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UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C. 20549
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FORM
8-K
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Current
Report
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Pursuant
to
Section 13 or 15(d) of the Securities Exchange Act of 1934
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Date
of
Report (Date of earliest event reported): October 10,
2007
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CATERPILLAR
INC.
(Exact
name
of registrant as specified in its charter)
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Delaware
(State
or
other jurisdiction of incorporation)
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1-768
(Commission
File Number)
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37-0602744
(IRS
Employer
Identification No.)
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100
NE Adams Street, Peoria, Illinois
(Address
of
principal executive offices)
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61629
(Zip
Code)
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Registrant's
telephone number, including area code: (309)
675-1000
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Former
name
or former address, if changed since last
report: N/A
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Check
the
appropriate box below if the Form 8-K filing is intended to simultaneously
satisfy the filing obligation of the registrant under any of the
following
provisions:
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o
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Written
communications pursuant to Rule 425 under the Securities Act (17
CFR
230.425)
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o
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Soliciting
material pursuant to Rule 14a-12 under the Exchange Act (17 CFR
230.425)
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o
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Pre-commencement
communications pursuant to Rule 14d-2(b) under the Exchange Act (17
CFR
240.14d-2(b))
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o
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Pre-commencement
communications pursuant to Rule 13e-4(c) under the Exchange Act (17
CFR
240.13e-4(c))
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Page
1
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Item 5.02.
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Departure
of Directors or Certain Officers; Election of Directors; Appointment
of
Certain Officers; Compensatory Arrangements of Certain
Officers.
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Officer
Retirement
On
October 12,
2007, Caterpillar Inc. (the “Company”) announced the retirement of Mr. Gerald L.
Shaheen, Group President of the Company, effective February 1, 2008, after
40
years of service to the Company. A press release announcing Mr.
Shaheen’s retirement was issued today by the Company and is attached as Exhibit
99.1 to this Form 8-K.
Election
of Group Presidents
On
October 10,
2007, the Company’s Board of Directors (the “Board”) elected Messrs. Richard P.
Lavin and Edward J. Rapp each as Group President of the Company, bringing the
total number of Company Group Presidents to six. Both appointments
are effective December 1, 2007.
Mr.
Lavin has been
serving the Company since 2004 as Vice President with responsibility for the
Company’s Asia Pacific Operations. Mr. Lavin also served as Vice
President, Human Service Division from 2001 to 2004. Mr. Lavin joined
the Company in 1984 as an attorney in what is now the Legal Services
Division. In addition, during his employment with the Company, Mr.
Lavin held several senior positions in Hong Kong, Bangalore, India and
Tokyo, Japan. Mr. Lavin received his Bachelors of Arts degree in
Sociology/English from Western Illinois University in 1975, Juris Doctor from
Creighton University in 1980 and LL.M in 1982 from Georgetown University. Mr.
Lavin also completed a Brookings Institute business program.
Mr.
Rapp has been
serving the Company since 2004 as Vice President with global responsibility
for
the Building Construction Products Division. Mr. Rapp also served as
Vice President with responsibility for the Marketing Division for the
Europe-Africa-Middle East (EAME) region. Mr. Rapp joined the Company
in 1979 as a pricing analyst and held various management positions within the
Company, including positions in Johannesburg, South Africa and Geneva,
Switzerland. Mr. Rapp holds a Bachelors of Arts degree in finance
from the University of Missouri-Columbia and is a graduate of the University
of
Illinois Executive Development program. He is a board member for
Mitsubishi/Cat Forklift JV and for NC State University, College of
Management. He is also on the Board of Advisors for the Raleigh
Chamber of Commerce.
A
press release
announcing the appointment of Messrs. Lavin and Rapp was issued today by the
Company and is attached as Exhibit 99.1 to this Form 8-K.
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Item 8.01.
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Other
Events
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Organizational
Changes
The
following
organizational changes will take place at the vice president level:
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Retirement
of
Mr. William D. Mayo, former Vice President of the North America Commercial
Division (“NACD”), effective February 1,
2008;
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·
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Mr.
James J.
Parker (formerly the Vice President, Power Systems and OEM Solutions
Divisions) will replace Mr. Mayo as Vice President, NACD, effective
December 1, 2007;
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·
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Ms.
Mary H.
Bell (formerly, Vice President, Logistics Division) will replace
Mr.
Edward J. Rapp as Vice President, Building Construction Products
Division,
effective December 1, 2007.
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Election
of Vice Presidents
On
October 10,
2007, the Board elected the following Vice Presidents, effective December 1,
2007:
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·
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Election
of
Mr. Stephen J. Larson to replace Ms. Bell as Vice President, Logistics
Division;
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·
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Election
of
Mr. Thomas J. Bluth to replace Mr. Richard P. Lavin as Vice President,
Asia Pacific Operations; and
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·
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Election
of
Mr. Richard J. Case as Vice President of the newly formed Marine
and
Petroleum Power Division.
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Page
2
Formation
of New Engine Division
The
Company will
form a new division to be known as the Marine and Petroleum Power
Division. The new division will be responsible for sales and product
support for the global marine business, serving customers and Caterpillar
dealers around the world. This will include MaK brand products and MaK
manufacturing operations in Germany and China. This new division will
provide intense focus for Caterpillar dealers and customers operating in the
petroleum industry around the world.
Reorganization
of the Engine Business
The
creation of the
new Marine and Petroleum Power Division also coincides with other organizational
changes in Caterpillar’s engine business as the Company continues to align its
operations, marketing and sales efforts to better serve our
customers.
As
part of this
reorganization, Caterpillar’s On-Highway Engine Marketing Division, which now
reports to Mr. James J. Parker, will move to Mr. Gary L. Stroup, Caterpillar
Vice President with responsibility for the Large Power Systems
Division. This move will bring all on-highway truck manufacturing
operations and sales and marketing efforts into a single division.
The
details of Mr.
Mayo’s retirement and the appointments and changes in the responsibilities of
certain officers and the reorganization of the engine business are provided
in
the press release issued today by the Company, which is attached as Exhibit
99.2
to this form 8-K.
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(d)
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Exhibits:
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99.1
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Caterpillar
Inc. Press Release dated October 12, 2007, announcing the retirement
of
Mr. Gerald L. Shaheen and the election of Messrs. Richard P. Lavin
and
Edward J. Rapp as Group Presidents, and the realignment of the Executive
Office responsibilities.
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99.2
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Caterpillar
Inc. Press Release dated October 12, 2007, announcing the retirement
of
Mr. William D. Mayo; elections and changes in the responsibilities
of
certain vice presidents; and reorganization of Caterpillar Inc.’s engine
business.
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* * * *
*
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SIGNATURES
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Pursuant
to
the requirements of the Securities Exchange Act of 1934, the registrant
has duly caused this report to be signed on its behalf by the undersigned
thereunto duly authorized.
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CATERPILLAR
INC.
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October
12,
2007
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By:
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/s/ James B. Buda |
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James
B.
Buda
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Vice
President
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