Summary
Caterpillar Inc. filed a Form 8-K on August 14, 2002, primarily to disclose the filing of sworn statements by its Chairman and CEO, Glen A. Barton, and its CFO, F. Lynn McPheeters. These statements were submitted under oath pursuant to Section 21(a) of the Securities Exchange Act of 1934. The company noted that the furnishing of these statements is not necessarily indicative of requiring Regulation FD disclosure or that the information is otherwise not publicly available, and Caterpillar does not assume an obligation to update this information in the future.
Key Highlights
- 1Caterpillar Inc. filed sworn statements from its CEO and CFO with the SEC.
- 2The statements were filed on August 14, 2002, under Section 21(a) of the Securities Exchange Act of 1934.
- 3Exhibit 99.1 contains the statement from Chairman and CEO Glen A. Barton.
- 4Exhibit 99.2 contains the statement from CFO F. Lynn McPheeters.
- 5The company stated that furnishing these materials is not necessarily a requirement of Regulation FD.
- 6Caterpillar is not obligated to update the information provided in these statements.
- 7The filing does not contain new financial statements or specific operational updates, but rather formal sworn statements.
Frequently Asked Questions
The main purpose of this 8-K filing is to formally submit sworn statements made by Caterpillar's CEO and CFO to the Securities and Exchange Commission (SEC) under oath, as required by Section 21(a) of the Securities Exchange Act of 1934.
No, this filing primarily consists of sworn statements from the CEO and CFO. It does not appear to contain new financial statements or specific operational updates beyond these formal statements.
Section 21(a) of the Securities Exchange Act of 1934 allows the SEC to investigate and gather information. In this context, the company's CEO and CFO have provided sworn statements to the SEC as part of an inquiry or process related to this section.
No, Caterpillar explicitly states in the filing that they do not assume any obligation to update the information provided in these sworn statements in the future.