10-K/APeriod: FY2001

CATERPILLAR INC Annual Report (Amendment), Year Ended Dec 31, 2001

Filed May 24, 2002For Securities:CAT

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.

Frequently Asked Questions

The primary purpose of this 10-K/A (Annual Report Amendment) filing is to add new exhibits to the original 2001 Form 10-K. These new exhibits include detailed information on the company's employee benefit plans (various Form 11-K filings) and an updated list of subsidiaries and affiliates.

No, this amendment does not alter the core financial results or operational narrative of Caterpillar's 2001 fiscal year as reported in the original 10-K. The changes are limited to the inclusion of additional exhibits and the revision of the subsidiary list.

The new exhibits (Form 11-K) provide financial information and details about the operations of Caterpillar's Employee Investment Plan, Savings and Investment Plan, and the Solar Turbines Incorporated Savings and Investment Plan. This typically includes information on plan assets, contributions, and beneficiaries.

The revised Exhibit 21 provides an updated overview of the companies that are subsidiaries or affiliates of Caterpillar Inc. This helps investors understand the corporate structure and the breadth of the company's operations and legal entities.