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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): January 27,
2010
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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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* * * * * * *
* * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * *
*
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Item
7.01. Regulation FD Disclosure.
Caterpillar Inc.
(“Caterpillar”) is furnishing supplemental information concerning deliveries to
users for its Machinery and Engines lines of business. Caterpillar
sells the majority of its machinery and engines to independently owned and
operated dealers and Original Equipment Manufacturers (“OEMs”) to meet the
demands of their customers, the end users. Due to time delays between
Caterpillar’s sales to dealers and dealers’ deliveries to end users, Caterpillar
believes this information may help readers better understand Caterpillar’s
business and the industries it serves. This information is based on
unaudited reports provided by Caterpillar’s independent dealers and is not
subject to Caterpillar’s internal controls over financial
reporting. This information is furnished under this Report with the
Securities and Exchange Commission. All information provided is
calculated in constant dollars. Caterpillar does not undertake to
update this information.
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* * * * * * *
* * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * *
*
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Caterpillar
Inc.
Past 3 Months Dealer
Statistics
Retail Sales of Machines by
marketing region for the 3-month rolling period compared with the same months of
the prior year are:
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Dec.
09
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Nov.
09
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Oct.
09
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Asia/Pacific
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DOWN
12%
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DOWN
31%
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DOWN
36%
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EAME*
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DOWN
41%
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DOWN
53%
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DOWN
53%
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Latin America
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DOWN
24%
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DOWN
27%
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DOWN
41%
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ROW*
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DOWN
28%
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DOWN
40%
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DOWN
45%
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North
America
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DOWN
46%
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DOWN
54%
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DOWN
58%
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World
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DOWN
35%
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DOWN
45%
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DOWN
50%
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*EAME (Europe,
Africa and Middle East)
*ROW (rest of the
world - everything except North America)
Sales of Reciprocating & Turbine
Engines to Retail Users & OEMs by business sector for the 3-month
rolling period compared with the same months of the prior year are:
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Dec.
09
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Nov.
09
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Oct.
09
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Truck
& Bus
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DOWN
16%
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DOWN
48%
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DOWN
63%
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Electric
Power
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DOWN
27%
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DOWN
35%
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DOWN
27%
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Industrial
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DOWN
44%
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DOWN
47%
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DOWN
49%
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Marine
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DOWN
29%
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DOWN
35%
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DOWN
25%
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Petroleum
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DOWN
46%
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DOWN
29%
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DOWN
19%
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Total
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DOWN
36%
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DOWN
36%
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DOWN
30%
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Page 2
About Caterpillar
Inc.
For 80 years,
Caterpillar Inc. has been building the world’s infrastructure and, in
partnership with its worldwide dealer network, is driving positive and
sustainable change on every continent. With 2008 sales and revenues of $51.324
billion, Caterpillar is a technology leader and the world’s leading manufacturer
of construction and mining equipment, diesel and natural gas engines and
industrial gas turbines. The Company also is a leading services provider through
Caterpillar Financial Services, Caterpillar Remanufacturing Services,
Caterpillar Logistics Services and Progress Rail Services. More information is
available at www.cat.com.
SAFE
HARBOR
Certain statements in this filing relate to future
events and expectations and as such constitute forward-looking statements
involving known and unknown factors that may cause actual results of Caterpillar
Inc. to be different from those expressed or implied in the forward-looking
statements. In this context, words such as "will," “would,” "expect,"
"anticipate," “should” or other similar words and phrases often identify
forward-looking statements made on behalf of Caterpillar. It is important to
note that actual results of the company may differ materially from those
described or implied in such forward-looking statements based on a number of
factors and uncertainties, including, but not limited to, (i) adverse change in
general economic conditions; (ii) adverse change in the industries Caterpillar
serves including construction, infrastructure, mining, energy, marine and
electric power generation; (iii) Caterpillar’s ability to manage material,
including steel, and freight costs; (iv) Caterpillar’s ability to generate cash
from operations, secure external funding for its operations and manage its
liquidity needs; (v) material adverse change in customers’ access to liquidity
and capital; (vi) currency exchange or interest rates changes; (vii) political
stability; (viii) market acceptance of the company's products and services; (ix)
significant changes in the competitive environment; (x) epidemic diseases; (xi)
severe change in weather conditions negatively impacting operations; (xii)
changes in law, regulations and tax rates; and (xiii) other general economic,
business and financing conditions and factors described in more detail in “Item
1A – Risk Factors” in Part II of our Form 10-Q filed with the SEC on July 31,
2009, for the 2nd quarter 2009. The filing is available on our website at
www.cat.com/sec_filings. We do not
undertake to update our forward-looking statements.
Page 3
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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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January 27,
2010
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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, General Counsel and
Secretary
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