What is the primary purpose of this 10-K filing?

This filing is an amendment (10-K/A) to Caterpillar's original 2003 Form 10-K. Its main purpose is to update and clarify filings related to the company's employee benefit plans (like the Employees' Investment Plan, Savings and Investment Plan, Tax Deferred Savings Plan, and 401(k) Plan) and to include certifications required by the Sarbanes-Oxley Act of 2002.

Does this filing contain new financial performance information for 2003?

No, this amendment does not introduce new operational or financial performance results for the fiscal year ended December 31, 2003. It primarily addresses regulatory compliance and reporting updates, rather than presenting revised financial statements or management's discussion and analysis of operational results.

What are the implications of the Sarbanes-Oxley Act certifications?

The inclusion of certifications required by Sections 302 and 960 of the Sarbanes-Oxley Act (SOX) indicates that Caterpillar's senior management is attesting to the accuracy and completeness of the company's financial reporting. This is a crucial aspect of SOX, designed to enhance corporate governance and investor protection by ensuring the reliability of financial disclosures.

What was the market value of Caterpillar's common stock at the end of 2003?

As of December 31, 2003, the aggregate market value of Caterpillar's common stock held by non-affiliates was approximately $28,128,435,330.

CAT 10-K Filed Jun 28, 2004

Summary

Caterpillar Inc.'s 2003 Form 10-K amendment provides an update related to employee benefit plan filings and Sarbanes-Oxley Act (SOX) certifications. For investors, the primary takeaway from this specific amendment is the company's adherence to updated regulatory requirements, particularly those stemming from SOX. The amendment clarifies previous filings and incorporates additional employee savings and investment plans. While not containing significant new operational or financial performance data for 2003, it signals the company's commitment to transparent and compliant financial reporting, a crucial factor for investor confidence.

Key Highlights

1Amendment clarifies previous filings and incorporates additional employee investment plans.
2Includes certifications required by Sections 302 and 960 of the Sarbanes-Oxley Act of 2002.
3Demonstrates Caterpillar's commitment to regulatory compliance and transparent financial reporting.
4The filing is an amendment to the original 2003 Form 10-K, not a new annual report.
5As of December 31, 2003, Caterpillar had approximately 343.76 million shares of common stock outstanding.
6The aggregate market value of voting stock held by non-affiliates as of December 31, 2003, was over $28 billion.

CATERPILLAR INC Annual Report (Amendment), Year Ended Dec 31, 2003

Summary

Key Highlights

Frequently Asked Questions