM: dimgray 2px solid"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="left"><font style="DISPLAY: inline; FONT-SIZE: 8pt; FONT-FAMILY: arial">$</font></div></td> <td align="right" valign="bottom" width="6%" style="BORDER-BOTTOM: dimgray 2px solid"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="right"><font style="DISPLAY: inline; FONT-SIZE: 8pt; FONT-FAMILY: arial">&#8212;</font></div></td> <td valign="bottom" width="3%" style="BORDER-BOTTOM: dimgray 2px solid"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="3%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td align="left" valign="bottom" width="2%" style="BORDER-BOTTOM: dimgray 2px solid"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="left"><font style="DISPLAY: inline; FONT-SIZE: 8pt; FONT-FAMILY: arial">$</font></div></td> <td align="right" valign="bottom" width="5%" style="BORDER-BOTTOM: dimgray 2px solid"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="right"><font style="DISPLAY: inline; FONT-SIZE: 8pt; FONT-FAMILY: arial">15</font></div></td> <td valign="bottom" width="3%" style="BORDER-BOTTOM: dimgray 2px solid"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td align="left" valign="bottom" width="4%" style="BORDER-BOTTOM: dimgray 2px solid"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="left"><font style="DISPLAY: inline; FONT-SIZE: 8pt; FONT-FAMILY: arial">$</font></div></td> <td align="right" valign="bottom" width="7%" style="BORDER-BOTTOM: dimgray 2px solid"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="right"><font style="DISPLAY: inline; FONT-SIZE: 8pt; FONT-FAMILY: arial">15</font></div></td> <td valign="bottom" width="4%" style="BORDER-BOTTOM: dimgray 2px solid"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td></tr><tr bgcolor="gainsboro"><td valign="bottom" width="5%" bgcolor="white"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td> <td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td colspan="3" valign="bottom" width="40%" style="MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; MARGIN-RIGHT: 0pt; TEXT-ALIGN: left"> <div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt; TEXT-ALIGN: left"><font style="DISPLAY: inline; FONT-SIZE: 8pt; FONT-FAMILY: arial">Total Liabilities</font></div></td><td align="left" valign="bottom" width="2%" style="BORDER-BOTTOM: dimgray 4px solid"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="left"><font style="DISPLAY: inline; FONT-SIZE: 8pt; FONT-FAMILY: arial">$</font></div></td> <td align="right" valign="bottom" width="5%" style="BORDER-BOTTOM: dimgray 4px solid"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="right"><font style="DISPLAY: inline; 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FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="3%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td align="left" valign="bottom" width="2%" style="BORDER-BOTTOM: dimgray 4px solid"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="left"><font style="DISPLAY: inline; FONT-SIZE: 8pt; FONT-FAMILY: arial">$</font></div></td> <td align="right" valign="bottom" width="5%" style="BORDER-BOTTOM: dimgray 4px solid"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="right"><font style="DISPLAY: inline; FONT-SIZE: 8pt; FONT-FAMILY: arial">15</font></div></td> <td valign="bottom" width="3%" style="BORDER-BOTTOM: dimgray 4px solid"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td align="left" valign="bottom" width="4%" style="BORDER-BOTTOM: dimgray 4px solid"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="left"><font style="DISPLAY: inline; FONT-SIZE: 8pt; FONT-FAMILY: arial">$</font></div></td> <td align="right" valign="bottom" width="7%" style="BORDER-BOTTOM: dimgray 4px solid"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="right"><font style="DISPLAY: inline; FONT-SIZE: 8pt; FONT-FAMILY: arial">15</font></div></td> <td valign="bottom" width="4%" style="BORDER-BOTTOM: dimgray 4px solid"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td></tr><tr bgcolor="white"><td valign="bottom" width="5%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%" style="BORDER-BOTTOM: dimgray 2px solid"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td colspan="3" valign="bottom" width="40%" style="BORDER-BOTTOM: dimgray 2px solid"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%" style="BORDER-BOTTOM: dimgray 2px solid"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="5%" style="BORDER-BOTTOM: dimgray 2px solid"><font st yle="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%" style="BORDER-BOTTOM: dimgray 2px solid"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="3%" style="BORDER-BOTTOM: dimgray 2px solid"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%" style="BORDER-BOTTOM: dimgray 2px solid"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="6%" style="BORDER-BOTTOM: dimgray 2px solid"><font style="DISPLAY: inline; 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</font></td><td align="left" valign="bottom" width="2%" style="BORDER-BOTTOM: dimgray 4px solid"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="left"><font style="DISPLAY: inline; FONT-SIZE: 8pt; FONT-FAMILY: arial">$</font></div></td> <td align="right" valign="bottom" width="8%" style="BORDER-BOTTOM: dimgray 4px solid"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="right"><font style="DISPLAY: inline; FONT-SIZE: 8pt; FONT-FAMILY: arial">1,072</font></div></td> <td valign="bottom" width="4%" style="BORDER-BOTTOM: dimgray 4px solid"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td></tr><tr bgcolor="white"><td colspan="2" valign="bottom" width="44%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td> <td valign="bottom" width="4%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="7%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="7%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign=" bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="3%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="7%"><font style="DISPLAY: inline; 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</font></td><td valign="bottom" width="3%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="7%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="1%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: ar ial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="8%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="4%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td></tr><tr bgcolor="white"><td colspan="2" valign="top" width="44%" style="MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; MARGIN-RIGHT: 0pt; TEXT-ALIGN: left"> <div style="DISPLAY: block; 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FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td align="left" valign="bottom" width="2%"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="left"><font style="DISPLAY: inline; FONT-SIZE: 8pt; FONT-FAMILY: arial">$</font></div></td> <td align="right" valign="bottom" width="7%"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="right"><font style="DISPLAY: inline; FONT-SIZE: 8pt; FONT-FAMILY: arial">218</font></div></td> <td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td align="left" valign="bottom" width="3%"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="left"><font style="DISPLAY: inline; FONT-SIZE: 8pt; FONT-FAMILY: arial">$</font></div></td> <td align="right" valign="bottom" width="7%"><div style="DISPLAY: block; 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FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign=" bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="3%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="7%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="1%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="8%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width=" 4%"><font style="DISPLAY: inline; 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</font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td align="right" valign="bottom" width="7%"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="right"><font style="DISPLAY: inline; FONT-SIZE: 8pt; FONT-FAMILY: arial">&#8212;</font></div></td> <td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="top" width="3%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td align="right" valign="bottom" width="7%"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="right"><font style="DISPLAY: inline; FONT-SIZE: 8pt; FONT-FAMILY: arial">&#8212;</font></div></td> <td valign="bottom" width="1%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td align="right" valign="bottom" width="8%"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="right"><font style="DISPLAY: inline; FONT-SIZE: 8pt; FONT-FAMILY: arial">76</font></div></td> <td valign="bottom" width="4%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td></tr><tr bgcolor="gainsboro"><td valign="bottom" width="1%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="top" width="43%" style="MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; MARGIN-RIGHT: 0pt; 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</font></td><td align="right" valign="bottom" width="7%" style="BORDER-BOTTOM: dimgray 2px solid"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="right"><font style="DISPLAY: inline; FONT-SIZE: 8pt; FONT-FAMILY: arial">&#8212;</font></div></td> <td valign="bottom" width="2%" style="BORDER-BOTTOM: dimgray 2px solid"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%" style="BORDER-BOTTOM: dimgray 2px solid"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td align="right" valign="bottom" width="7%" style="BORDER-BOTTOM: dimgray 2px solid"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="right"><font style="DISPLAY: inline; FONT-SIZE: 8pt; FONT-FAMILY: arial">3</font></div></td> <td valign="bottom" width="2%" style="BORDER-BOTTOM: dimgray 2px solid"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="3%" style="BORDER-BOTTOM: dimgray 2px solid"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td align="right" valign="bottom" width="7%" style="BORDER-BOTTOM: dimgray 2px solid"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="right"><font style="DISPLAY: inline; FONT-SIZE: 8pt; FONT-FAMILY: arial">&#8212;</font></div></td> <td valign="bottom" width="1%" style="BORDER-BOTTOM: dimgray 2px solid"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%" style="BORDER-BOTTOM: dimgray 2px solid"><font style="DISPLAY: inline; FONT-SIZE: 6pt; 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</font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="3%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="7%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="1%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="8%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="4%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td></tr><tr bgcolor="white"><td colspan="2" valign="top" width="44%" style="MARGIN-LEFT: 0pt; 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FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign=" bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="3%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="7%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="1%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="8%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width=" 4%"><font style="DISPLAY: inline; 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</font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td align="right" valign="bottom" width="7%"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="right"><font style="DISPLAY: inline; FONT-SIZE: 8pt; FONT-FAMILY: arial">&#8212;</font></div></td> <td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="3%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td align="right" valign="bottom" width="7%"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="right"><font style="DISPLAY: inline; 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</font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="8%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="3%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="7%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="1%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; 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</font></td><td valign="bottom" width="3%" style="BORDER-BOTTOM: dimgray 2px solid"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td align="right" valign="bottom" width="7%" style="BORDER-BOTTOM: dimgray 2px solid"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="right"><font style="DISPLAY: inline; FONT-SIZE: 8pt; FONT-FAMILY: arial">(1</font></div></td> <td align="left" valign="bottom" width="1%" style="BORDER-BOTTOM: dimgray 2px solid"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="left"><font style="DISPLAY: inline; FONT-SIZE: 8pt; FONT-FAMILY: arial">)</font></div></td> <td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%" style="BORDER-BOTTOM: dimgray 2px solid"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; 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</font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="3%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="7%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="1%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: ar ial">&#160; </font></td><td valign="bottom" width="2%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="8%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="bottom" width="4%"><font style="DISPLAY: inline; 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Segment Information A. Basis for segment informationCaterpillar is organized based on a decentralized structure that has established responsibilities to false false This element may be used to capture the complete disclosure of reporting segments including data and tables. Reportable segments include those that meet any of the following quantitative thresholds a) it's reported revenue, including sales to external customers and intersegment sales or transfers is 10% or more of the combined revenue, internal and external, of all operating segments b) the absolute amount of its reported profit or loss is 10 percent or more of the greater, in absolute amount of 1) the combined reported profit of all operating segments that did not report a loss or 2) the combined reported loss of all operating segments that did report a loss c) its assets are 10 percent or more of the combined assets of all operating segments. 