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SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 8-A
FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES
PURSUANT TO SECTION 12(b) OR (g) OF THE
SECURITIES EXCHANGE ACT OF 1934
CATERPILLAR FINANCIAL SERVICES CORPORATION
(Exact name of registrant as specified in its charter)
Delaware 37-1105865
- ----------------------- -----------------------------------
(State of incorporation (I.R.S. Employer Identification No.
or organization)
3322 West End Avenue, Nashville, TN 37203
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(Address of principal executive offices) (Zip Code)
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If this form relates to the If this form relates to the registration
registration of a class of debt of a class of debt securities and is
securities and is effective upon to become effective simultaneously with
filing pursuant to General the effectiveness of a concurrent
Instructions A(c)(1) please check registration statement under the
the following box [X] Securities Act of 1933 pursuant to
General Instruction A(c)(2) please check
the following box [ ]
===============================================================================
Securities to be registered pursuant to Section 12(b) of the Act:
Title of each class Name of each exchange on which
to be so registered each class is to be registered
- ------------------- ------------------------------
$15,000,000 Principal Amount
8.95% Notes due March 2005 New York Stock Exchange
$10,000,000 Principal Amount
9.50% Notes due February 2007 New York Stock Exchange
$25,000,000 Principal Amount
6.40% Notes due August 2001 New York Stock Exchange
Securities to be registered pursuant to Section 12(g) of the Act:
None
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Item 1. Description of Registrant's Securities to be Registered
A description of the Registrant's 8.95% Notes due March 2005 listed
above to be registered hereby is contained in the "Description of Debt
Securities" set forth in the prospectus dated October 6, 1989, in the
"Description of Notes" in the prospectus supplement dated October 16, 1989, and
in Pricing Supplement No. 22 dated May 17, 1990 thereto (filed pursuant to Rule
424(b)), each filed in connection with the Registrant's Registration Statement
No. 33-31342 under the Securities Act of 1933, as amended, and such descriptions
are incorporated herein by reference.
A description of the Registrant's 9.50% Notes due February 2007 listed
above to be registered hereby is contained in the "Description of Debt
Securities" set forth in the prospectus dated May 23, 1991, in the "Description
of Notes" in the prospectus supplement dated June 10, 1991, and in Pricing
Supplement No. 48 dated January 31, 1992 thereto (filed pursuant to Rule
424(b)), each filed in connection with the Registrant's Registration Statement
No. 33-40446 under the Securities Act of 1933, as amended, and such descriptions
are incorporated herein by reference.
A description of the Registrant's 6.40% Notes due August 2001 listed
above to be registered hereby is contained in the "Description of Debt
Securities" set forth in the prospectus dated June 5, 1995, in the "Description
of Notes" in the prospectus supplement dated June 5, 1995, and in Pricing
Supplement No. 71 dated February 20, 1997 thereto (filed pursuant to Rule
424(b)), each filed in connection with the Registrant's Registration Statement
No. 33-59267 under the Securities Act of 1933, as amended, and such descriptions
are incorporated herein by reference.
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Item 2. Exhibits
Exhibit
Number Exhibit
------- -------
1. (a) Form of Medium-Term Note, Series C (Fixed Rate) (incorporated by
reference from Exhibit 4.1 to the Company's Current Report on
Form 8-K dated October 17, 1989, Commission File No. 0-13295).
(b) Form of Medium-Term Note, Series D (Fixed Rate) (incorporated by
reference from Exhibit 4.1 to the Company's Current Report on
Form 8-K dated June 11, 1991, Commission File No. 0-13295).
(c) Form of Medium-Term Note, Series E (Fixed Rate) (incorporated by
reference from Exhibit 4.8 to the Company's Registration
Statement on Form S-3, Registration No. 33-59267).
2. (a) Indenture, dated as of April 15, 1985, between the Company and
Morgan Guaranty Trust Company of New York, as Trustee,
(incorporated by reference from Exhibit 4.1 to the Company's
Registration Statement on Form S-3, Registration No. 33-2246).
(b) First Supplemental Indenture, dated as of May 22, 1986, amending
the Indenture dated as of April 15, 1985, between the Company and
Morgan Guaranty Trust Company of New York, as Trustee
(incorporated by reference from Exhibit 4.1 to the Company's
Quarterly Report on Form 10-Q for the quarter ended June 20,
1986, Commission File No. 0-13295).
(c) Second Supplemental Indenture, dated as of March 15, 1987,
amending the Indenture dated as of April 15, 1985, between the
Company and Morgan Guaranty Trust Company of New York, as Trustee
(incorporated by reference from Exhibit 4.3 to the Company's
Current Report on Form 8-K dated April 24, 1987, Commission File
No. 0-13295).
