Summary
Caterpillar Inc. (CAT) filed an amendment to its 2001 Form 10-K on May 23, 2002. This amendment primarily serves to include new exhibits related to the company's employee investment and savings plans (Form 11-K filings) and to revise the previously filed list of subsidiaries and affiliates (Exhibit 21). The core financial performance and operational details from the original 10-K filing are not substantively altered by this amendment, but investors should note the addition of these employee benefit plan disclosures, which provide insight into the company's structure and how it manages employee savings and investments. The filing confirms that Caterpillar Inc. has met its reporting requirements under Section 13 or 15(d) of the Securities Exchange Act of 1934 for the preceding 12 months and the past 90 days. As of December 31, 2001, the company had approximately 343.4 million shares of common stock outstanding, with a market value of over $17.6 billion held by non-affiliates, indicating a significant market capitalization at the time.
Key Highlights
- 1Amendment to the 2001 Form 10-K filed on May 23, 2002, primarily for exhibit additions.
- 2New exhibits include Form 11-K filings for Caterpillar's Employee Investment Plan, Savings and Investment Plan, and Solar Turbines Incorporated Savings and Investment Plan.
- 3Revised Exhibit 21, detailing the company's Subsidiaries and Affiliates.
- 4Confirms compliance with all required SEC filings for the preceding 12 months and the past 90 days.
- 5As of December 31, 2001, Caterpillar had 343,376,444 shares of common stock outstanding.
- 6The aggregate market value of the common stock held by non-affiliates was $17,667,556,467 as of December 31, 2001.