SD 1 conflictsmineralsreport-fy.htm SD Document

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

FORM SD

SPECIALIZED DISCLOSURE REPORT


CATERPILLAR INC.
(Exact name of the registrant as specified in its charter)



Delaware    1-768     37-0602744
(State or other jurisdiction of
incorporation or organization)
(Commission
File Number)
(IRS Employer
Identification No.)



510 Lake Cook Road, Suite 100, Deerfield, Illinois        60015
(Address of principal executive offices)    (Zip code)

    
Suzette M. Long, Chief Legal Officer and General Counsel     224-551-4000
(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, 2020.


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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, 2020 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




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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)


/s/ Denise C. JohnsonMay 19, 2021
By: Denise C. Johnson(Date)
Group President, Resource Industries




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