What is the primary purpose of this 8-K filing?

The primary purpose of this 8-K filing is to provide supplemental, unaudited information on dealer statistics for Caterpillar's retail sales of machines and engines. This data is intended to help investors better understand the company's business trends and the industries it serves by offering insights into sales performance ahead of formal financial reporting.

How should investors interpret the 'UP' and 'DOWN' percentages in the dealer statistics?

The 'UP' and 'DOWN' percentages indicate the year-over-year change in retail sales volume (in constant dollars) for the specified period (a three-month rolling average ending March 2011) compared to the same three-month period in the prior year. For example, 'UP 61%' for World machine sales means that worldwide retail deliveries of machines increased by 61% in the three months ending March 2011 compared to the same period in 2010.

Is this dealer statistics data subject to Caterpillar's internal financial controls?

No, the dealer statistics provided in this filing are based on unaudited reports from Caterpillar's independent dealers and are not subject to Caterpillar's internal controls over financial reporting. Therefore, investors should view this information as supplementary and indicative rather than as audited financial results.

Why does Caterpillar provide this dealer-specific information?

Caterpillar provides this information because there is a time delay between when Caterpillar sells to its dealers and when dealers deliver to end-users. By sharing these dealer statistics, the company aims to offer a timelier, albeit unaudited, perspective on sales activity and demand trends in the markets it serves.

CAT 8-K: Regulation FD — Apr 29, 2011

Summary

Caterpillar Inc. (CAT) filed an 8-K on April 29, 2011, primarily to disclose supplemental information regarding dealer statistics for retail sales of machines and engines. This data, based on unaudited reports from independent dealers, provides a snapshot of sales trends for the three-month rolling period ending March 2011, compared to the prior year. The company uses this information, calculated in constant dollars, to help investors better understand business performance and industry dynamics, acknowledging the time lag between Caterpillar's sales to dealers and end-user deliveries. The disclosed figures show robust year-over-year growth across most marketing regions for machine sales, with the world experiencing a 61% increase for the three months ending March 2011. Notably, Latin America and EAME (Europe, Africa, and Middle East) led the growth in machine deliveries. For engine sales, the overall trend was also positive, with a 45% global increase, driven significantly by the Electric Power and Petroleum sectors. However, the Marine engine segment experienced a notable decline.

Key Highlights

1Caterpillar is providing supplemental, unaudited dealer statistics for retail sales of machines and engines, calculated in constant dollars.
2Machine retail sales showed significant global growth, with a 61% increase for the three months ending March 2011 compared to the prior year.
3Latin America (75% increase) and EAME (63% increase) were particularly strong performing regions for machine sales in the latest three-month period.
4North America also demonstrated strong growth in machine sales, up 57% year-over-year.
5Engine sales saw a global increase of 45% for the three months ending March 2011.
6The Petroleum (71% increase) and Electric Power (57% increase) engine sectors showed particularly strong demand.
7The Marine engine segment experienced a significant decline in sales, down 33% year-over-year.

CATERPILLAR INC 8-K Report, Regulation FD Disclosure (Apr 29, 2011)

Summary

Key Highlights

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