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Also discloses (a) for amortizable intangibles assets in total and by major class, the gross carrying amount and accumulated amortization, the total amortization expense for the period, and the estimated aggregate amortization expense for each of the five succeeding fiscal years, (b) for intangible assets not subjec t to amortization the carrying amount in total and by major class, and (c) for goodwill, in total and for each reportable segment, the changes in the carrying amount of goodwill during the period (including the aggregate amount of goodwill acquired, the aggregate amount of impairment losses recognized, and the amount of goodwill included in the gain or loss on disposal of a reporting unit). If any part of goodwill has not been allocated to a reportable segment, discloses the unallocated amount and the reasons for not allocating. For each impairment loss recognized related to an intangible asset (excluding goodwill), discloses: (a) a description of the impaired intangible asset and the facts and circumstances leading to the impairment, (b) the amount of the impairment loss and the method for determining fair value, (c) the caption in the income statement or the statement of activities in which the impairment loss is aggregated, and (d) the segment in which the impaired intangible asset is reported. For each g oodwill impairment loss recognized, discloses: (a) a description of the facts and circumstances leading to the impairment, (b) the amount of the impairment loss and the method of determining the fair value of the associated reporting unit, and (c) if a recognized impairment loss is an estimate not finalized and the reasons why the estimate is not final. May also disclose the nature and amount of any significant adjustments made to a previous estimate of an impairment loss. 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Guarantees and Product Warranty &#160; We have provided an indemnity to a third-party insurance company for potential losses related to false false Include the following two disclosures: 1) Pertinent information about each guarantee obligation, or each group of similar guarantee obligations, including (a) the nature of the guarantee, including its term, how it arose, and the events or circumstances that would require the guarantor to perform under the guarantee; (b) the maximum potential amount of future payments (undiscounted) the guarantor could be required to make under the guarantee; (c) the current carrying amount of the liability, if any, for the guarantor's obligations under the guarantee; and (d) the nature of any recourse provisions under the guarantee, and any assets held either as collateral or by third parties, and any relevant related party disclosure. 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(SCM) completed the first phase of a share redemption plan whereby SCM redeemed half of MHI&#8217;s shares in SCM.&#160;&#160;This resulted in Caterpillar owning 67 percent of the outstanding shares of SCM and MHI owning the remaining 33 percent.&#160;&#160;As part of the share redemption, SCM was renamed Caterpillar Japan Ltd. (Cat Japan).&#160;&#160;Both Cat Japan and MHI have options, exercisable after five years, to require the redemption of the remaining shares owned by MHI, which if exercised, would make Caterpillar the sole owner of Cat Japan.</font></div></td></tr></table></div></div><div style="TEXT-ALIGN: left"><div>&#160;</div><div><div style="TEXT-ALIGN: left"><div><table cellpadding="0" cellspacing="0" width="100%" style="FONT-SIZE: 8pt; FONT-FAMILY: arial; FONT-SIZE: 8pt; FONT-FAMILY: arial"> <tr><td valign="top" width="4%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="top" width="79%"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="justify"><font style="DISPLAY: inline; FONT-SIZE: 10pt; FONT-FAMILY: arial">The remaining 33 percent of Cat Japan owned by MHI has been reported as redeemable noncontrolling interest and classified as mezzanine equity (temporary equity) in the Consolidated Statement of Financial Position. The redeemable noncontrolling interest is reported at its estimated redemption value.&#160;&#160;Any adjustment tothe redemption value impacts Profit employed in the business, but does not impact Profit.&#160;&#160;If the fair value of the redeemable noncontrolling interest falls below the redemption value, profit available to common stockholders would be reduced by the difference between the redemption val ue and the fair value.&#160;&#160;This would result in lower profit in the profit per common share computation in that period.&#160;&#160;Reductions impacting the profit per common share computation may be partially orfully reversed in subsequent periods if the fair value of the redeemable noncontrolling interest increases relative to the redemption value.&#160;&#160;Such increases in profit per common share would be limited to cumulative prior reductions.&#160;&#160;During the second quarter of 2009, the estimated redemption value decreased, resulting in an adjustment to the carrying value of the redeemable noncontrolling interest. 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Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 95 -Paragraph 16 -Subparagraph a Reference 2: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 115 -Paragraph 18 Reference 3: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 95 -Paragraph 15 Reference 4: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 95 -Paragraph 16 -Subparagraph b false 27 4 us-gaap_PaymentsToAcquireAvailableForSaleSecurities us-gaap true credit duration monetary The cash outflow to acquire debt and equity securities not classified as either held-to-maturity securities or trading... false false false false false false false false false 1 false false 0 0 false false 2 false false 0 0 false false 3 false true -251000000 -251 false false 4 false true -230000000 -230 false false The cash outflow to acquire debt and equity securities not classified as either held-to-maturity securities or trading securities which would be classified as available-for-sale securities and reported at fair value, with unrealized gains and losses excluded from earnings and reported in a separate component of shareholders' equity. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 95 -Paragraph 17 -Subparagraph b Reference 2: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 115 -Paragraph 18 Reference 3: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 95 -Paragraph 15 Reference 4: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 95 -Paragraph 17 -Subparagraph a false 28 4 us-gaap_PaymentsForProceedsFromOtherInvestingActivities us-gaap true credit duration monetary The net cash outflow (inflow) from other investing activities. This element is used when there is not a more specific and... false false false false false false false false false 1 false false 0 0 false false 2 false false 0 0 false false 3 false true -53000000 -53 false false 4 false true 56000000 56 false false The net cash outflow (inflow) from other investing activities. This element is used when there is not a more specific and appropriate element in the taxonomy. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 95 -Paragraph 15 false 29 4 us-gaap_NetCashProvidedByUsedInInvestingActivities us-gaap true debit duration monetary The net cash inflow (outflow) from investing activity. false false false false false false false false false 1 false false 0 0 false false 2 false false 0 0 false false 3 false true 848000000 848 false false 4 false true -2831000000 -2831 false false The net cash inflow (outflow) from investing activity. 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Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 95 -Paragraph 18 Reference 2: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 95 -Paragraph 20 -Subparagraph a false 32 4 us-gaap_ProceedsFromIssuanceOrSaleOfEquity us-gaap true debit duration monetary The cash inflow from the issuance of common, preferred, and treasury stocks, stock options, and such forth. false false false false false false false false false 1 false false 0 0 false false 2 false false 0 0 false false 3 false true 31000000 31 false false 4 false true 116000000 116 false false The cash inflow from the issuance of common, preferred, and treasury stocks, stock options, and such forth. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 95 -Paragraph 18 Reference 2: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 95 -Paragraph 19 -Subparagraph a false 33 4 cat_PaymentForStockRepurchaseDerivativeContracts cat false na duration monetary The cashflow to acquire stock repurchase derivative contracts false false false false false false false false false 1 false false 0 0 false false 2 false false 0 0 false false 3 false true 0 0 false false 4 false true -38000000 -38 false false The cashflow to acquire stock repurchase derivative contracts No authoritative reference available. false 34 4 us-gaap_PaymentsForRepurchaseOfCommonStock us-gaap true credit duration monetary The cash outflow to reacquire common stock during the period. false false false false false false false false false 1 false false 0 0 false false 2 false false 0 0 false false 3 false true 0 0 false false 4 false true -1362000000 -1362 false false The cash outflow to reacquire common stock during the period. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 95 -Paragraph 18 Reference 2: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 95 -Paragraph 20 -Subparagraph a false 35 4 us-gaap_ExcessTaxBenefitFromShareBasedCompensationFinancingActivities us-gaap true debit duration monetary Reductions in the entity's income taxes that arise when compensation cost (from non-qualified share-based compensation)... false false false false false false false false false 1 false false 0 0 false false 2 false false 0 0 false false 3 false true 2000000 2 false false 4 false true 53000000 53 false false Reductions in the entity's income taxes that arise when compensation cost (from non-qualified share-based compensation) recognized on the entity's tax return exceeds compensation cost from share-based compensation recognized in financial statements. This element represents the cash inflow reported in the enterprise's financing activities. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 123R -Paragraph A240 -Subparagraph i Reference 2: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Emerging Issues Task Force (EITF) -Number 00-15 -Paragraph 3 false 36 4 us-gaap_PaymentsToMinorityShareholders us-gaap true credit duration monetary The cash outflow to return capital to noncontrolled interest, which generally occurs when noncontrolling shareholders reduce... false false false false false false false false false 1 false false 0 0 false false 2 false false 0 0 false false 3 false true -6000000 -6 false false 4 false true 0 0 false false The cash outflow to return capital to noncontrolled interest, which generally occurs when noncontrolling shareholders reduce their ownership stake (in a subsidiary of the entity). This element does not include dividends paid to noncontrolling shareholders. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 95 -Paragraph 18 Reference 2: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 95 -Paragraph 20 -Subparagraph a false 37 4 us-gaap_ProceedsFromIssuanceOfLongTermDebtAbstract us-gaap true na duration string No definition available. false false false false false true false false false 1 false false 0 0 false false 2 false false 0 0 false false 3 false false 0 0 false false 4 false false 0 0 false false No definition available. false 38 5 cat_MachineryAndEngines cat false na duration monetary The cash inflow from a borrowing having initial term of repayment of more than three months from Machinery and Engines lines... false false false false false false false false false 1 false false 0 0 false false 2 false false 0 0 false false 3 false true 872000000 872 false false 4 false true 110000000 110 false false The cash inflow from a borrowing having initial term of repayment of more than three months from Machinery and Engines lines of business. No authoritative reference available. false 39 5 cat_FinancialProducts cat false na duration monetary The cash inflow from a borrowing having initial term of repayment of more than three months from Financial Products line of... false false false false false false false false false 1 false false 0 0 false false 2 false false 0 0 false false 3 false true 8157000000 8157 false false 4 false true 9048000000 9048 false false The cash inflow from a borrowing having initial term of repayment of more than three months from Financial Products line of business. No authoritative reference available. false 40 4 us-gaap_RepaymentsOfLongTermDebtAbstract us-gaap true na duration string No definition available. false false false false false true false false false 1 false false 0 0 false false 2 false false 0 0 false false 3 false false 0 0 false false 4 false false 0 0 false false No definition available. false 41 5 cat_PaymentsMachineryAndEngines cat false na duration monetary The cash outflow from repayment of a borrowing having initial term of repayment of more than three months from Machinery and... false false false false false false false false false 1 false false 0 0 false false 2 false false 0 0 false false 3 false true -915000000 -915 false false 4 false true -133000000 -133 false false The cash outflow from repayment of a borrowing having initial term of repayment of more than three months from Machinery and Engines lines of business. No authoritative reference available. false 42 5 cat_PaymentsFinancialProdcuts cat false na duration monetary The cash outflow from repayment of a borrowing having initial term of repayment of more than three months from Financial... false false false false false false false false false 1 false false 0 0 false false 2 false false 0 0 false false 3 false true -6655000000 -6655 false false 4 false true -6397000000 -6397 false false The cash outflow from repayment of a borrowing having initial term of repayment of more than three months from Financial Products line of business. No authoritative reference available. false 43 4 us-gaap_ProceedsFromRepaymentsOfShortTermDebtMaturingInThreeMonthsOrLess us-gaap true debit duration monetary The cash inflow from a borrowing net of the cash outflow from repayment of a borrowing having initial term of repayment... false false false false false false false false false 1 false false 0 0 false false 2 false false 0 0 false false 3 false true -3365000000 -3365 false false 4 false true -393000000 -393 false false The cash inflow from a borrowing net of the cash outflow from repayment of a borrowing having initial term of repayment within three months. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 95 -Paragraph 18 false 44 4 us-gaap_NetCashProvidedByUsedInFinancingActivities us-gaap true debit duration monetary The net cash inflow (outflow) from financing activity for the period. false false false false false false false false false 1 false false 0 0 false false 2 false false 0 0 false false 3 false true -2384000000 -2384 false false 4 false true 560000000 560 false false The net cash inflow (outflow) from financing activity for the period. 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Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 95 -Paragraph 25 false 46 3 us-gaap_CashAndCashEquivalentsPeriodIncreaseDecrease us-gaap true na duration monetary The net change between the beginning and ending balance of cash and cash equivalents. false false false false false false false false false 1 false false 0 0 false false 2 false false 0 0 false false 3 false true 1255000000 1255 false false 4 false true -340000000 -340 false false The net change between the beginning and ending balance of cash and cash equivalents. