UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 | |||||||||||
FORM | |||||||||||
Current Report | |||||||||||
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 | |||||||||||
Date of Report (Date of earliest event reported): | |||||||||||
(Exact name of registrant as specified in its charter) | |||||||||||
(State or other jurisdiction of incorporation) | (Commission File Number) | (I.R.S Employer Identification No.) |
(Address of principal executive offices) | (Zip Code) | |||||||||
Registrant’s telephone number, including area code: | ||||||||||
Former name or former address, if changed since last report: | N/A |
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) | |||||||||||
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) | |||||||||||
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) | |||||||||||
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) | |||||||||||
Securities registered pursuant to Section 12(b) of the Act: | |||||||||||
Title of each class | Trading Symbol (s) | Name of each exchange which registered | |||||||||
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions: | |||||||||||
Indicate by check mark whether the registrant is an emerging growth company as defined by Rule 405 of the Securities Act of | |||||||||||
1933 (17 CFR §230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR §240.12b-2 of this chapter). | |||||||||||
Emerging growth company | |||||||||||
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period | |||||||||||
for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. | ☐ |
Total Machines | April 2020 | March 2020 | February 2020 |
Asia/Pacific | DOWN 17% | DOWN 22% | DOWN 17% |
EAME | DOWN 15% | DOWN 4% | DOWN 4% |
Latin America | DOWN 28% | DOWN 7% | DOWN 4% |
North America | DOWN 27% | DOWN 20% | DOWN 12% |
World | DOWN 22% | DOWN 17% | DOWN 11% |
Resource Industries | April 2020 | March 2020 | February 2020 |
Asia/Pacific | DOWN 26% | UP 5% | UP 20% |
EAME | UNCHANGED | UP 3% | DOWN 9% |
Latin America | DOWN 44% | DOWN 26% | DOWN 17% |
North America | DOWN 30% | DOWN 26% | DOWN 17% |
World | DOWN 24% | DOWN 12% | DOWN 7% |
Construction Industries | April 2020 | March 2020 | February 2020 |
Asia/Pacific | DOWN 14% | DOWN 28% | DOWN 28% |
EAME | DOWN 20% | DOWN 7% | DOWN 2% |
Latin America | DOWN 18% | UP 5% | UP 4% |
North America | DOWN 26% | DOWN 18% | DOWN 9% |
World | DOWN 21% | DOWN 18% | DOWN 11% |
Energy & Transportation Retail Sales by industry for the 3-month rolling period ended as of the month indicated compared with the same period of the prior year: | ||||
April 2020 | March 2020 | February 2020 | ||
Power Gen | DOWN 5% | UP 2% | DOWN 5% | |
Industrial | DOWN 26% | DOWN 13% | UP 1% | |
Transportation | DOWN 26% | DOWN 11% | DOWN 13% | |
Oil & Gas | DOWN 26% | DOWN 23% | DOWN 3% | |
Total | DOWN 19% | DOWN 12% | DOWN 4% |
· asphalt pavers | · forestry excavators | · small and medium |
· backhoe loaders | · motorgraders | track-type tractors |
· compactors | · pipelayers | · track-type loaders |
· cold planers | · road reclaimers | · wheel excavators |
· compact track and | · site prep tractors | · compact, small and |
multi-terrain loaders | · skid steer loaders | medium wheel loaders |
· mini, small, medium | · telehandlers | · utility vehicles |
and large excavators |
· electric rope shovels | · longwall miners | · landfill compactors |
· draglines | · large wheel loaders | · soil compactors |
· hydraulic shovels | · off-highway trucks | · machinery components |
· rotary drills | · articulated trucks | · electronics and control systems |
· hard rock vehicles | · wheel tractor scrapers | · select work tools |
· large track-type tractors | · wheel dozers | · hard rock continuous mining |
· large mining trucks | systems |
Exhibit | ||||
Number | Description | |||
104 | The cover page from this Current Report on Form 8-K, formatted in Inline XBRL. |
SIGNATURES | ||
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized. | ||
CATERPILLAR INC. | ||
May 13, 2020 | By: | /s/ Suzette M. Long |
Suzette M. Long Chief Legal Officer, General Counsel & Corporate Secretary | ||
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end
@0K"X8?R"^AD^#9F-"9B,"KUIIR+WU=)<;>Q&./T[B#%&!'0B_O5
M49,4K&\?A/T]0ME2S):JE\V7994&P+$UU ]/(&Q*0]SPS<)B?S)Y]-H1WK,U ^!2ZPE0P:1^B1X_J]*A?P%=&O=OOL$>
MKW'S'WT?*L--RYY*\I*U1YHY+KZPDHYN#(R^:?0TIW9F'/CGY_B*WX2U\]*GH!<9#1J)>>R\+"5&U89:&T0$
MQ,,T.X[6-;%R B&"[\9^DKOU?ET>K/[&7>3!5OV,[W(;
M7H"N/VQ&%JKY,(6FYI;G,BEY^;L"Y,K5S[KU\UU$53VZO7?5\>/G3(*)5ILH
M+?ZST'O_!Z5AM[/1>_%
M=0?@<1N69I7OU_\0FJ[FS#W] MX"F/F;9RI=YNP&W9)^Y___$34
MSL\-%7^8BIK64'%;O+A/.G.-U7HQA3KH?ASL)_,^C=I;X6QS3_7#[I#8:"C\
M$A1NM/-VM?,'3# G77$8T6TX?,MNG-4HD2V3>%_#C=VA<*.F7T!-?^)Q.FW4
M]#.IZ4:);)W$2D/B;<>$TC6C1E%O5U'_R>/@*=
$D(5?"$7,K C"A(N0^0Y@7,W81_P)NGUUWJL@6GK:/#6^R_Q8XW[AR'.5?(
MB)
?-+=I'EX^?>RE
M&)(* PBYGX^NI?">1@EWB:&:-" 8W92V/^KA<@U7SBZ, ?$>1;HW%Y@\NF
M-U0$Z)R]S9^W!&*QX2875%8,';<[)8:<#W=WP8A_&_:@R!,@M^ O,?0CQ1L2
M[40SAD/7
VY,&;/^3F1
MSS"3+*K^%^7\11;Q0<;).L]USS(-\COR>"Y?A.4MHEIRC,_K^=NJJ9(;+D*K
M1G]\CF(JM6$Q?.?IR3YW7-=K6^=JST"#>2HDG^T;G;(0;RLTO!K5!BO]RT:C
M=05%HK$,*?=T+479F6FWO5K+=:T!^*JX,2A(0)+0*C@<&5U$+5FLK9("&?.0
M&RY6\$CV*<[B(F2JL!82,Y*EA^%&$=$N>5HN;8D6V-