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

Filing Date
Filed May 24, 2002
Period End
December 31, 2001
Security
CAT
In the record · 2016–202610-K1110-Q328-K184

CAT filed 11 annual reports (10-K), 32 quarterly reports (10-Q) and 184 current reports (8-K) between 2016 and 2026.

  1. FY2016 annual report10-K · Feb ’17Feb ’17
  2. Material agreement8-K · Sep ’19Sep ’19
  3. Leadership change8-K · Feb ’22Feb ’22
  4. Leadership change8-K · Jan ’26Jan ’26

01—Abstract

Summary

Summary of the 10-K/A filed May 24, 2002. Cited figures are marked; the original filing is the authoritative source.

This is an amendment (Form 10-K/A) to Caterpillar Inc.'s annual report for fiscal year 2001, filed May 24, 2002.

It contains no new consolidated financial statements, MD&A, or business discussion. Its stated purpose is to add Form 11-K exhibits for three employee savings plans (Employees' Investment Plan, Solar Turbines Incorporated Savings and Investment Plan, and Tax Deferred Savings Plan) and to revise Exhibit 21 (Subsidiaries and Affiliates). The filing's cover data show 343,376,444 common shares outstanding at December 31, 2001, and an aggregate market value of non-affiliate voting stock of about $17.67 billiona.

Because the document does not discuss operating results, segment performance, or outlook, it offers little direct information for evaluating Caterpillar's business. The most investor-relevant content is the employee plan data. The Employees' Investment Plan (EIP) reported net assets available for benefits of $2.33 billionb at November 30, 2001, up from $2.15 billion a year earlier.

Roughly $910 millionc of that total was Caterpillar common stock (19.2 million shares), which reflects a $149 million net appreciation in the company stock fund during the period. Plan participation is a meaningful indicator of employee ownership, though these figures describe plan assets rather than company results. The Solar Turbines plan held $32.8 million and the Tax Deferred Savings Plan held $267.7 million at December 31, 2001.

Both feed into a 401(k) Master Trust with $1.70 billiond in net assets, of which the EIP holds about 82%. The filing does not include Exhibit 21's revised content, so any changes to the list of subsidiaries cannot be assessed from this document. Investors seeking Caterpillar's 2001 revenue, earnings, debt, or outlook should consult the original 10-K filing rather than this amendment.

02—Key points

Key Highlights

  1. Filing type: 10-K/A amendment for fiscal year ended December 31, 2001, filed May 24, 2002, adding 11-K exhibits and revising Exhibit 21; no new Caterpillar consolidated financials are included.
  2. Shares outstanding: 343,376,444 common shares as of December 31, 2001.
  3. Non-affiliate market value: approximately $17.67 billion of voting stock (directors and officers assumed to be affiliates for this calculation).
  4. Employees' Investment Plan net assets rose to $2.33 billion at November 30, 2001, from $2.15 billion, with a net increase of $177.5 million.
  5. Caterpillar common stock held by the EIP was valued at $910.4 million (19.2 million shares), up from $728.1 million, driven by a $149.2 million net appreciation.
  6. Plan assets across the three savings plans include $32.8 million (Solar Turbines) and $267.7 million (Tax Deferred Savings Plan), both invested through a 401(k) Master Trust totaling $1.70 billion.
  7. Perkins Engines Retirement Plan merged into the EIP during 2001, transferring $2.4 million in participant account balances.

03—Questions

Frequently Asked Questions

  1. Does this filing include Caterpillar's 2001 financial results?

    No. This 10-K/A only adds Form 11-K exhibits for employee benefit plans and revises Exhibit 21. Caterpillar's consolidated revenue, earnings, and balance sheet for 2001 would be in the original 10-K, not this amendment.

  2. Why was this amendment filed?

    The registrant amended its 2001 Form 10-K to include Form 11-K annual reports for three employee plans (the Employees' Investment Plan, Solar Turbines Savings and Investment Plan, and Tax Deferred Savings Plan) and to revise the previously filed Exhibit 21 listing subsidiaries and affiliates.

  3. How much Caterpillar stock do employees hold through the EIP?

    As of November 30, 2001, the EIP held 19,199,115 shares of Caterpillar common stock valued at about $910.4 million, up from $728.1 million a year earlier. The value increase reflects both share purchases and a $149.2 million net appreciation in the stock fund.

  4. What is the size of Caterpillar's employee savings plans?

    The EIP had $2.33 billion in net assets at November 30, 2001. The Solar Turbines plan held $32.8 million and the Tax Deferred Savings Plan held $267.7 million at December 31, 2001. The EIP and these plans share a 401(k) Master Trust with $1.70 billion in net assets, of which the EIP owns about 82.26%.

  5. Where can investors find information about Caterpillar's business and outlook?

    This amendment does not contain business, risk, or outlook discussion. Investors should review the original Form 10-K for fiscal 2001, along with the company's annual report and quarterly filings, for operating results, segment information, and forward-looking commentary.

04—Continue

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