CATERPILLAR INC
10-K/A, 2000-06-09
CONSTRUCTION MACHINERY & EQUIP
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SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

[CATERPILLAR LOGO]

FORM 10-K/A

(Mark One)

[X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For the fiscal year ended December 31, 1999

OR


[   ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For the transition period from __________ to __________.

Commission File No. 1-768

CATERPILLAR INC.
(Exact name of Registrant as specified in its charter)

Delaware
(State or other jurisdiction of incorporation)

1-768
(Commission File Number)

100 NE Adams Street, Peoria, Illinois
(Address of principal executive offices)
37-0602744
(IRS Employer I.D. No.)

61629
(Zip Code)

Registrant’s telephone number, including area code: (309) 675-1000



Securities registered pursuant to Section 12(b) of the Act:



Title of each class

Common Stock ($1.00 par value)


Preferred Stock Purchase Rights


9 3/8% Notes due July 15, 2000
9 3/8% Notes due July 15, 2001
9% Debentures due April 15, 2006
6% Debentures due May 1, 2007
9 3/8% Debentures due August 15, 2011
9 3/4% Sinking Fund Debentures due  June 1, 2019
9 3/8% Debentures due March 15, 2021
8% Debentures due February 15, 2023
Name of each exchange
on which registered


Chicago Stock Exchange
New York Stock Exchange
Pacific Exchange, Inc.
Chicago Stock Exchange
New York Stock Exchange
Pacific Exchange, Inc.
New York Stock Exchange
New York Stock Exchange
New York Stock Exchange
New York Stock Exchange
New York Stock Exchange
New York Stock Exchange
New York Stock Exchange
New York Stock Exchange

Securities registered pursuant to Section 12(g) of the Act:   NONE

Indicate by check mark whether the Registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the Registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days.   Yes |X| No |_|.

Indicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K is not contained herein, and will not be contained, to the best of Registrant’s knowledge, in definitive proxy or information statements incorporated by reference in Part III of this Form 10-K or any amendment to this Form 10-K.   |_|

As of December 31, 1999, there were 353,777,881 shares of common stock of the Registrant outstanding, and the aggregate market value of the voting stock held by non-affiliates of the Registrant (assuming only for purposes of this computation that directors and officers may be affiliates) was $16,432,866,117.

Documents Incorporated by Reference

NONE.

The undersigned registrant hereby amends its Form 10-K filed with the Securities and Exchange Commission for the year ended December 31, 1999 to reflect the inclusion of the name and signature of auditor, PriceWaterhouseCoopers, to the three Reports and Consents of Independent Accountants in connection with the incorporation of PriceWaterhouseCoopers' report related to the financial statements of the Company's Employee Investment Plan, Tax Deferred Savings Plan, and Solar Turbines Incorporated Savings and Investment Plan which were included in the Amended Annual Report on Form 11-K.

 



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Part IV   Item 14.   Exhibits, Financial Statement Schedules,  
           and Reports on Form 8-K      


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