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 95 -Paragraph 26 true 47 3 us-gaap_CashAndCashEquivalentsAtCarryingValue us-gaap true debit instant monetary Includes currency on hand as well as demand deposits with banks or financial institutions. It also includes other kinds of... false false false false false false true false false 1 false false 0 0 false false 2 false false 0 0 false false 3 false true 2736000000 2736 [1] false false 4 false true 1122000000 1122 [1] false false Includes currency on hand as well as demand deposits with banks or financial institutions. It also includes other kinds of accounts that have the general characteristics of demand deposits in that the Entity may deposit additional funds at any time and also effectively may withdraw funds at any time without prior notice or penalty. Cash equivalents, excluding items classified as marketable securities, include short-term, highly liquid investments that are both readily convertible to known amounts of cash, and so near their maturity that they present minimal risk of changes in value because of changes in interest rates. Generally, only investments with original maturities of three months or less qualify under that definition. Original maturity means original maturity to the entity holding the investment. For example, both a three-month US Treasury bill and a three-year Treasury note purchased three months from maturity qualify as cash equivalents. However, a Treasury note purchased th ree years ago does not become a cash equivalent when its remaining maturity is three months. Compensating balance arrangements that do not legally restrict the withdrawal or usage of cash amounts may be reported as Cash and Cash Equivalents, while legally restricted deposits held as compensating balances against borrowing arrangements, contracts entered into with others, or company statements of intention with regard to particular deposits should not be reported as cash and cash equivalents. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 95 -Paragraph 7, 26 Reference 2: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 95 -Paragraph 8, 9 Reference 3: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 95 -Paragraph 7 -Footnote 1 Reference 4: http://www.xbrl.org/2003/role/presentationRef -Publisher SEC -Name Regulation S-X (SX) -Number 210 -Section 02 -Paragraph 1 -Article 5 false 48 3 us-gaap_CashAndCashEquivalentsAtCarryingValue us-gaap true debit instant monetary Includes currency on hand as well as demand deposits with banks or financial institutions. It also includes other kinds of... false false false false false false false true false 1 true true 3991000000 3991 [1] false false 2 true true 782000000 782 [1] false false 3 true true 3991000000 3991 [1] false false 4 true true 782000000 782 [1] false false Includes currency on hand as well as demand deposits with banks or financial institutions. It also includes other kinds of accounts that have the general characteristics of demand deposits in that the Entity may deposit additional funds at any time and also effectively may withdraw funds at any time without prior notice or penalty. Cash equivalents, excluding items classified as marketable securities, include short-term, highly liquid investments that are both readily convertible to known amounts of cash, and so near their maturity that they present minimal risk of changes in value because of changes in interest rates. Generally, only investments with original maturities of three months or less qualify under that definition. Original maturity means original maturity to the entity holding the investment. For example, both a three-month US Treasury bill and a three-year Treasury note purchased three months from maturity qualify as cash equivalents. However, a Treasury note purchased th ree years ago does not become a cash equivalent when its remaining maturity is three months. Compensating balance arrangements that do not legally restrict the withdrawal or usage of cash amounts may be reported as Cash and Cash Equivalents, while legally restricted deposits held as compensating balances against borrowing arrangements, contracts entered into with others, or company statements of intention with regard to particular deposits should not be reported as cash and cash equivalents. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 95 -Paragraph 7, 26 Reference 2: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 95 -Paragraph 8, 9 Reference 3: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 95 -Paragraph 7 -Footnote 1 Reference 4: http://www.xbrl.org/2003/role/presentationRef -Publisher SEC -Name Regulation S-X (SX) -Number 210 -Section 02 -Paragraph 1 -Article 5 false 1 All short-term investments, which consist primarily of highly liquid investments with original maturities of three months or less, are considered to be cash equivalents. false 4 44 false Millions UnKnown UnKnown false true XML 26 R23.xml IDEA: Document Information 1.0.0.3 false Document Information false 1 $ false false u000 Standard http://www.xbrl.org/2003/iso4217 USD iso4217 0 u001 Standard http://www.xbrl.org/2003/instance shares xbrli 0 u002 Divide http://www.xbrl.org/2003/iso4217 USD iso4217 http://www.xbrl.org/2003/instance shares xbrli 0 2 0 dei_DocumentInformationLineItems dei false na duration string No definition available. false false false false false true false false false 1 false false 0 0 false false No definition available. false 3 1 dei_DocumentType dei false na duration na No definition available. false false false false false false false false false 1 false false 0 0 10-Q 10-Q false false No definition available. 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Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 129 -Paragraph 4 Reference 2: http://www.xbrl.org/2003/role/presentationRef -Publisher SEC -Name Regulation S-X (SX) -Number 210 -Section 02 -Paragraph 30 -Article 5 Amount due from customers or clients, more than one year from the balance sheet date, for goods or services that have been delivered or sold in the normal course of business, reduced to the estimated net realizable fair value by an allowance established by the entity of the amount it deems uncertain of collection. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher SEC -Name Regulation S-X (SX) -Number 210 -Section 02 -Paragraph 3 -Article 5 No authoritative reference available. No authoritative reference available. The cumulative amount of the reporting entity's undistributed earnings or deficit. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher AICPA -Name Accounting Principles Board Opinion (APB) -Number 12 -Paragraph 10 Reference 2: http://www.xbrl.org/2003/role/presentationRef -Publisher SEC -Name Regulation S-X (SX) -Number 210 -Section 02 -Paragraph 31 -Article 5 Reference 3: http://www.xbrl.org/2003/role/presentationRef -Publisher SEC -Name Regulation S-X (SX) -Number 210 -Section 04 -Article 3 The cash inflow from a borrowing having initial term of repayment of more than three months from Financial Products line of business. No authoritative reference available. The net change during the reporting period in other operating assets not otherwise defined in the taxonomy. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 95 -Paragraph 28 The net change during the reporting period in the aggregate amount of obligations and expenses incurred but not paid. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 95 -Paragraph 28 The cash inflow associated with the sale of debt and equity securities classified as available-for-sale securities. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 95 -Paragraph 16 -Subparagraph a Reference 2: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 115 -Paragraph 18 Reference 3: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 95 -Paragraph 15 Reference 4: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 95 -Paragraph 16 -Subparagraph b Aggregate carrying amount, as of the balance sheet date, of noncurrent obligations not separately disclosed in the balance sheet due to materiality considerations. Noncurrent liabilities are expected to be paid after one year (or the normal operating cycle, if longer). Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher SEC -Name Regulation S-X (SX) -Number 210 -Section 02 -Paragraph 24 -Article 5 The current portion, due within one year or one operating cycle, if longer, of aggregate prepayments received from customers for goods or services to be provided in the future, as well as the current portion of money or property received from customers that are to be returned upon satisfactory contract completion or as partial prepayment for goods or services to be provided in the future. No authoritative reference available. Total of all Liabilities and Stockholders' Equity items. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher SEC -Name Regulation S-X (SX) -Number 210 -Section 02 -Paragraph 32 -Article 5 Reference 2: http://www.xbrl.org/2003/role/presentationRef -Publisher SEC -Name Regulation S-X (SX) -Number 210 -Section 03 -Paragraph 25 -Article 7 No authoritative reference available. No authoritative reference available. The net cash inflow (outflow) from financing activity for the period. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 95 -Paragraph 26 The cash inflow from a borrowing net of the cash outflow from repayment of a borrowing having initial term of repayment within three months. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 95 -Paragraph 18 Total investments in (A) an entity in which the entity has significant influence, but does not have control, (B) subsidiaries that are not required to be consolidated and are accounted for using the equity and or cost method, and (C) an entity in which the reporting entity shares control of the entity with another party or group. Includes long-term advances receivable form a party that is affiliated with the reporting entity by means of direct or indirect ownership. No authoritative reference available. Total of Stockholders' Equity (deficit) items, net of receivables from officers, directors owners, and affiliates of the entity including portions attributable to both the parent and noncontrolling interests (previously referred to as minority interest), if any. The entity including portions attributable to the parent and noncontrolling interests is sometimes referred to as the economic entity. This excludes temporary equity and is sometimes called permanent equity. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher AICPA -Name Accounting Research Bulletin (ARB) -Number 51 -Paragraph 25 Reference 2: http://www.xbrl.org/2003/role/presentationRef -Publisher AICPA -Name Accounting Research Bulletin (ARB) -Number 51 -Paragraph 26 Reference 3: http://www.xbrl.org/2003/role/presentationRef -Publisher AICPA -Name Accounting Research Bulletin (ARB) -Number 51 -Paragraph A3 -Appendix A Impact of Cat Japan share redemption on stockholders' equity No authoritative reference available. Tangible assets that are held by an entity for use in the production or supply of goods and services, for rental to others, or for administrative purposes and that are expected to provide economic benefit for more than one year; net of accumulated depreciation. Examples include land, buildings, and production equipment. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher SEC -Name Regulation S-X (SX) -Number 210 -Section 02 -Paragraph 13 -Subparagraph a -Article 5 Reference 2: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 12 -Paragraph 5 -Subparagraph b, c Reference 3: http://www.xbrl.org/2003/role/presentationRef -Publisher SEC -Name Regulation S-X (SX) -Number 210 -Section 03 -Paragraph 8 -Article 7 Carrying value as of the balance sheet date of dividends declared but unpaid on equity securities issued by the entity and outstanding. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher SEC -Name Regulation S-X (SX) -Number 210 -Section 03 -Paragraph 15 -Subparagraph 5 -Article 9 Reference 2: http://www.xbrl.org/2003/role/presentationRef -Publisher SEC -Name Regulation S-X (SX) -Number 210 -Section 03 -Paragraph 15 -Subparagraph a -Article 7 Adjustment that results from the process of translating subsidiary financial statements and foreign equity investments into functional currency of the reporting entity, net of tax. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 52 -Paragraph 13, 20, 31 Reference 2: http://www.xbrl.org/2003/role/presentationRef -Publisher AICPA -Name Accounting Research Bulletin (ARB) -Number 51 -Paragraph 38 -Subparagraph c(3) Reference 3: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 130 -Paragraph 24 -Subparagraph b Reference 4: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 130 -Paragraph 14, 17, 19, 26 Total costs related to goods produced and sold during the reporting period. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher SEC -Name Regulation S-X (SX) -Number 210 -Section 03 -Paragraph 2 -Article 5 The cost of benefit improvement resulting from a plan amendment that occurred during the period, after tax. The cost has not been recognized in net periodic benefit cost pursuant to FAS 87 and 106. A plan amendment includes provisions that grant increased benefits based on services rendered in prior periods. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 130 -Paragraph 17, 19, 24 Reference 2: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 158 -Paragraph 4 -Subparagraph c, d Reference 3: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 132R -Paragraph 5 -Subparagraph i Reference 4: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 106 -Paragraph 52 Reference 5: http://www.xbrl.org/2003/role/presentationRef -Publisher AICPA -Name Accounting Research Bulletin (ARB) -Number 51 -Paragraph 38 -Subparagraph c(3) Reference 6: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 158 -Paragraph 7 -Subparagraph a Reference 7: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 87 -Paragraph 25 Total obligations incurred as part of normal operations that are expected to be paid during the following twelve months or within one business cycle, if longer. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher SEC -Name Regulation S-X (SX) -Number 210 -Section 02 -Paragraph 21 -Article 5 No authoritative reference available. No authoritative reference available. Aggregate carrying amount, as of the balance sheet date, of current obligations not separately disclosed in the balance sheet due to materiality considerations. Current liabilities are expected to be paid within one year (or the normal operating cycle, if longer). Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher SEC -Name Regulation S-X (SX) -Number 210 -Section 02 -Paragraph 20 -Article 5 Reference 2: http://www.xbrl.org/2003/role/presentationRef -Publisher AICPA -Name Accounting Research Bulletin (ARB) -Number 43 -Chapter 3 -Section A -Paragraph 8 Reference 3: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 6 -Paragraph 15 The carrying amounts as of the balance sheet date of long-term debt, which may include notes payable, bonds payable, debentures, mortgage loans, and commercial paper, which are scheduled to be repaid within one year or the normal operating cycle, if longer from Financial Products line of business No authoritative reference available. Net of tax effect of the reclassification adjustment for accumulated gains and losses from derivative instrument designated and qualifying as the effective portion of cash flow hedges included in accumulated comprehensive income that was realized in net income during the period. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 130 -Paragraph 18, 19 Reference 2: http://www.xbrl.org/2003/role/presentationRef -Publisher AICPA -Name Accounting Research Bulletin (ARB) -Number 51 -Paragraph 38 -Subparagraph c(3) Reference 3: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 130 -Paragraph 24 -Subparagraph b Reference 4: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 133 -Paragraph 31, 46 For a new accounting pronouncement that has been issued but not yet adopted, an entity's disclosure should (1) describe the new pronouncement, the date that adoption is required and the date that the entity plans to adopt, if earlier; (2) discuss the methods of adoption allowed by the pronouncement and the method expected to be utilized by the entity, if determined; (3) discuss the impact that adoption of the pronouncement is expected to have on the financial statements of the entity, unless such impact is not known or reasonably estimable (in which case, a statement to that effect should be made) and; (4) disclose the potential impact of other significant matters that the entity believes might result from the adoption of the pronouncement (for example, technical violations of debt covenant agreements and planned or intended changes in business practices.) Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher SEC -Name Staff Accounting Bulletin (SAB) -Number Topic 11 -Section M Number of common and preferred shares that were previously issued and that were repurchased by the issuing entity and held in treasury on the financial statement date. This stock has no voting rights and receives no dividends. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher SEC -Name Regulation S-X (SX) -Number 210 -Section 02 -Paragraph 29, 30 -Article 5 The cash inflow associated with the collection of receivables arising from the financing of goods and services. No authoritative reference available. No authoritative reference available. No authoritative reference available. The aggregate financial services revenue and operating interest income earned during the reporting period. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher SEC -Name Regulation S-X (SX) -Number 210 -Section 03 -Paragraph 1 -Article 5 Change in stockholders' equity due to stock repurchase derivative contract No authoritative reference available. The adjustment out of other comprehensive income for prior service costs recognized as a component of net period benefit cost during the period, after tax. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 158 -Paragraph 4 -Subparagraph c, d Reference 2: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 106 -Paragraph 52 Reference 3: http://www.xbrl.org/2003/role/presentationRef -Publisher AICPA -Name Accounting Research Bulletin (ARB) -Number 51 -Paragraph 38 -Subparagraph c(3) Reference 4: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 158 -Paragraph 7 -Subparagraph a Reference 5: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 130 -Paragraph 17, 19, 24 The cash inflow associated with the sale of receivables arising from the financing of goods and services. No authoritative reference available. Sum of operating profit and nonoperating income (expense) before income (loss) from equity method investments, income taxes, extraordinary items, cumulative effects of changes in accounting principles, and noncontrolling interest. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher SEC -Name Regulation S-X (SX) -Number 210 -Section 08 -Paragraph h -Subparagraph 1(i) -Article 4 No authoritative reference available. No authoritative reference available. The portion of consolidated profit or loss for the period, net of income taxes, which is attributable to the parent. If the entity does not present consolidated financial statements, the amount of profit or loss for the period, net of income taxes. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher SEC -Name Regulation S-X (SX) -Number 210 -Section 03 -Paragraph 19 -Article 5 Reference 2: http://www.xbrl.org/2003/role/presentationRef -Publisher AICPA -Name Accounting Research Bulletin (ARB) -Number 51 -Paragraph 38 -Subparagraph d Reference 3: http://www.xbrl.org/2003/role/presentationRef -Publisher AICPA -Name Accounting Research Bulletin (ARB) -Number 51 -Paragraph A7 -Appendix A Reference 4: http://www.xbrl.org/2003/role/presentationRef -Publisher AICPA -Name Accounting Research Bulletin (ARB) -Number 51 -Paragraph 38 -Subparagraph a Reference 5: http://www.xbrl.org/2003/role/presentationRef -Publisher SEC -Name Regulation S-X (SX) -Number 210 -Section 04 -Paragraph 20 -Article 9 Reference 6: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 130 -Paragraph 10, 15 Reference 7: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Emerging Issues Task Force (EITF) -Number 87-21 Reference 8: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 95 -Paragraph 28, 29, 30 Text disclosure on redeemable non-controlling interest, which is part of temporary equity No authoritative reference available. Cash includes currency on hand as well as demand deposits with banks or financial institutions. It also includes other kinds of accounts that have the general characteristics of demand deposits in that the customer may deposit additional funds at any time and also effectively may withdraw funds at any time without prior notice or penalty. Cash equivalents, excluding items classified as marketable securities, include Short-Term, highly liquid Investments that are both readily convertible to known amounts of cash, and so near their maturity that they present minimal risk of changes in value because of changes in interest rates. Generally, only investments with original maturities of three months or less qualify under that definition. Original maturity means original maturity to the entity holding the investment. For example, both a three-month US Treasury bill and a three-year Treasury note purchased three months from maturity qualify as cash equivalents. However, a Treasury note purchased thre e years ago does not become a cash equivalent when its remaining maturity is three months. Short-term investments, exclusive of cash equivalents, are marketable securities intended to be sold within one year (or the normal operating cycle if longer) and include trading securities, available-for-sale securities, and held-to-maturity securities (if maturing within one year). Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher SEC -Name Regulation S-X (SX) -Number 210 -Section 02 -Paragraph 1 -Article 5 Reference 2: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 95 -Paragraph 7, 8, 9, 10 This item represents certain of the disclosures concerning the fair value of financial instruments (as defined), including financial assets and financial liabilities (collectively, as defined), and the measurements of those instruments, assets, and liabilities. Such certain disclosures about the financial instruments, assets, and liabilities include: (1) the fair value of the required items together with their carrying amounts (as appropriate) and (2) the methodology and assumptions used in developing such estimates of fair value. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 157 -Paragraph 32 -Subparagraph a, c(1), c(2), c(3), d Reference 2: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 159 -Paragraph 18 -Subparagraph c(2), d, e, f Reference 3: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 107 -Paragraph 10 Reference 4: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 159 -Paragraph 19 -Subparagraph a, b, c(1), d(1) Reference 5: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 107 -Paragraph 14 -Subparagraph a Reference 6: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 107 -Paragraph 15 -Subparagraph b-d Description of the basis of accounting used to prepare the financial statements (for example, U.S. Generally Accepted Accounting Principles, Other Comprehensive Basis of Accounting, IFRS). No authoritative reference available. Vaue of common stock issued from treasury stock for benefit plans No authoritative reference available. Interest expense incurred on trading liabilities, commercial paper, long-term debt, capital leases, deposits, and all other borrowings excluding those from Financial Products line of business No authoritative reference available. Net of tax effect of the reclassification adjustment for accumulated gains and losses from retained interests included in accumulated comprehensive income that was realized in net income during the period. No authoritative reference available. This element may be used to capture the complete disclosure of reporting segments including data and tables. Reportable segments include those that meet any of the following quantitative thresholds a) it's reported revenue, including sales to external customers and intersegment sales or transfers is 10% or more of the combined revenue, internal and external, of all operating segments b) the absolute amount of its reported profit or loss is 10 percent or more of the greater, in absolute amount of 1) the combined reported profit of all operating segments that did not report a loss or 2) the combined reported loss of all operating segments that did report a loss c) its assets are 10 percent or more of the combined assets of all operating segments. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 131 Discloses the aggregate amount of goodwill and a description of intangible assets, which may include (a) for amortizable intangible assets (also referred to as finite-lived intangible assets), the carrying amount, the amount of any significant residual value, and the weighted-average amortization period, (b) for intangible assets not subject to amortization (also referred to as indefinite-lived intangible assets), the carrying amount, and (c) the amount of research and development assets acquired and written off in the period, including the line item in the income statement in which the amounts written off are aggregated, if not readily apparent from the income statement. Also discloses (a) for amortizable intangibles assets in total and by major class, the gross carrying amount and accumulated amortization, the total amortization expense for the period, and the estimated aggregate amortization expense for each of the five succeeding fiscal years, (b) for intangible assets not subject to amor tization the carrying amount in total and by major class, and (c) for goodwill, in total and for each reportable segment, the changes in the carrying amount of goodwill during the period (including the aggregate amount of goodwill acquired, the aggregate amount of impairment losses recognized, and the amount of goodwill included in the gain or loss on disposal of a reporting unit). If any part of goodwill has not been allocated to a reportable segment, discloses the unallocated amount and the reasons for not allocating. For each impairment loss recognized related to an intangible asset (excluding goodwill), discloses: (a) a description of the impaired intangible asset and the facts and circumstances leading to the impairment, (b) the amount of the impairment loss and the method for determining fair value, (c) the caption in the income statement or the statement of activities in which the impairment loss is aggregated, and (d) the segment in which the impaired intangible asset is reported. For each goodwill i mpairment loss recognized, discloses: (a) a description of the facts and circumstances leading to the impairment, (b) the amount of the impairment loss and the method of determining the fair value of the associated reporting unit, and (c) if a recognized impairment loss is an estimate not finalized and the reasons why the estimate is not final. May also disclose the nature and amount of any significant adjustments made to a previous estimate of an impairment loss. This element may be used as a single block of text to include the entire intangible asset disclosure including data and tables. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 142 -Paragraph 42, 43, 44, 45, 46, 47 Value of common and preferred shares of an entity that were issued, repurchased by the entity, and are held in its treasury. Treasury stock is issued but is not outstanding. This stock has no voting rights and receives no dividends. Note that treasury stock may be recorded at its total cost or separately as par (or stated) value and additional paid in capital. Note: number of treasury shares concept is in another section within stockholders' equity. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name FASB Technical Bulletin (FTB) -Number 85-6 -Paragraph 3 The net change during the reporting period in the aggregate value of all inventory held by the reporting entity, associated with underlying transactions that are classified as operating activities. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 95 -Paragraph 28 No authoritative reference available. No authoritative reference available. No authoritative reference available. No authoritative reference available. Describes an entity's accounting policy for transfers and servicing financial assets, including securitization transactions as well as repurchase and resale agreements. This disclosure may include how the entity (1) determines whether a transaction should be accounted for as a sale; (2) accounts for a sale transaction, including the initial and subsequent accounting for any interests that the entity obtains or continues to hold in the transaction, how such interests are valued, and the significant assumptions used in the valuation; (3) accounts for a transaction that does not qualify for sale treatment (that is, a financing); and (4) accounts for its servicing assets and liabilities ("servicing"), including how such servicing is measured initially and subsequently, and the methodology and significant assumptions used to value such servicing. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 140 -Paragraph 9-15, 17 Reference 2: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name FASB Interpretation (FIN) -Number 41 -Paragraph 3 -Subparagraph a, b, c Reference 3: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name FASB Staff Position (FSP) -Number FAS140-4 and FIN46(R)-8 -Paragraph B6-B12 Reference 4: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 140 -Paragraph 17 -Subparagraph e, f The carrying amounts as of the balance sheet date of long-term debt, which may include notes payable, bonds payable, debentures, mortgage loans, and commercial paper, which are scheduled to be repaid within one year or the normal operating cycle, if longer from Machinery and Engines lines of business No authoritative reference available. Accumulated change in equity from transactions and other events and circumstances from non-owner sources, net of tax effect, at fiscal year-end. Excludes Net Income (Loss), and accumulated changes in equity from transactions resulting from investments by owners and distributions to owners. Includes foreign currency translation items, certain pension adjustments, and unrealized gains and losses on certain investments in debt and equity securities as well as changes in the fair value of derivatives related to the effective portion of a designated cash flow hedge. