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Table of Contents
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C.  20549
cat-20200930_g1.jpg
 FORM 10-Q 
QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For the quarterly period ended September 30, 2020
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
37-0602744
(State or other jurisdiction of incorporation)(IRS Employer I.D. No.)
510 Lake Cook Road,Suite 100,Deerfield, Illinois60015
(Address of principal executive offices)(Zip Code)
Registrant’s telephone number, including area code: (224) 551-4000 
Former Name, Former Address and Former Fiscal Year, if Changed Since Last Report: N/A
Securities registered pursuant to Section 12(b) of the Act:
Title of each classTrading Symbol (s)Name of each exchange on which registered
Common Stock ($1.00 par value)CATNew York Stock Exchange ¹
9 3/8% Debentures due March 15, 2021CAT21New York Stock Exchange
8% Debentures due February 15, 2023CAT23New York Stock Exchange
5.3% Debentures due September 15, 2035CAT35New York Stock Exchange
¹    In addition to the New York Stock Exchange, Caterpillar common stock is also listed on stock exchanges in France and Switzerland.
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     No  
Indicate by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted 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 such files).  Yes   No
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, smaller reporting company, or an emerging growth company.  See definitions of “large accelerated filer,” “accelerated filer,” “smaller reporting company,” and “emerging growth company” in Rule 12b-2 of the Exchange Act. 
Large accelerated filerAccelerated filer
Non-accelerated filerSmaller reporting company
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.
Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act).  Yes   No

At September 30, 2020, 543,258,283 shares of common stock of the registrant were outstanding.


Table of Contents
Table of Contents
 
 
   
 
Item 3.Defaults Upon Senior Securities*
Item 4.Mine Safety Disclosures*
Item 5.Other Information*
 
* Item omitted because no answer is called for or item is not applicable.

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Table of Contents
Part I.  FINANCIAL INFORMATION
 
Item 1.  Financial Statements
Caterpillar Inc.
Consolidated Statement of Results of Operations
(Unaudited)
(Dollars in millions except per share data)
 Three Months Ended September 30
 20202019
Sales and revenues:  
Sales of Machinery, Energy & Transportation$9,228 $11,974 
Revenues of Financial Products653 784 
Total sales and revenues9,881 12,758 
Operating costs:  
Cost of goods sold6,919 8,569 
Selling, general and administrative expenses1,126 1,251 
Research and development expenses344 431 
Interest expense of Financial Products137 189 
Other operating (income) expenses370 298 
Total operating costs8,896 10,738 
Operating profit985 2,020 
Interest expense excluding Financial Products136 103 
Other income (expense)14 88 
Consolidated profit before taxes863 2,005 
Provision (benefit) for income taxes187 518 
Profit of consolidated companies676 1,487 
Equity in profit (loss) of unconsolidated affiliated companies(5)7 
Profit of consolidated and affiliated companies671 1,494 
Less: Profit (loss) attributable to noncontrolling interests3  
Profit 1
$668 $1,494 
Profit per common share$1.23 $2.69 
Profit per common share – diluted 2
$1.22 $2.66 
Weighted-average common shares outstanding (millions)  
– Basic542.3 556.3 
– Diluted 2
546.4 561.2 
 
1    Profit attributable to common shareholders.
2   Diluted by assumed exercise of stock-based compensation awards using the treasury stock method.
 
See accompanying notes to Consolidated Financial Statements.
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Caterpillar Inc.
Consolidated Statement of Comprehensive Income
(Unaudited)
(Dollars in millions)
 Three Months Ended September 30
 20202019
Profit of consolidated and affiliated companies$671 $1,494 
Other comprehensive income (loss), net of tax:
   Foreign currency translation, net of tax (provision)/benefit of: 2020- $21; 2019 - $(21)
291 (263)
   Pension and other postretirement benefits:
        Current year prior service credit (cost), net of tax (provision)/benefit of: 2020 - $1; 2019 - $0
(1) 
        Amortization of prior service (credit) cost, net of tax (provision)/benefit of: 2020 - $2; 2019 - $2
(7)(8)
   Derivative financial instruments:
        Gains (losses) deferred, net of tax (provision)/benefit of: 2020 - $(2); 2019 - $(16)
3 59 
        (Gains) losses reclassified to earnings, net of tax (provision)/benefit of: 2020 - $(20); 2019 - $20
73 (76)
   Available-for-sale securities:
        Gains (losses) deferred, net of tax (provision)/benefit of: 2020 - $0; 2019 - $(2)
8 4 
Total other comprehensive income (loss), net of tax367 (284)
Comprehensive income1,038 1,210 
Less: comprehensive income attributable to the noncontrolling interests3  
Comprehensive income attributable to shareholders$1,035 $1,210 

See accompanying notes to Consolidated Financial Statements.

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Caterpillar Inc.
Consolidated Statement of Results of Operations
(Unaudited)
(Dollars in millions except per share data)
 Nine Months Ended September 30
 20202019
Sales and revenues:  
Sales of Machinery, Energy & Transportation$28,452 $38,369 
Revenues of Financial Products2,061 2,287 
Total sales and revenues30,513 40,656 
Operating costs:  
Cost of goods sold21,298 27,513 
Selling, general and administrative expenses3,426 3,879 
Research and development expenses1,041 1,307 
Interest expense of Financial Products461 571 
Other operating (income) expenses1,114 946 
Total operating costs27,340 34,216 
Operating profit3,173 6,440 
Interest expense excluding Financial Products384 309 
Other income (expense)265 316 
Consolidated profit before taxes3,054 6,447 
Provision (benefit) for income taxes839 1,470 
Profit of consolidated companies2,215 4,977 
Equity in profit (loss) of unconsolidated affiliated companies8 20 
Profit of consolidated and affiliated companies2,223 4,997 
Less: Profit (loss) attributable to noncontrolling interests5 2 
Profit 1
$2,218 $4,995 
Profit per common share$4.08 $8.84 
Profit per common share – diluted 2
$4.05 $8.75 
Weighted-average common shares outstanding (millions) 
– Basic543.9 565.2 
– Diluted 2
547.8 570.8 

1    Profit attributable to common shareholders.
2   Diluted by assumed exercise of stock-based compensation awards using the treasury stock method.
 