(d) Third Supplemental Indenture, dated as of October 2, 1989,
amending the Indenture dated as of April 15, 1985, between the
Company and Morgan Guaranty Trust Company of New York, as Trustee
(incorporated by reference from Exhibit 4.3 to the Company's
Current Report on Form 8-K, dated October 16, 1989, Commission
File No. 0-13295).
(e) Fourth Supplemental Indenture, dated as of October 1, 1990,
amending the Indenture dated as of April 15, 1985, between the
Company and Morgan Guaranty Trust Company of New York, as Trustee
(incorporated by reference from Exhibit 4.3 to the Company's
Current Report on Form 8-K, dated October 29, 1990, Commission
File No. 0-13295).
(f) Support Agreement, dated as of December 21, 1984, between the
Company and Caterpillar Inc. (incorporated by reference from
Exhibit 4.2 to the Company's Form 10, as amended, Commission File
No. 0-13295).
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(g) First Amendment to the Support Agreement dated June 14, 1995
between the Company and Caterpillar Inc. (incorporated by
reference from Exhibit 4 to the Company's Current Report on Form
8-K dated June 14, 1995, Commission File No. 0-13295).
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SIGNATURE
Pursuant to the requirements of Section 12 of the Securities Exchange
Act of 1934, the Registrant has duly caused this registration statement to be
signed on its behalf by the undersigned, thereto duly authorized.
CATERPILLAR FINANCIAL SERVICES
CORPORATION
Date: October 24, 1997 By /s/ J.S. Beard
---------------------
J.S. Beard, President
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EXHIBIT LIST
Exhibit
Number Exhibit
------ -------
1. (a) Form of Medium-Term Note, Series C (Fixed Rate) (incorporated by
reference from Exhibit 4.1 to the Company's Current Report on
Form 8-K dated October 17, 1989, Commission File No. 0-13295).
(b) Form of Medium-Term Note, Series D (Fixed Rate) (incorporated by
reference from Exhibit 4.1 to the Company's Current Report on
Form 8-K dated June 11, 1991, Commission File No. 0-13295).
(c) Form of Medium-Term Note, Series E (Fixed Rate) (incorporated by
reference from Exhibit 4.8 to the Company's Registration
Statement on Form S-3, Registration No. 33-59267).
2. (a) Indenture, dated as of April 15, 1985, between the Company and
Morgan Guaranty Trust Company of New York, as Trustee,
(incorporated by reference from Exhibit 4.1 to the Company's
Registration Statement on Form S-3, Registration No. 33-2246).
(b) First Supplemental Indenture, dated as of May 22, 1986, amending
the Indenture dated as of April 15, 1985, between the Company and
Morgan Guaranty Trust Company of New York, as Trustee
(incorporated by reference from Exhibit 4.1 to the Company's
Quarterly Report on Form 10-Q for the quarter ended June 20,
1986, Commission File No. 0-13295).
(c) Second Supplemental Indenture, dated as of March 15, 1987,
amending the Indenture dated as of April 15, 1985, between the
Company and Morgan Guaranty Trust Company of New York, as Trustee
(incorporated by reference from Exhibit 4.3 to the Company's
Current Report on Form 8-K dated April 24, 1987, Commission File
No. 0-13295).
(d) Third Supplemental Indenture, dated as of October 2, 1989,
amending the Indenture dated as of April 15, 1985, between the
Company and Morgan Guaranty Trust Company of New York, as Trustee
(incorporated by reference from Exhibit 4.3 to the Company's
Current Report on Form 8-K, dated October 16, 1989, Commission
File No. 0-13295).
(e) Fourth Supplemental Indenture, dated as of October 1, 1990,
amending the Indenture dated as of April 15, 1985, between the
Company and Morgan Guaranty Trust Company of New York, as Trustee
(incorporated by reference from Exhibit 4.3 to the Company's
Current Report on Form 8-K, dated October 29, 1990, Commission
File No. 0-13295).
(f) Support Agreement, dated as of December 21, 1984, between the
Company and Caterpillar Inc. (incorporated by reference from
Exhibit 4.2 to the Company's Form 10, as amended, Commission File
No. 0-13295).
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(g) First Amendment to the Support Agreement dated June 14, 1995
between the Company and Caterpillar Inc. (incorporated by
reference from Exhibit 4 to the Company's Current Report on Form
8-K dated June 14, 1995, Commission File No. 0-13295).
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