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher SEC -Name Regulation S-X (SX) -Number 210 -Section 04 -Article 3 Reference 2: http://www.xbrl.org/2003/role/presentationRef -Publisher AICPA -Name Accounting Principles Board Opinion (APB) -Number 12 -Paragraph 10 Reference 3: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 130 -Paragraph 14, 17, 26 Reference 4: http://www.xbrl.org/2003/role/presentationRef -Publisher SEC -Name Regulation S-X (SX) -Number 210 -Section 02 -Paragraph 31 -Article 5 The cash inflow from the sale of long-lived, physical assets that are used in the normal conduct of business to produce goods and services and not intended for resale. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 95 -Paragraph 15 Reference 2: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 95 -Paragraph 16 -Subparagraph c Sum of the carrying amounts of all intangible assets, excluding goodwill, as of the balance sheet date, net of accumulated amortization and impairment charges. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 142 -Paragraph 42, 45 Includes currency on hand as well as demand deposits with banks or financial institutions. It also includes other kinds of accounts that have the general characteristics of demand deposits in that the Entity may deposit additional funds at any time and also effectively may withdraw funds at any time without prior notice or penalty. Cash equivalents, excluding items classified as marketable securities, include short-term, highly liquid investments that are both readily convertible to known amounts of cash, and so near their maturity that they present minimal risk of changes in value because of changes in interest rates. Generally, only investments with original maturities of three months or less qualify under that definition. Original maturity means original maturity to the entity holding the investment. For example, both a three-month US Treasury bill and a three-year Treasury note purchased three months from maturity qualify as cash equivalents. However, a Treasury note purchased three years ago does not become a cash equivalent when its remaining maturity is three months. Compensating balance arrangements that do not legally restrict the withdrawal or usage of cash amounts may be reported as Cash and Cash Equivalents, while legally restricted deposits held as compensating balances against borrowing arrangements, contracts entered into with others, or company statements of intention with regard to particular deposits should not be reported as cash and cash equivalents. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 95 -Paragraph 7, 26 Reference 2: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 95 -Paragraph 8, 9 Reference 3: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 95 -Paragraph 7 -Footnote 1 Reference 4: http://www.xbrl.org/2003/role/presentationRef -Publisher SEC -Name Regulation S-X (SX) -Number 210 -Section 02 -Paragraph 1 -Article 5 No authoritative reference available. No authoritative reference available. Amounts due from customers, clients, lessees, borrowers, or others within one year of the balance sheet date (or the normal operating cycle, whichever is longer) under the terms of its agreements therewith. Such amount may include accrued interest receivable in accordance with the terms of the agreements. The agreements also may contain provisions and related items including a discount or premium, payable on demand, secured, or unsecured, interest bearing or noninterest bearing, among myriad other features and characteristics No authoritative reference available. Total number of common shares of an entity that have been sold or granted to shareholders (includes common shares that were issued, repurchased and remain in the treasury). These shares represent capital invested by the firm's shareholders and owners, and may be all or only a portion of the number of shares authorized. Shares issued include shares outstanding and shares held in the treasury. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher SEC -Name Regulation S-X (SX) -Number 210 -Section 02 -Paragraph 30 -Article 5 The cash outflow for the purchase of amounts due from customers, clients, lessees, borrowers, or others under the terms of its agreements therewith. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 95 -Paragraph 15 Reference 2: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 95 -Paragraph 17 -Subparagraph a This element may be used to capture the complete disclosure pertaining to an entity's earnings per share. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 128 -Paragraph 40 Total revenue from sale of goods and services rendered during the reporting period, in the normal course of business, reduced by sales returns and allowances, and sales discounts. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher SEC -Name Regulation S-X (SX) -Number 210 -Section 03 -Paragraph 1 -Article 5 Number of [basic] shares, after adjustment for contingently issuable shares and other shares not deemed outstanding, determined by relating the portion of time within a reporting period that common shares have been outstanding to the total time in that period. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 128 -Paragraph 171 Reference 2: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 128 -Paragraph 40 -Subparagraph a Reference 3: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 128 -Paragraph 8 The amount of net income or loss for the period per each share of common stock outstanding during the reporting period. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher SEC -Name Regulation S-X (SX) -Number 210 -Section 04 -Paragraph 21 -Article 9 Reference 2: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 128 -Paragraph 36, 37, 38 Reference 3: http://www.xbrl.org/2003/role/presentationRef -Publisher SEC -Name Regulation S-X (SX) -Number 210 -Section 03 -Paragraph 20 -Article 5 Reference 4: http://www.xbrl.org/2003/role/presentationRef -Publisher SEC -Name Regulation S-X (SX) -Number 210 -Section 04 -Paragraph 18 -Article 7 Generally recurring costs associated with normal operations except for the portion of these expenses which can be clearly related to production and included in cost of sales or services. Includes selling, general and administrative expense. No authoritative reference available. Include the following two items: 1)Carrying amount as of the balance sheet date of expenditures made, in advance of the timing of recognition of expenses which are expected to be charged against earnings within one year or the normal operating cycle, if longer. 2) Aggregate carrying amount, as of the balance sheet date, of current assets not separately disclosed in the balance sheet due to materiality considerations. Current assets are expected to be realized or consumed within one year (or the normal operating cycle, if longer). No authoritative reference available. Sum of the carrying amounts as of the balance sheet date of all liabilities that are recognized. Liabilities are probable future sacrifices of economic benefits arising from present obligations of an entity to transfer assets or provide services to other entities in the future. No authoritative reference available. This item represents disclosure of information related to equity method investments in common stock. The information which should be considered for disclosure includes: (a) the name of each investee or group of investments for which combined disclosure is appropriate, (2) the percentage ownership of common stock, (3) the difference, if any, between the carrying amount of an investment and the value of the underlying equity in the net assets and the accounting treatment of difference, if any, and (4) the aggregate value of each identified investment based on its quoted market price, if available. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher AICPA -Name Accounting Principles Board Opinion (APB) -Number 18 -Paragraph 20 -Subparagraph a, b This element represents the income or loss from continuing operations attributable to the economic entity which may also be defined as revenue less expenses and taxes from ongoing operations before extraordinary items, cumulative effects of changes in accounting principles, and noncontrolling interest. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 95 -Paragraph 28 Reference 2: http://www.xbrl.org/2003/role/presentationRef -Publisher AICPA -Name Accounting Research Bulletin (ARB) -Number 51 -Paragraph 29 Value of common stock issued including both the par value and value in excess of par No authoritative reference available. Include the following two disclosures: 1) Pertinent information about each guarantee obligation, or each group of similar guarantee obligations, including (a) the nature of the guarantee, including its term, how it arose, and the events or circumstances that would require the guarantor to perform under the guarantee; (b) the maximum potential amount of future payments (undiscounted) the guarantor could be required to make under the guarantee; (c) the current carrying amount of the liability, if any, for the guarantor's obligations under the guarantee; and (d) the nature of any recourse provisions under the guarantee, and any assets held either as collateral or by third parties, and any relevant related party disclosure. Excludes disclosures about product warranties. 2) Standard and extended product warranties and other product guarantee contracts, including a tabular reconciliation of the changes in the guarantor's aggregate product warranty liability for the reporting period. No authoritative reference available. The cashflow to acquire stock repurchase derivative contracts No authoritative reference available. Aggregate revenue recognized during the period (derived from goods sold, services rendered, insurance premiums, or other activities that constitute an entity's earning process). For financial services companies, also includes investment and interest income, and sales and trading gains. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher SEC -Name Regulation S-X (SX) -Number 210 -Section 03 -Paragraph 1 -Article 5 Description of restructuring activities including exit and disposal activities, which should include facts and circumstances leading to the plan, the expected plan completion date, the major types of costs associated with the plan activities, total expected costs, the accrual balance at the end of the period, and the periods over which the remaining accrual will be settled. This description does not include restructuring costs in connection with a business combination or discontinued operations and long-lived assets (disposal groups) sold or classified as held for sale. This element may be used as a single block of text to encapsulate the entire disclosure including data and tables. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 146 -Paragraph 20 Reference 2: http://www.xbrl.org/2003/role/presentationRef -Publisher SEC -Name Staff Accounting Bulletin (SAB) -Number Topic 5 -Section P -Subsection 3, 4 The net change during the reporting period in the amount of prepayments by customers for goods or services to be provided at a later date. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 95 -Paragraph 28 The sum of the current income tax expense (benefit) and the deferred income tax expense (benefit) pertaining to continuing operations. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher SEC -Name Regulation S-X (SX) -Number 210 -Section 08 -Paragraph h -Article 4 Reference 2: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 109 -Paragraph 45 -Subparagraph a, b The net change during the reporting period in other operating obligations not otherwise defined in the taxonomy. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 95 -Paragraph 28 carrying values as of the balance sheet date of all long-term debt, which is debt initially having maturities due after one year or beyond the operating cycle, if longer, but excluding the portions thereof scheduled to be repaid within one year or the normal operating cycle, if longer from Financial Products line of business. No authoritative reference available. Value of stock issued during the period as a result of any share-based compensation plan other than an employee stock ownership plan (ESOP). Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher SEC -Name Regulation S-X (SX) -Number 210 -Section 02 -Paragraph 29, 30, 31 -Article 5 Reference 2: http://www.xbrl.org/2003/role/presentationRef -Publisher AICPA -Name Accounting Principles Board Opinion (APB) -Number 12 -Paragraph 10 Reference 3: http://www.xbrl.org/2003/role/presentationRef -Publisher SEC -Name Regulation S-X (SX) -Number 210 -Section 04 -Article 3 Reference 4: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 123R -Paragraph 64 Reductions in the entity's income taxes that arise when compensation cost (from non-qualified share-based compensation) recognized on the entity's tax return exceeds compensation cost from share-based compensation recognized in financial statements. This element represents the cash inflow reported in the enterprise's financing activities. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 123R -Paragraph A240 -Subparagraph i Reference 2: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Emerging Issues Task Force (EITF) -Number 00-15 -Paragraph 3 Aggregate dividends declared during the period for each share of common stock outstanding. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher SEC -Name Regulation S-X (SX) -Number 210 -Section 04 -Article 3 This item represents the entity's proportionate share for the period of the net income (loss) of its investee (such as unconsolidated subsidiaries and joint ventures) to which the equity method of accounting is applied. Such amount typically reflects adjustments similar to those made in preparing consolidated statements, including adjustments to eliminate intercompany gains and losses, and to amortize, if appropriate, any difference between cost and underlying equity in net assets of the investee at the date of investment. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher AICPA -Name Accounting Principles Board Opinion (APB) -Number 18 -Paragraph 19 -Subparagraph c Reference 2: http://www.xbrl.org/2003/role/presentationRef -Publisher SEC -Name Regulation S-X (SX) -Number 210 -Section 04 -Paragraph 11 -Article 7 Reference 3: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 95 -Paragraph 28 Reference 4: http://www.xbrl.org/2003/role/presentationRef -Publisher SEC -Name Regulation S-X (SX) -Number 210 -Section 03 -Paragraph 9 -Article 5 Reference 5: http://www.xbrl.org/2003/role/presentationRef -Publisher AICPA -Name Accounting Principles Board Opinion (APB) -Number 18 -Paragraph 6 -Subparagraph b The net cash from (used in) all of the entity's operating activities, including those of discontinued operations, of the reporting entity. Operating activities generally involve producing and delivering goods and providing services. Operating activity cash flows include transactions, adjustments, and changes in value that are not defined as investing or financing activities. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 95 -Paragraph 28 Reference 2: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 95 -Paragraph 26 The total amount of other operating cost and expense items that are associated with the entity's normal revenue producing operation. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher SEC -Name Regulation S-X (SX) -Number 210 -Section 03 -Paragraph 3 -Article 5 Appreciation or loss in value (before reclassification adjustment) of the total of unsold securities during the period being reported on, net of tax. Reclassification adjustments include: (1) the unrealized holding gain or loss, net of tax, at the date of the transfer for a debt security from the held-to-maturity category transferred into the available-for-sale category. Also includes the unrealized gain or loss at the date of transfer for a debt security from the available-for-sale category transferred into the held-to-maturity category; (2) the unrealized gains or losses realized upon the sale of securities, after tax; and (3) the unrealized gains or losses realized upon the write-down of securities, after tax. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 130 -Paragraph 17, 22 Reference 2: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 115 -Paragraph 13 Reference 3: http://www.xbrl.org/2003/role/presentationRef -Publisher AICPA -Name Accounting Research Bulletin (ARB) -Number 51 -Paragraph 38 -Subparagraph c(3) Reference 4: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 130 -Paragraph 24 -Subparagraph b The accumulated change in the value of either the projected benefit obligation or the plans assets resulting from experience different from that assumed or from a change in an actuarial assumption that has not been recognized in net periodic benefit cost pursuant to FAS 87 and 106, after tax. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 158 -Paragraph 4 -Subparagraph c, d Reference 2: http://www.xbrl.org/2003/role/presentationRef -Publisher AICPA -Name Accounting Research Bulletin (ARB) -Number 51 -Paragraph 38 -Subparagraph c(3) Reference 3: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 158 -Paragraph 7 -Subparagraph a Reference 4: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 130 -Paragraph 17, 19, 24 Carrying value as of the balance sheet date of liabilities incurred (and for which invoices have typically been received) and payable to vendors for goods and services received that are used in an entity's business. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher SEC -Name Regulation S-X (SX) -Number 210 -Section 03 -Paragraph 15 -Subparagraph 5 -Article 9 Reference 2: http://www.xbrl.org/2003/role/presentationRef -Publisher SEC -Name Regulation S-X (SX) -Number 210 -Section 03 -Paragraph 15 -Subparagraph a -Article 7 The cash inflow from the issuance of common, preferred, and treasury stocks, stock options, and such forth. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 95 -Paragraph 18 Reference 2: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 95 -Paragraph 19 -Subparagraph a Carrying value as of the balance sheet date of obligations incurred and payable, pertaining to costs that are statutory in nature, are incurred on contractual obligations, or accumulate over time and for which invoices have not yet been received or will not be rendered. Examples include taxes, interest, rent and utilities. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher SEC -Name Regulation S-X (SX) -Number 210 -Section 03 -Paragraph 15 -Subparagraph 5 -Article 9 Reference 2: http://www.xbrl.org/2003/role/presentationRef -Publisher SEC -Name Regulation S-X (SX) -Number 210 -Section 03 -Paragraph 15 -Subparagraph a -Article 7 The cash outflow from repayment of a borrowing having initial term of repayment of more than three months from Machinery and Engines lines of business. No authoritative reference available. The adjustment out of other comprehensive income for the net transition asset or obligation recognized as a component of net periodic benefit cost during the period, after tax. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher AICPA -Name Accounting Research Bulletin (ARB) -Number 51 -Paragraph 38 -Subparagraph c(3) Reference 2: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 158 -Paragraph 7 -Subparagraph a Reference 3: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 158 -Paragraph 4 -Subparagraph c, d The cash outflow for purchases on long lived, depreciable tangible personal property, nonconsumable in nature, with finite lives used to generate rental income. No authoritative reference available. carrying values as of the balance sheet date of all long-term debt, which is debt initially having maturities due after one year or beyond the operating cycle, if longer, but excluding the portions thereof scheduled to be repaid within one year or the normal operating cycle, if longer from Machinery and Engines lines of business. No authoritative reference available. The aggregate costs incurred (1) in a planned search or critical investigation aimed at discovery of new knowledge with the hope that such knowledge will be useful in developing a new product or service, a new process or technique, or in bringing about a significant improvement to an existing product or process; or (2) to translate research findings or other knowledge into a plan or design for a new product or process or for a significant improvement to an existing product or process whether intended for sale or the entity's use, during the reporting period charged to research and development projects, including the costs of developing computer software up to the point in time of achieving technological feasibility, and costs allocated in accounting for a business combination to in-process projects deemed to have no alternative future use. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 141 -Paragraph 51 -Subparagraph g Reference 2: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 2 -Paragraph 12, 13 Reference 3: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 86 -Paragraph 11, 12 The net change between the beginning and ending balance of cash and cash equivalents. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 95 -Paragraph 26 Total of all Stockholders' Equity (deficit) items, net of receivables from officers, directors owners, and affiliates of the entity which is directly or indirectly attributable to that ownership interest in subsidiary equity which is not attributable to the parent (noncontrolling interest, minority interest). Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher SEC -Name Regulation S-X (SX) -Number 210 -Section 02 -Paragraph 27 -Article 5 Reference 2: http://www.xbrl.org/2003/role/presentationRef -Publisher SEC -Name Regulation S-X (SX) -Number 210 -Section 03 -Paragraph 20 -Article 7 Reference 3: http://www.xbrl.org/2003/role/presentationRef -Publisher AICPA -Name Accounting Research Bulletin (ARB) -Number 51 -Paragraph 26 Reference 4: http://www.xbrl.org/2003/role/presentationRef -Publisher AICPA -Name Accounting Research Bulletin (ARB) -Number 51 -Paragraph 38 Reference 5: http://www.xbrl.org/2003/role/presentationRef -Publisher AICPA -Name Accounting Research Bulletin (ARB) -Number 51 -Paragraph A3 -Appendix A The net amount of other nonoperating income and expense, which does not qualify for separate disclosure on the income statement under materiality guidelines. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher SEC -Name Regulation S-X (SX) -Number 210 -Section 03 -Paragraph 9 -Article 5 Amount due from customers or clients, within one year of the balance sheet date (or the normal operating cycle, whichever is longer), for goods or services (including trade receivables) that have been delivered or sold in the normal course of business, reduced to the estimated net realizable fair value by an allowance established by the entity of the amount it deems uncertain of collection. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher SEC -Name Regulation S-X (SX) -Number 210 -Section 02 -Paragraph 3 -Subparagraph a(1) -Article 5 Reference 2: http://www.xbrl.org/2003/role/presentationRef -Publisher SEC -Name Regulation S-X (SX) -Number 210 -Section 02 -Paragraph 4 -Article 5 The amount of net income or loss for the period per each share of common stock and dilutive common stock equivalents outstanding during the reporting period. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 128 -Paragraph 11, 12, 36 Reference 2: http://www.xbrl.org/2003/role/presentationRef -Publisher SEC -Name Regulation S-X (SX) -Number 210 -Section 03 -Paragraph 20 -Article 5 Reference 3: http://www.xbrl.org/2003/role/presentationRef -Publisher SEC -Name Regulation S-X (SX) -Number 210 -Section 04 -Paragraph 18 -Article 7 Reference 4: http://www.xbrl.org/2003/role/presentationRef -Publisher SEC -Name Regulation S-X (SX) -Number 210 -Section 04 -Paragraph 21 -Article 9 The cash outflow from the entity's earnings to the shareholders. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 95 -Paragraph 18 Reference 2: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 95 -Paragraph 20 -Subparagraph a Reclassification adjustment for unrealized gains or losses realized upon the sale of securities, after tax. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher AICPA -Name Accounting Research Bulletin (ARB) -Number 51 -Paragraph 38 -Subparagraph c(3) Reference 2: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 130 -Paragraph 24 -Subparagraph b Reference 3: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 130 -Paragraph 18, 19 Disclosure of compensation-related costs for share-based compensation which may include disclosure of policies, compensation plan details, allocation of stock compensation, incentive distributions, share-based arrangements to obtain goods and services, deferred compensation arrangements, employee stock ownership plan details and employee stock purchase plan details. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 123R -Paragraph 64, 65, A240 Reference 2: http://www.xbrl.org/2003/role/presentationRef -Publisher AICPA -Name Statement of Position (SOP) -Number 93-6 -Paragraph 53 Reference 3: http://www.xbrl.org/2003/role/presentationRef -Publisher SEC -Name Staff Accounting Bulletin (SAB) -Number Topic 14 The cash outflow from repayment of a borrowing having initial term of repayment of more than three months from Financial Products line of business. No authoritative reference available. Include the following two items: 1) the carrying amount as of the balance sheet date of the portion of the obligations recognized for the various benefits provided to former or inactive employees, their beneficiaries, and covered dependents after employment but before retirement that is payable after one year (or beyond the operating cycle if longer). 2) the noncurrent liability for underfunded plans recognized in the balance sheet that is associated with the defined benefit pension plans and other postretirement defined benefit plans. No authoritative reference available. Include the following two disclosures: 1)Description containing the entire pension and other postretirement benefits disclosure as a single block of text. 2) Description containing the entire postemployment benefits disclosure which may include supplemental unemployment benefits, obligations recognized for all types of benefits provided to former or inactive employees, their beneficiaries, and covered dependents after employment but before retirement. Disclosure may also include discussion that an obligation for postemployment benefits is not accrued in accordance with regulation only because the amount cannot be reasonably estimated. No authoritative reference available. No authoritative reference available. No authoritative reference available. Income (Loss) from Continuing Operations less Income Taxes and before Income (Loss) from Equity Method Investments No authoritative reference available. No authoritative reference available. No authoritative reference available. The effect of exchange rate changes on cash balances held in foreign currencies. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 95 -Paragraph 25 Cost of common and preferred stock that were repurchased during the period. Recorded using the cost method. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher AICPA -Name Accounting Principles Board Opinion (APB) -Number 12 -Paragraph 10 Reference 2: http://www.xbrl.org/2003/role/presentationRef -Publisher SEC -Name Regulation S-X (SX) -Number 210 -Section 04 -Article 3 Reference 3: http://www.xbrl.org/2003/role/presentationRef -Publisher AICPA -Name Accounting Research Bulletin (ARB) -Number 43 -Chapter 1 -Section B -Paragraph 7 -Subparagraph b Total of the carrying values as of the balance sheet date of obligations incurred through that date and payable for obligations related to services received from employees, such as accrued salaries and bonuses, payroll taxes and fringe benefits. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher SEC -Name Regulation S-X (SX) -Number 210 -Section 03 -Paragraph 15 -Subparagraph 5 -Article 9 Reference 2: http://www.xbrl.org/2003/role/presentationRef -Publisher SEC -Name Regulation S-X (SX) -Number 210 -Section 03 -Paragraph 15 -Subparagraph a -Article 7 Interest expense incurred on trading liabilities, commercial paper, long-term debt, capital leases, deposits, and all other borrowings from Financial Products line of business No authoritative reference available. Include the following two items 1) The noncurrent portion of the aggregate tax effects as of the balance sheet date of all future tax deductions arising from temporary differences between tax basis and generally accepted accounting principles basis recognition of assets, liabilities, revenues and expenses, which can only be deducted for tax purposes when permitted under enacted tax laws; after deducting the allocated valuation allowance, if any, to reduce such amount to net realizable value. Deferred tax liabilities and assets shall be classified as current or noncurrent based on the classification of the related asset or liability for financial reporting. 2)Carrying amount due more than one year of the balance sheet date (or one operating cycle, if longer) from tax authorities as of the balance sheet date representing refunds of overpayments or recoveries based on agreed-upon resolutions of disputes. No authoritative reference available. For banks, amount of net income (loss) for the period allocated to noncontrolling shareholders, partners, or other equity holders in joint ventures included in the entity's consolidated financial statements. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher AICPA -Name Accounting Research Bulletin (ARB) -Number 51 -Paragraph 38 -Subparagraph a Reference 2: http://www.xbrl.org/2003/role/presentationRef -Publisher AICPA -Name Accounting Research Bulletin (ARB) -Number 51 -Paragraph 38 -Subparagraph c(1) This element can be used to disclose the entity's entire derivative instruments and hedging activities disclosure as a single block of text. Describes an entity's risk management strategies, derivatives in hedging activities and non-hedging derivative instruments, the assets, obligations, liabilities, revenues and expenses arising there from, and the amounts of and methodologies and assumptions used in determining the amounts of such items. