0000018230false00000182302023-12-122023-12-120000018230us-gaap:CommonStockMember2023-12-122023-12-120000018230cat:A5.3DebenturesDueSeptember152035Member2023-12-122023-12-12

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
caterpillarlogo.jpg
FORM8-K
Current Report
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

Date of Report (Date of earliest event reported):December 12, 2023
CATERPILLAR INC.
(Exact name of registrant as specified in its charter)
Delaware1-76837-0602744
(State or other jurisdiction of incorporation)
 (Commission File Number)
 (I.R.S Employer Identification No.)
5205 N. O'Connor Blvd.Suite 100,Irving,Texas75039
(Address of principal executive offices)(Zip Code)
Registrant’s telephone number, including area code:(972) 891-7700
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 classTrading Symbol (s)Name of each exchange which registered
Common Stock ($1.00 par value)CATThe New York Stock Exchange
5.3% Debentures due September 15, 2035CAT35The New York Stock Exchange
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.☐





Item 8.01. Other Events.

As previously announced on October 16, 2023, Caterpillar Inc. (the “Company”) appointed Joseph E. Creed, the Company’s former Group President of Energy & Transportation, as the Company’s Chief Operating Officer, effective November 1, 2023. On December 12, 2023, the Board of Directors of the Company named Jason Kaiser as Group President of Energy & Transportation, effective January 1, 2024.

A copy of the Company’s press release announcing the appointment of Mr. Kaiser is attached as Exhibit 99.1 to this Form 8-K and incorporated herein by reference.

Item 9.01. Financial Statements and Exhibits.
(d)Exhibits:
The following is furnished as an exhibit to this report:
99.1
104The 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.
December 14, 2023By:/s/ Derek Owens
Derek Owens
Senior Vice President and General Counsel


Exhibit 99.1
image_1.jpg image_0.jpg

Caterpillar contact:
Tiffany Heikkila
Global Government & Corporate Affairs
Mobile: 832-573-0958
Tiffany.Heikkila@cat.com

FOR IMMEDIATE RELEASE

Caterpillar Appoints New Energy & Transportation Group President

IRVING, Texas, Dec. 14, 2023 – Caterpillar Inc. (NYSE: CAT) announced today that Jason Kaiser, senior vice president of the Electric Power Division, has been appointed to Group President of the Energy & Transportation (E&T) segment, effective Jan. 1, 2024.

In this role, Kaiser will have responsibility for the Rail Division, Solar Turbines, Large Power Systems Division, Industrial Power Systems Division, Electric Power Division (EPD), Caterpillar Oil & Gas and Marine Division (COGMD), Cat Reman® and Electrification and Energy Solutions Division.

“Jason’s extensive experience in engineering, product management and operations makes him well-suited to lead our Energy & Transportation segment,” said Caterpillar Chairman and CEO Jim Umpleby. “Jason leads with our Values at the forefront and will continue to make a positive impact within E&T and across our broader Caterpillar team.”

Since joining Caterpillar in 2000, Kaiser has held numerous roles in engineering, sales and operations with increasing responsibility across the electric power business.

Kaiser graduated from Rose-Hulman Institute of Technology with a bachelor’s degree in electrical engineering.
# # #

About Caterpillar With 2022 sales and revenues of $59.4 billion, Caterpillar Inc. is the world's leading manufacturer of construction and mining equipment, off-highway diesel and natural gas engines, industrial gas turbines and diesel-electric locomotives. For nearly 100 years, we've been helping customers build a better, more sustainable world and are committed and contributing to a reduced-carbon future. Our innovative products and services, backed by our global dealer network, provide exceptional value that helps customers succeed. Caterpillar does business on every continent, principally operating through three primary segments – Construction Industries, Resource Industries and Energy & Transportation – and providing financing and related services through our Financial Products segment. Visit us at caterpillar.com or join the conversation on our social media channels at caterpillar.com/en/news/social-media.html.

v3.23.3
Cover Page Cover Page
Dec. 12, 2023
Entity Information [Line Items]  
Document Type 8-K
Document Period End Date Dec. 12, 2023
Entity Registrant Name CATERPILLAR INC.
Entity Incorporation, State or Country Code DE
Entity File Number 1-768
Entity Tax Identification Number 37-0602744
Entity Address, Address Line One 5205 N. O'Connor Blvd.
Entity Address, Address Line Two Suite 100,
Entity Address, City or Town Irving,
Entity Address, State or Province TX
Entity Address, Postal Zip Code 75039
City Area Code (972)
Local Phone Number 891-7700
Written Communications false
Soliciting Material false
Pre-commencement Tender Offer false
Pre-commencement Issuer Tender Offer false
Entity Emerging Growth Company false
Entity Central Index Key 0000018230
Amendment Flag false
Common Stock  
Entity Information [Line Items]  
Title of 12(b) Security Common Stock ($1.00 par value)
Trading Symbol CAT
Security Exchange Name NYSE
5.3% Debentures Due September 15, 2035  
Entity Information [Line Items]  
Title of 12(b) Security 5.3% Debentures due September 15, 2035
Trading Symbol CAT35
Security Exchange Name NYSE
Caterpillar (NYSE:CAT)
Historical Stock Chart
Von Jun 2024 bis Jul 2024 Click Here for more Caterpillar Charts.
Caterpillar (NYSE:CAT)
Historical Stock Chart
Von Jul 2023 bis Jul 2024 Click Here for more Caterpillar Charts.