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

The main purpose of this 8-K filing is to provide investors with supplemental, unaudited information about Caterpillar's dealer statistics for retail sales of machines and power systems. This data offers a look at sales trends at the dealer-to-end-user level, helping to provide context for the company's business and the industries it serves.

Are the sales figures in this report part of Caterpillar's official financial results?

No, the sales figures presented in this 8-K are based on unaudited reports provided by Caterpillar's independent dealers and are not part of Caterpillar's official audited financial statements. The company states that these figures are not subject to Caterpillar's internal controls over financial reporting.

Which regions showed the strongest and weakest performance for machine retail sales?

For the three-month rolling period ending April 2013, Latin America showed the strongest performance with a 28% increase in machine retail sales. The weakest performances were observed in Asia/Pacific (down 20%) and North America (down 18%).

How did the Power Systems segment perform according to these statistics?

The Power Systems segment showed mixed results. While the Transportation sector saw a robust increase of 8%, the Electric Power and Industrial sectors experienced declines. The Petroleum sector also saw a slight decrease. Overall, Power Systems sales were down 5%.

CAT 8-K: Regulation FD — May 20, 2013

Summary

Caterpillar Inc. (CAT) filed an 8-K on May 20, 2013, to provide supplemental information regarding dealer statistics for retail sales of machines and power systems. This filing offers insights into sales trends by marketing region and business sector, based on unaudited reports from independent dealers. While not a financial statement, this data is intended to help investors better understand Caterpillar's business and the industries it serves by providing a look at the flow of goods from dealers to end-users, acknowledging a time lag between Caterpillar's sales to dealers and end-user deliveries. The report indicates a broad decline in retail sales of machines across most regions for the three-month rolling period ending April 2013, with notable year-over-year decreases in Asia/Pacific (down 20%) and North America (down 18%). The 'World' aggregate showed a 9% decline. Conversely, Latin America demonstrated strong growth, up 28%. For Power Systems, the trend was mixed, with Electric Power and Industrial sectors experiencing declines, while Transportation saw significant growth (up 8%). The Petroleum sector experienced a slight decrease. Overall Power Systems sales were down 5%. Investors should note that these figures are in constant dollars and based on unit sales reported by dealers, and Caterpillar explicitly states that actual results may differ materially from forward-looking statements due to various risk factors.

Key Highlights

1Caterpillar is providing supplemental, unaudited dealer statistics on retail sales of machines and power systems.
2Machine retail sales showed a broad decline in most regions for the 3-month period ending April 2013, with Asia/Pacific and North America experiencing significant year-over-year drops.
3Latin America was a standout region with strong positive growth in machine retail sales.
4Power Systems sales experienced mixed performance across sectors, with Transportation showing growth but Electric Power and Industrial declining.
5The 'World' aggregate for machine retail sales declined by 9% year-over-year.
6Data is presented in constant dollars and based on dealer unit sales reports, not Caterpillar's audited financial statements.
7Caterpillar acknowledges potential differences between this supplemental data and actual financial results, citing numerous risk factors.

CATERPILLAR INC 8-K Report, Regulation FD Disclosure (May 20, 2013)

Summary

Key Highlights

Frequently Asked Questions