See accompanying notes to Consolidated Financial Statements.

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Table of Contents
Caterpillar Inc.
Consolidated Statement of Comprehensive Income
(Unaudited)
(Dollars in millions)
 Nine Months Ended September 30
 20202019
Profit of consolidated and affiliated companies$2,223 $4,997 
Other comprehensive income (loss), net of tax:
   Foreign currency translation, net of tax (provision)/benefit of: 2020 - $20; 2019 - $(19)
106 (186)
   Pension and other postretirement benefits:
        Current year prior service credit (cost), net of tax (provision)/benefit of: 2020 - $1; 2019 - $0
1  
        Amortization of prior service (credit) cost, net of tax (provision)/benefit of: 2020 - $7; 2019 - $8
(21)(22)
   Derivative financial instruments:
        Gains (losses) deferred, net of tax (provision)/benefit of: 2020 - $21; 2019 - $(15)
(72)53 
        (Gains) losses reclassified to earnings, net of tax (provision)/benefit of: 2020 - $(22); 2019 - $23
76 (86)
   Available-for-sale securities:
        Gains (losses) deferred, net of tax (provision)/benefit of: 2020 - $(9); 2019 - $(10)
29 34 
Total other comprehensive income (loss), net of tax119 (207)
Comprehensive income2,342 4,790 
Less: comprehensive income attributable to the noncontrolling interests5 2 
Comprehensive income attributable to shareholders$2,337 $4,788 

See accompanying notes to Consolidated Financial Statements.



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Caterpillar Inc.
Consolidated Statement of Financial Position
(Unaudited)
(Dollars in millions) 
 September 30,
2020
December 31,
2019
Assets  
Current assets:  
Cash and short-term investments$9,315 $8,284 
Receivables – trade and other6,969 8,568 
Receivables – finance8,966 9,336 
Prepaid expenses and other current assets1,831 1,739 
Inventories11,453 11,266 
Total current assets38,534 39,193 
Property, plant and equipment – net12,232 12,904 
Long-term receivables – trade and other1,149 1,193 
Long-term receivables – finance12,209 12,651 
Noncurrent deferred and refundable income taxes1,440 1,411 
Intangible assets1,363 1,565 
Goodwill6,304 6,196 
Other assets3,510 3,340 
Total assets$76,741 $78,453 
Liabilities  
Current liabilities:  
Short-term borrowings:  
Machinery, Energy & Transportation$ $5 
Financial Products2,660 5,161 
Accounts payable5,193 5,957 
Accrued expenses3,510 3,750 
Accrued wages, salaries and employee benefits1,069 1,629 
Customer advances1,209 1,187 
Dividends payable 567 
Other current liabilities1,978 2,155 
Long-term debt due within one year:  
Machinery, Energy & Transportation1,397 16 
Financial Products7,962 6,194 
Total current liabilities24,978 26,621 
Long-term debt due after one year:  
Machinery, Energy & Transportation9,742 9,141 
Financial Products16,365 17,140 
Liability for postemployment benefits6,254 6,599 
Other liabilities4,408 4,323 
Total liabilities61,747 63,824 
Commitments and contingencies (Notes 11 and 14)
Shareholders’ equity  
Common stock of $1.00 par value:
  
Authorized shares: 2,000,000,000
Issued shares: (9/30/20 and 12/31/19 – 814,894,624) at paid-in amount
6,204 5,935 
Treasury stock (9/30/20 – 271,636,341 shares; 12/31/19 – 264,812,014 shares) at cost
(25,315)(24,217)
Profit employed in the business35,508 34,437 
Accumulated other comprehensive income (loss)(1,448)(1,567)
Noncontrolling interests45 41 
Total shareholders’ equity14,994 14,629 
Total liabilities and shareholders’ equity$76,741 $78,453 
 
See accompanying notes to Consolidated Financial Statements.
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Caterpillar Inc.
Consolidated Statement of Changes in Shareholders’ Equity
(Unaudited)
(Dollars in millions) 
 Common
stock
Treasury
stock
Profit
employed
in the
business
Accumulated
other
comprehensive
income (loss)
Noncontrolling
interests
Total
Three Months Ended September 30, 2019      
Balance at June 30, 2019$5,822 $(22,467)$32,981 $(1,499)$41 $14,878 
Profit of consolidated and affiliated companies  1,494   1,494 
Foreign currency translation, net of tax   (263) (263)
Pension and other postretirement benefits, net of tax   (8) (8)
Derivative financial instruments, net of tax   (17) (17)
Available-for-sale securities, net of tax   4  4 
Common shares issued from treasury stock for stock-based compensation: 404,606
 20    20 
Stock-based compensation expense57     57 
Common shares repurchased: 10,335,410 1
 (1,246)   (1,246)
Other72  2   74 
Balance at September 30, 2019$5,951 $(23,693)$34,477 $(1,783)$41 $