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 133 -Paragraph 45 Reference 2: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 133 -Paragraph 44 The cash outflow for purchases of and capital improvements on property, plant and equipment (capital expenditures), software, and other intangible assets. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 95 -Paragraph 15 Reference 2: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 95 -Paragraph 17 -Subparagraph c The aggregate amount to be paid by the entity upon redemption of the security that is classified as temporary equity. Temporary equity is a security with redemption features that are outside the control of the issuer, is not classified as an asset or liability in conformity with GAAP, and is not mandatorily redeemable. Includes any type of security that is redeemable at a fixed or determinable price or on a fixed or determinable date or dates, is redeemable at the option of the holder, or has conditions for redemption which are not solely within the control of the issuer. If convertible, the issuer does not control the actions or events necessary to issue the maximum number of shares that could be required to be delivered under the conversion option if the holder exercises the option to convert the stock to another class of equity. If the security is a warrant or a rights issue, the warrant or rights issue is considered to be temporary equity if the issuer cannot demonstrate that it would be able to deliver upon the exercise of the option by the holder in all cases. Includes stock with put option held by ESOP and stock redeemable by holder only in the event of a change in control of the issuer. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher SEC -Name Regulation S-X (SX) -Number 210 -Section 02 -Paragraph 28 -Subparagraph b -Article 5 Reference 2: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Emerging Issues Task Force (EITF) -Number 00-19 -Paragraph 12 Tax benefit associated with any share-based compensation plan other than an employee stock ownership plan (ESOP). The tax benefit results from the deduction by the entity on its tax return for an award of stock that exceeds the cumulative compensation cost for common stock or preferred stock recognized for financial reporting. Includes any resulting tax benefit that exceeds the previously recognized deferred tax asset (excess tax benefits). Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 123R -Paragraph 62 The cash outflow to acquire debt and equity securities not classified as either held-to-maturity securities or trading securities which would be classified as available-for-sale securities and reported at fair value, with unrealized gains and losses excluded from earnings and reported in a separate component of shareholders' equity. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 95 -Paragraph 17 -Subparagraph b Reference 2: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 115 -Paragraph 18 Reference 3: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 95 -Paragraph 15 Reference 4: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 95 -Paragraph 17 -Subparagraph a Change in accumulated gains and losses from derivative instrument designated and qualifying as the effective portion of cash flow hedges, net of tax effect. The after tax effect change includes an entity's share of an equity investee's increase (decrease) in deferred hedging gains or losses. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 130 -Paragraph 17, 20 Reference 2: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 130 -Paragraph 121 Reference 3: http://www.xbrl.org/2003/role/presentationRef -Publisher AICPA -Name Accounting Research Bulletin (ARB) -Number 51 -Paragraph 38 -Subparagraph c(3) Reference 4: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 130 -Paragraph 24 -Subparagraph b Reference 5: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 133 -Paragraph 46 No authoritative reference available. No authoritative reference available. The net cash inflow (outflow) from investing activity. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 95 -Paragraph 26 The net change during the reporting period in the total amount due within one year (or one operating cycle) from all parties, associated with underlying transactions that are classified as operating activities. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 95 -Paragraph 28 The aggregate expense recognized in the current period that allocates the cost of tangible assets, intangible assets, or depleting assets to periods that benefit from use of the assets. No authoritative reference available. The aggregate total costs related to selling a firm's product and services, as well as all other general and administrative expenses. Direct selling expenses (for example, credit, warranty, and advertising) are expenses that can be directly linked to the sale of specific products. Indirect selling expenses are expenses that cannot be directly linked to the sale of specific products, for example telephone expenses, Internet, and postal charges. General and administrative expenses include salaries of non-sales personnel, rent, utilities, communication, etc. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher SEC -Name Regulation S-X (SX) -Number 210 -Section 03 -Paragraph 4 -Article 5 Reference 2: http://www.xbrl.org/2003/role/presentationRef -Publisher AICPA -Name Accounting Research Bulletin (ARB) -Number 43 -Chapter 4 -Paragraph 5A Sum of the carrying amounts as of the balance sheet date of all assets that are recognized. Assets are probable future economic benefits obtained or controlled by an entity as a result of past transactions or events. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Concepts (CON) -Number 6 -Paragraph 25 Reference 2: http://www.xbrl.org/2003/role/presentationRef -Publisher SEC -Name Regulation S-X (SX) -Number 210 -Section 02 -Paragraph 18 -Article 5 Reference 3: http://www.xbrl.org/2003/role/presentationRef -Publisher SEC -Name Regulation S-X (SX) -Number 210 -Section 03 -Paragraph 12 -Article 7 The cash outflow to reacquire common stock during the period. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 95 -Paragraph 18 Reference 2: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 95 -Paragraph 20 -Subparagraph a Include the following two items 1) The current portion of the aggregate tax effects as of the balance sheet date of all future tax deductions arising from temporary differences between tax basis and generally accepted accounting principles basis recognition of assets, liabilities, revenues and expenses, which can only be deducted for tax purposes when permitted under enacted tax laws; after deducting the allocated valuation allowance, if any, to reduce such amount to net realizable value. Deferred tax liabilities and assets shall be classified as current or noncurrent based on the classification of the related asset or liability for financial reporting. 2)Carrying amount due within one year of the balance sheet date (or one operating cycle, if longer) from tax authorities as of the balance sheet date representing refunds of overpayments or recoveries based on agreed-upon resolutions of disputes. No authoritative reference available. No authoritative reference available. No authoritative reference available. No authoritative reference available. No authoritative reference available. Aggregate carrying amount, as of the balance sheet date, of noncurrent assets not separately disclosed in the balance sheet due to materiality considerations. Noncurrent assets are expected to be realized or consumed after one year (or the normal operating cycle, if longer). Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher SEC -Name Regulation S-X (SX) -Number 210 -Section 02 -Paragraph 17 -Article 5 Amounts due from customers, clients, lessees, borrowers, or others more than one year from the balance sheet date (or the normal operating cycle, whichever is longer) under the terms of its agreements therewith. Such amount may include accrued interest receivable in accordance with the terms of the agreements. The agreements also may contain provisions and related items including a discount or premium, payable on demand, secured, or unsecured, interest bearing or noninterest bearing, among myriad other features and characteristics. No authoritative reference available. The cash outflow to return capital to noncontrolled interest, which generally occurs when noncontrolling shareholders reduce their ownership stake (in a subsidiary of the entity). This element does not include dividends paid to noncontrolling shareholders. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 95 -Paragraph 18 Reference 2: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 95 -Paragraph 20 -Subparagraph a The adjustment out of other comprehensive income for actuarial gains (losses) recognized as a component of net periodic benefit cost during the period, after tax Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher AICPA -Name Accounting Research Bulletin (ARB) -Number 51 -Paragraph 38 -Subparagraph c(3) Reference 2: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 158 -Paragraph 4 -Subparagraph c, d This element represents the complete disclosure related to inventory. This may include, but is not limited to, the basis of stating inventory, the method of determining inventory cost, the major classes of inventory, and the nature of the cost elements included in inventory. If inventory is stated above cost, accrued net losses on firm purchase commitments for inventory and losses resulting from valuing inventory at the lower-of-cost-or-market may also be included. For LIFO inventory, may disclose the amount and basis for determining the excess of replacement or current cost over stated LIFO value and the effects of a LIFO quantities liquidation that impacts net income. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher AICPA -Name Accounting Research Bulletin (ARB) -Number 43 -Chapter 3 -Section A -Paragraph 9 Reference 2: http://www.xbrl.org/2003/role/presentationRef -Publisher SEC -Name Regulation S-X (SX) -Number 210 -Section 02 -Paragraph 6 -Subparagraph a, b, c -Article 5 Transactions that result in no cash inflows or outflows in the period in which they occur, but affect net income and thus are removed when calculating net cash flow from operating activities using the indirect method. This element is used when there is not a more specific and appropriate element. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 95 -Paragraph 28 Include the following two disclosures: 1) Disclosures of environmental loss contingencies, such as presence of hazardous waste, relevant information from reports issued by regulators, and estimated costs to achieve compliance with regulatory requirements. 2) Excluding environmental contingencies, warranties and unconditional purchase obligations (all of which have their own elements in this taxonomy), describes any existing condition, situation, or set of circumstances involving uncertainty as of the balance sheet date (or prior to issuance of the financial statements) as to a probable or reasonably possible loss incurred by an entity that will ultimately be resolved when one or more future events occur or fail to occur, and typically discloses the amount of loss recorded or a range of possible loss, or an assertion that no reasonable estimate can be made. No authoritative reference available. Reflects the total carrying amount as of the balance sheet date of debt having initial terms less than one year or the normal operating cycle, if longer from the Financial Products line of business. No authoritative reference available. No authoritative reference available. No authoritative reference available. Cumulative effect of adoption of measurement date provision of Statement of Financial Accounting Standard 158 (SFAS No. 158), Employers' Accounting for Defined Benefit Pension and Other Postretirement Plans on beginning retained earnings, net of tax. No authoritative reference available. The maximum number of common shares permitted to be issued by an entity's charter and bylaws. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher SEC -Name Regulation S-X (SX) -Number 210 -Section 02 -Paragraph 30 -Article 5 Carrying amount (lower of cost or market) as of the balance sheet date of inventories less all valuation and other allowances. Excludes noncurrent inventory balances (expected to remain on hand past one year or one operating cycle, if longer). No authoritative reference available. Value of treasury stock reissued during the period for stock-based compensation No authoritative reference available. Reflects the total carrying amount as of the balance sheet date of debt having initial terms less than one year or the normal operating cycle, if longer from the Machinery and Engines lines of business. No authoritative reference available. The net cash outflow (inflow) from other investing activities. This element is used when there is not a more specific and appropriate element in the taxonomy. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 95 -Paragraph 15 This item represents the entire disclosure related to Available-for-sale Securities which consist of all investments in certain debt and equity securities neither classified as trading or held-to-maturity securities. A debt security represents a creditor relationship with an enterprise. Debt securities include, among other items, US Treasury securities, US government securities, municipal securities, corporate bonds, convertible debt, commercial paper, and all securitized debt instruments. An equity security represents an ownership interest in an enterprise or the right to acquire or dispose of an ownership interest in an enterprise at fixed or determinable prices. Equity securities include, among other things, common stock, certain preferred stock, warrant rights, call options, and put options, but do not include convertible debt. 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Aggregate cash, stock, and paid-in-kind dividends declared for common shareholders during the period. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher SEC -Name Regulation S-X (SX) -Number 210 -Section 04 -Article 3 Change in accumulated gains and losses from retained interest, net of tax effect. No authoritative reference available. Sum of the carrying amounts as of the balance sheet date of all assets that are expected to be realized in cash, sold, or consumed within one year (or the normal operating cycle, if longer). Assets are probable future economic benefits obtained or controlled by an entity as a result of past transactions or events. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher SEC -Name Regulation S-X (SX) -Number 210 -Section 02 -Paragraph 9 -Article 5 The net cash inflow (outflow) associated with the sale or (acquisition) of a business segment during the period. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 95 -Paragraph 15, 16, 17 The change in equity [net assets] of a business enterprise during a period from transactions and other events and circumstances from non-owner sources which are attributable to the economic entity, including both controlling (parent) and noncontrolling interests. It includes all changes in equity during a period except those resulting from investments by owners and distributions to owners, including any and all transactions which are directly or indirectly attributable to that ownership interest in subsidiary equity which is not attributable to the parent. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher AICPA -Name Accounting Research Bulletin (ARB) -Number 51 -Paragraph A5 -Appendix A Reference 2: http://www.xbrl.org/2003/role/presentationRef -Publisher AICPA -Name Accounting Research Bulletin (ARB) -Number 51 -Paragraph 29 Reference 3: http://www.xbrl.org/2003/role/presentationRef -Publisher AICPA -Name Accounting Research Bulletin (ARB) -Number 51 -Paragraph 38 -Subparagraph a The average number of shares issued and outstanding that are used in calculating diluted EPS, determined based on the timing of issuance of shares in the period. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 128 -Paragraph 40 -Subparagraph a Reference 2: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 128 -Paragraph 8 Carrying amount as of the balance sheet date, which is the cumulative amount paid, adjusted for any amortization recognized prior to adoption of FAS 142 and for any impairment charges, in excess of the fair value of net assets acquired in one or more business combination transactions. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 142 -Paragraph 43 Increase or decrease in noncontrolling interest balances due to change in ownership for noncontrolling interest No authoritative reference available. 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Securitizations &#160; Cat Financial sells certain finance receivables relating to retail installment sale contracts and finance leases as part false false Describes an entity's accounting policy for transfers and servicing financial assets, including securitization transactions as well as repurchase and resale agreements. This disclosure may include how the entity (1) determines whether a transaction should be accounted for as a sale; (2) accounts for a sale transaction, including the initial and subsequent accounting for any interests that the entity obtains or continues to hold in the transaction, how such interests are valued, and the significant assumptions used in the valuation; (3) accounts for a transaction that does not qualify for sale treatment (that is, a financing); and (4) accounts for its servicing assets and liabilities ("servicing"), including how such servicing is measured initially and subsequently, and the methodology and significant assumptions used to value such servicing. Reference 1: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 140 -Paragraph 9-15, 17 Reference 2: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name FASB Interpretation (FIN) -Number 41 -Paragraph 3 -Subparagraph a, b, c Reference 3: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name FASB Staff Position (FSP) -Number FAS140-4 and FIN46(R)-8 -Paragraph B6-B12 Reference 4: http://www.xbrl.org/2003/role/presentationRef -Publisher FASB -Name Statement of Financial Accounting Standard (FAS) -Number 140 -Paragraph 17 -Subparagraph e, f false false 1 2 false UnKnown UnKnown UnKnown false true XML 29 R13.xml IDEA: 6070 - Available For Sale Securities 1.0.0.3 false 6070 - Available For Sale Securities false 1 $ false false u000 Standard http://www.xbrl.org/2003/iso4217 USD iso4217 0 u001 Standard http://www.xbrl.org/2003/instance shares xbrli 0 u002 Divide http://www.xbrl.org/2003/iso4217 USD iso4217 http://www.xbrl.org/2003/instance shares xbrli 0 3 1 us-gaap_AvailableForSaleSecuritiesTextBlock us-gaap true na duration string This item represents the entire disclosure related to Available-for-sale Securities which consist of all investments in... false false false false false false false false false 1 false false 0 0 <div><div style="TEXT-ALIGN: left"><div style="DISPLAY: block; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25"> <br></div><div><table cellpadding="0" cellspacing="0" width="100%" style="FONT-SIZE: 8pt; FONT-FAMILY: arial; FONT-SIZE: 8pt; FONT-FAMILY: arial"> <tr><td align="left" valign="top" width="4%"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="left"><font style="DISPLAY: inline; FONT-WEIGHT: bold; FONT-SIZE: 10pt; FONT-FAMILY: arial">8.</font></div></td> <td valign="top" width="81%"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="justify"><font style="DISPLAY: inline; FONT-WEIGHT: bold; FONT-SIZE: 10pt; FONT-FAMILY: arial">Available-For-Sale Securities</font></div></td></tr></table></div><div style="DISPLAY: block; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25"> <br></div><div><table cellpadding="0" cellspacing="0" width="100%" style="FONT-SIZE: 8pt; FONT-FAMILY: arial; FONT-SIZE: 8pt; FONT-FAMILY: arial"> <tr><td valign="top" width="4%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="top" width="81%"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="justify"><font style="DISPLAY: inline; FONT-SIZE: 10pt; FONT-FAMILY: arial">Financial Products, primarily Cat Insurance, has investments in certain debt and equity securities that have been classified as available-for-sale in accordance with Statement of Financial Accounting Standards No. 115 (SFAS 115), &#8220;Accounting for Certain Investments in Debt and Equity Securities&#8221; and recorded at fair value basedupon quoted market prices. 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New Accounting Pronouncements &#160; SFAS 157 &#8211; In September 2006, the Financial Accounting Standards Board (FASB) issued Statement of Financial false false For a new accounting pronouncement that has been issued but not yet adopted, an entity's disclosure should (1) describe the new pronouncement, the date that adoption is required and the date that the entity plans to adopt, if earlier; (2) discuss the methods of adoption allowed by the pronouncement and the method expected to be utilized by the entity, if determined; (3) discuss the impact that adoption of the pronouncement is expected to have on the financial statements of the entity, unless such impact is not known or reasonably estimable (in which case, a statement to that effect should be made) and; (4) disclose the potential impact of other significant matters that the entity believes might result from the adoption of the pronouncement (for example, technical violations of debt covenant agreements and planned or intended changes in business practices.) 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In addition to governing our manufacturing and other operations, these laws often impact the development of our products, including, but not limited to, required compliancewith air emissions standards applicable to internal combustion engines. Compliance with these existing laws has not had a material impact on our capital expenditures, earnings or global competitive position.</font></div><div style="DISPLAY: block; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25">&am p;#160;</div> <div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="justify"><font style="DISPLAY: inline; FONT-SIZE: 10pt; FONT-FAMILY: arial">We are engaged in remedial activities at a number of locations, often with other companies, pursuant to federal and state laws.&#160;&#160;When it is probable we will pay remedial costs at a site and those costs can be reasonably estimated, the costs are charged against our earnings.&#160;&#160;In formulating that estimate, wedo not consider amounts expected to be recovered from insurance companies or others.&#160;&#160;The amount recorded for environmental remediation is not material and is included in Accrued expenses in the Consolidated Statement of Financial Position.</font></div></td></tr></table></div></div> <div style="TEXT-ALIGN: left"><div>&#160;</div><div><div style="TEXT-ALIGN: left">&#160;</div><div style="TEXT-ALIGN: left"><div><table cellpadding="0" cellspacing="0" width="100%" style="FONT-SIZE: 8pt; FONT-FAMILY: arial; FONT-SIZE: 8pt; FONT-FAMILY: arial"> <tr><td valign="top" width="4%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="top" width="81%"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="justify"><font style="DISPLAY: inline; FONT-SIZE: 10pt; FONT-FAMILY: arial"> <div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="justify"><font style="DISPLAY: inline; FONT-SIZE: 10pt; FONT-FAMILY: arial">We cannot reasonably estimate costs at sites in the very early stages of remediation.&#160;&#160;Currently, we have a few sites in the very early stages of remediation, and there is no more than a remote chance that a material amount for remedial activities at any individual site, or at all sites in the aggregate, will be required.</font></div><div style="DISPLAY: block; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25"> <br></div><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="justify"><font style="DISPLAY: inline; FONT-SIZE: 10pt; FONT-FAMILY: arial">On May 14, 2007, the U.S. Environmental Protection Agency (EPA) issued a Notice of Violation to Caterpillar Inc., alleging various violations of Clean Air Act Sections 203, 206 and 207.&#160;&#160;EPA claims that Caterpillar violated such sections by shipping engines and catalytic converter after-treatment devices separately, introducing into commerce a number of uncertified and/or misbuilt engines, and failing to timely report emissions-related defects.&#160;&#160;Caterpillar is currently engaging in negotiations with EPA to resolve these issues, but it is too early in the process to place precise estimates on the potential exposure to penalties.&#160;&#160;However, Caterpillar is cooperating with EPA and, based upon initial discussions, and although penalties could potentially exceed $100,000, management does not believe that this issue willhave a material adverse impact on our consolidated results of operations, financial position or liquidity.</font></div><div style="DISPLAY: block; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25"> <br></div><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt; TEXT-ALIGN: justify"><font style="DISPLAY: inline; FONT-SIZE: 10pt; FONT-FAMILY: arial">On February 8, 2009, an incident at Caterpillar's Joliet, Illinois facility resulted in the release of approximately 3,000 gallons of wastewater into the Des Plaines River. In coordination with state and federal authorities, appropriate remediation measures have been taken. On February 23, the Illinois Attorney General fileda Complaint in Will County Circuit Court containing seven Counts of violations of state environmental laws and regulations.&#160;&#160;Each Count seeks injunctive relief, as well as statutory penalties of $50,000 per violation and $10,000 per day of violation. In addition, on March 5, the U.S. EPA served Caterpillar with a Notice of Intent to file a Civil Administrative Action, indicating EPA&#8217;s intent to seek civil penalties for violations of the Clea n Water Act and Oil Pollution Act.&#160;&#160;The Notice ofIntent seeks up to $16,000 per day of violation.&#160;&#160;Neither the Complaint nor the Notice of Intent quantifies the total number of violations or total number of days during which violations are alleged to have occurred. At this time, we do not believe these proceedings will have a material impact on our consolidated results of operations, financial position or liquidity.</font></div></font></div></td></tr></table></div> <div style="DISPLAY: block; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25"> <br></div><div><table cellpadding="0" cellspacing="0" width="100%" style="FONT-SIZE: 8pt; FONT-FAMILY: arial; FONT-SIZE: 8pt; FONT-FAMILY: arial"> <tr><td valign="top" width="4%"><font style="DISPLAY: inline; FONT-SIZE: 6pt; FONT-FAMILY: arial">&#160; </font></td><td valign="top" width="81%"><div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="justify"><font style="DISPLAY: inline; FONT-SIZE: 10pt; FONT-FAMILY: arial">We have disclosed certain individual legal proceedings in this filing.&#160;&#160;Additionally, we are involved in other unresolved legal actions that arise in the normal course of business. The most prevalent of these unresolved actions involve disputes related to product design, manufacture and performance liability (includingclaimed asbestos and welding fumes exposure), contracts, employment issues or intellectual property rights.&#160;&#160;Although it is not possible to predict with certainty the outcome of these unresolved legal actions, we believe that these actions will not individually or in the aggregate ha ve a material adverse effect on our consolidated results of operations, financial position or liquidity.</font></div><div style="DISPLAY: block; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25">&#160;</div> <div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="justify"><font style="DISPLAY: inline; FONT-SIZE: 10pt; FONT-FAMILY: arial">The provision for income taxes in the first six months of 2009 reflects a discrete period effective tax rate of negative 20.5 percent compared to an estimated annual tax rate of 31.3 percent for the first six months of 2008, excluding discrete benefits of $47 million in the first six months of 2008.&#160;&#160;A discrete calculation was used to report the tax provision for the first six months of 2009 rather than an estimated annual tax rate as the estimated range of annual profit before tax produces significant variability and makes it difficult to reasonably estimate the annual effective tax rate.&#160;&#160;The negative tax rate for the first six months of 2009 results from a $40 million tax benefit on profit before tax of $189 million and was driven primarily by a favorable geographic mix of profits and losses from a tax perspectiveand the net favorable impact of U.S. permanent differences and credits including the research and development tax credit.</font></div> <div style="DISPLAY: block; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25">&#160;</div> <div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="justify"><font style="DISPLAY: inline; FONT-SIZE: 10pt; FONT-FAMILY: arial">If global recessionary conditions continue, it is reasonably possible that increases in valuation allowances against deferred tax assets of certain non-U.S. entities may be required in the next twelve months.</font></div> <div style="DISPLAY: block; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25">&#160;</div> <div style="DISPLAY: block; MARGIN-LEFT: 0pt; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 0pt" align="justify"><font style="DISPLAY: inline; FONT-SIZE: 10pt; FONT-FAMILY: arial">We anticipate the U.S. appeals process for tax years 1995 to 1999, primarily related to foreign sales corporation commissions, foreign tax credit calculations and research and development credits, will be completed in 2009.&#160;&#160;In the opinion of management, the ultimate disposition of these matters will not have a materialadverse effect on our consolidated financial position, liquidity or results of operations.</font></div></td></tr></table></div> <div style="DISPLAY: block; TEXT-INDENT: 0pt; LINE-HEIGHT: 1.25"> <br></div></div></div></div></div> 12. 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No authoritative reference available. false false 1 2 false UnKnown UnKnown UnKnown false true
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