Summary
Caterpillar Inc.'s (CAT) 2003 Form 10-K/A filing provides an amendment to their annual report, primarily to include an 11-K filing for the Company's Employees' Investment Plan and Sarbanes-Oxley Act certifications. While the filing does not introduce new core financial performance data for the fiscal year ended December 31, 2003, it confirms CAT's status as an accelerated filer and provides details on its listed securities. Investors should note that this amendment focuses on compliance and employee benefit plan disclosure rather than a restatement or addition of the company's main financial results for the period. The filing indicates that as of December 31, 2003, Caterpillar had approximately 343.76 million shares of common stock outstanding, with a market capitalization held by non-affiliates valued at over $28.1 billion. This suggests a significant market presence and investor confidence at the time. The inclusion of employee investment plan details, alongside the required SOX certifications, signals a commitment to corporate governance and transparency.
Key Highlights
- 1Amendment primarily to include the Company's Employees' Investment Plan (11-K filing) and Sarbanes-Oxley Act certifications.
- 2Confirms Caterpillar Inc. is an accelerated filer.
- 3As of December 31, 2003, there were 343,762,040 shares of common stock outstanding.
- 4Aggregate market value of common stock held by non-affiliates was approximately $28.1 billion as of December 31, 2003.
- 5Details common stock and preferred stock purchase rights registered on multiple exchanges, including NYSE, Chicago Stock Exchange, and Pacific Exchange.
- 6Lists several series of registered debentures (9%, 9 3/8%, 8%) with various maturity dates.
- 7No delinquent filer disclosures required to the best of the registrant's knowledge.