CATERPILLAR INC
For the period ended Mar 31, 2024. Filed May 1, 2024.
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A company's report for each of its first three quarters. The financial statements are not audited. It shows how the business has moved since the last annual report, and what management says changed.
Mar 31, 2024 · Filed May 1, 2024
Extracted filing text, with the paragraph anchors used by the comparison.
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Item 6. Exhibits
| 10.1 | Form of Restricted Stock Unit Award pursuant to the 2023 Long-Term Incentive Plan* |
| 10.2 | Form of Restricted Stock Unit Award for Directors pursuant to the 2023 Long-Term Incentive Plan* |
| 10.3 | Form of Nonqualified Stock Options Award pursuant to the 2023 Long-Term Incentive Plan* |
| 10.4 | Form of Performance-Based Restricted Stock Unit Award pursuant to the 2023 Long-Term Incentive Plan* |
| 10.5 | Consulting Agreement between Suzette M. Long and Caterpillar Inc., dated January 29, 2024 |
| 31.1 | Certification of Chief Executive Officer of Caterpillar Inc., as required pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 |
| 31.2 | Certification of Chief Financial Officer of Caterpillar Inc., as required pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 |
| 32 | Certification of Chief Executive Officer of Caterpillar Inc. and Chief Financial Officer of Caterpillar Inc., as required pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 |
| 101.INS | Inline XBRL Instance Document (the instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document) |
| 101.SCH | Inline XBRL Taxonomy Extension Schema Document |
| 101.CAL | Inline XBRL Taxonomy Extension Calculation Linkbase Document |
| 101.DEF | Inline XBRL Taxonomy Extension Definition Linkbase Document |
| 101.LAB | Inline XBRL Taxonomy Extension Label Linkbase Document |
| 101.PRE | Inline XBRL Taxonomy Extension Presentation Linkbase Document |
| 104 | Cover Page Interactive File (embedded within the Inline XBRL document and included in Exhibit 101) |
*Management contracts and compensatory plans and arrangements required to be filed as exhibits pursuant to Item 6 of this report.
The agreements and other documents filed as exhibits to this report are not intended to provide factual information or other disclosure other than with respect to the terms of the agreements or other documents themselves, and you should not rely on them for that purpose. In particular, any representations and warranties made by us in these agreements or other documents were made solely within the specific context of the relevant agreement or document and may not describe the actual state of affairs as of the date they were made or at any other time.
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 thereunto duly authorized.
| CATERPILLAR INC. | ||
| May 1, 2024 | /s/ D. James Umpleby III | Chairman of the Board and Chief Executive Officer |
|---|---|---|
| D. James Umpleby III | ||
| May 1, 2024 | /s/ Andrew R.J. Bonfield | Chief Financial Officer |
| Andrew R.J. Bonfield | ||
| May 1, 2024 | /s/ Derek Owens | Chief Legal Officer and General Counsel |
| Derek Owens | ||
| May 1, 2024 | /s/ William E. Schaupp | Vice President and Chief Accounting Officer |
| William E. Schaupp |
The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.