SD 1 finalformsd_2017.htm FORM SD Document



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


 
 
 
SPECIALIZED DISCLOSURE REPORT


 
 
 
CATERPILLAR INC.  
(Exact name of registrant as specified in its charter)
 
 
 
Delaware  
(State or other jurisdiction of incorporation or organization)
1-768  
(Commission File Number)

37-0602744  
(IRS Employer Identification No.)

100 NE Adams Street, Peoria, Illinois  
(Address of principal executive offices)

 
61629 
(Zip Code)

Suzette M. Long, Interim Executive Vice President, Law & Public Policy, (309) 675-1000
(Name and telephone number, including area code, of the person to contact in connection with this report)

Check the appropriate box to indicate the rule pursuant to which this form is being filed, and provide the period to which the information in this form applies:
  
Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2016.

 





Section 1 - Conflict Minerals Disclosure

Items 1.01 and 1.02 Conflict Minerals Disclosure and Report, Exhibit

Conflict Minerals Disclosure

A copy of Caterpillar Inc.’s Conflict Minerals Report for the year ended December 31, 2016 is provided as Exhibit 1.01 hereto and is publicly available at http://www.caterpillar.com/en/company/sustainability/conflict-minerals/CMR.html.

Section 2 – Exhibits

Item 2.01 Exhibits

Exhibit 1.01 – Conflict Minerals Report for the year ended December 31, 2016 as required by Items 1.01 and 1.02 of this Form.



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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 duly authorized undersigned.

 
 
 
 
 
 
CATERPILLAR INC.
 
 
 
(Registrant)
 
 
 
 

 
 
By:
/s/ Denise C. Johnson
 
May 30, 2017
 
Denise C. Johnson
 
(Date)
 
Group President, Resource Industries
 
 
 
 
 
 




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