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CATERPILLAR INC.

(CAT)
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Caterpillar Inc. : Files Form 8-K Annual Shareholders Meeting Results

06/14/2021 | 01:09pm EDT
Caterpillar Inc. 
Caterpillar Inc.: Files Form 8-K Annual Shareholders Meeting Results 
14-Juin-2021 / 19:07 CET/CEST 
Information réglementaire transmise par EQS Group. 
Le contenu de ce communiqué est de la responsabilité de l'émetteur. 
=---------------------------------------------------------------------------------------------------------------------- 
UNITED STATES 
SECURITIES AND EXCHANGE COMMISSION 
Washington, D.C. 20549 
 
FORM 8-K 
Current Report 
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 
Date of Report (Date of earliest event reported): June 11, 2021 
CATERPILLAR INC. 
(Exact name of registrant as specified in its charter) 
Delaware 1-768 37-0602744 
(State or other jurisdiction of (Commission File (I.R.S Employer Identification No.) 
incorporation) Number) 
510 Lake Cook Road, Suite 100, Deerfield, Illinois 60015 
(Address of principal executive offices) (Zip Code) 
 Registrant's telephone number, including area code: (224) 551-4000 
Former name or former address, if changed since last report: N/A 
? Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) 
? Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) 
? Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) 
? Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) Securities 
registered pursuant to Section 12(b) of the Act: 
Title of each class Trading Symbol (s)Name of each exchange which registered 
Common Stock (USD1.00 par value) CAT The New York Stock Exchange 
8% Debentures due February 15, 2023 CAT23 The New York Stock Exchange 
5.3% Debentures due September 15, 2035 CAT35 The New York Stock Exchange 
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: 
Indicate by check mark whether the registrant is an emerging growth company as defined by Rule 405 of the Securities 
Act of 
1933 (17 CFR §230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR §240.12b-2 of this 
chapter). 
Emerging growth company ? 
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition 
period 
for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange 
? Act. 
 
Item 5.07 Submission of Matters to a Vote of Security Holders 
On June 9, 2021, Caterpillar Inc. (the "Company") held a virtual 2021 Annual Shareholders Meeting. Set forth below are 
the voting results for each of the matters submitted to a vote of the Company's shareholders. 
Proposal 1 - Company Proposal - Election of Directors 
All nominees for election to the Company's Board of Directors named in the Proxy Statement were elected, each to a 
one-year term, with the following vote: 
Director              For         Against    Abstain   Broker Non-Votes 
Kelly A. Ayotte       351,232,725 12,521,912 1,061,872 78,787,443 
David L. Calhoun      343,895,658 18,193,059 2,727,792 78,787,443 
Daniel M. Dickinson   344,947,678 18,793,409 1,075,422 78,787,443 
Gerald Johnson        360,403,470 3,285,634  1,127,218 78,787,443 
David W. MacLennan    361,353,545 2,308,045  1,154,919 78,787,443 
Debra L. Reed-Klages  356,749,227 7,106,528  960,754   78,787,443 
Edward B. Rust, Jr.   348,465,765 15,239,149 1,111,596 78,787,443 
Susan C. Schwab       351,662,676 12,211,731 942,102   78,787,443 
D. James Umpleby III  339,906,035 22,941,850 1,968,624 78,787,443 
Miles D. White        303,951,277 59,780,158 1,085,074 78,787,443 
Rayford Wilkins, Jr.  358,368,230 5,286,882  1,161,397 78,787,443 

Proposal 2 - Company Proposal - Ratification of Independent Registered Accounting Firm

The proposal requesting ratification of the appointment of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for 2021 was approved with the following vote:

For            Against    Abstain 
427,662,323    14,798,261 1,143,368 

Proposal 3 - Company Proposal - Advisory vote on executive compensation

The proposal requesting that the shareholders of the Company approve executive compensation, on an advisory basis, was approved with the following vote:

For           Against    Abstain   Broker Non-Votes 
342,337,931   19,903,448 2,575,130 78,787,443 

Proposal 4 - Shareholder Proposal - Report on Climate Policy

The proposal requesting that the Board of Directors provide additional disclosure of Caterpillar's climate activity was not approved based on the following vote:

For           Against     Abstain   Broker Non-Votes 
173,059,923   187,422,007 4,334,579 78,787,443 

Proposal 5 - Shareholder Proposal - Report on Diversity and Inclusion

The proposal requesting the Board of Directors publish an annual report assessing the Company's diversity and inclusion was not approved based on the following vote:

For           Against     Abstain   Broker Non-Votes 
122,153,733   238,371,549 4,291,227 78,787,443 

Proposal 6 - Shareholder Proposal - Transition to a Public Benefit Corporation

The proposal requesting that the Board of Directors amend the Company's Certificate of Incorporation and become a public benefit corporation was not approved based on the following vote:

For           Against     Abstain   Broker Non-Votes 
10,645,284    350,338,593 3,832,632 78,787,443 

Proposal 7 - Shareholder Proposal - Shareholder Action by Written Consent

The proposal requesting that the Board of Directors amend the Company's governing documents to permit shareholder action by written consent was not approved based on the following vote:

For           Against     Abstain   Broker Non-Votes 
145,937,468   216,533,274 2,345,767 78,787,443 

Item 9.01 Financial Statements and Exhibits (d) Exhibits.

Exhibit

Number Description

104 The cover page from this Current Report on Form 8-K, formatted in Inline XBRL.

SIGNATURES

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 hereunto duly authorized.

CATERPILLAR INC.

June 11, 2021 By: /s/ Suzette M. Long

Suzette M. Long

Chief Legal Officer and General Counsel ----------------------------------------------------------------------------------------------------------------------- Fichier PDF dépôt réglementaire Document : Caterpillar Inc.: Files Form 8-K Annual Shareholders Meeting Results

=---------------------------------------------------------------- 
Langue :          Français 
Entreprise :      Caterpillar Inc. 
                  510 Lake Cook Road, Suite 100 
                  60015 Deerfield, Illinois 
                  États-Unis 
Téléphone :       224-551-4000 
Internet :        www.caterpillar.com 
ISIN :            US1491231015 
Ticker Euronext : CATR 
Catégorie AMF :   Informations privilégiées / Autres communiqués 
EQS News ID :     1207847 
 
Fin du communiqué  EQS News-Service 
=------------------------------------------------------------------------------------ 

1207847 14-Juin-2021 CET/CEST

 
Bildlink: 
https://eqs-cockpit.com/cgi-bin/fncls.ssp?fn=show_t_gif&application_id=1207847&application_name=news 
 

(END) Dow Jones Newswires

June 14, 2021 13:08 ET (17:08 GMT)

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Financials (USD)
Sales 2021 48 942 M - -
Net income 2021 5 126 M - -
Net Debt 2021 25 189 M - -
P/E ratio 2021 22,7x
Yield 2021 2,15%
Capitalization 115 B 115 B -
EV / Sales 2021 2,86x
EV / Sales 2022 2,60x
Nbr of Employees 97 300
Free-Float 67,1%
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Mean consensus HOLD
Number of Analysts 28
Last Close Price 209,53 $
Average target price 238,69 $
Spread / Average Target 13,9%
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Managers and Directors
Donald James Umpleby Chairman & Chief Executive Officer
Andrew Robert John Bonfield Chief Financial Officer
Karl E. Weiss Chief Technology Officer
Jamie Engstrom Chief Information Officer & Vice president
Eric A. Braun Chief Compliance Officer