SECURITIES AND EXCHANGE COMMISSION

SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

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, 2001

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)

37-0602744
(IRS Employer I.D. No.)

100 NE Adams Street, Peoria, Illinois
(Address of principal executive offices)

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

  

Name of each exchange
  on which registered  
 

Common Stock ($1.00 par value)

  

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

Preferred Stock Purchase Rights

  

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

9% Debentures due April 15, 2006

  

New York Stock Exchange
 

6% Debentures due May 1, 2007

  

New York Stock Exchange
 

9 3/8% Debentures due August 15, 2011

  

New York Stock Exchange
 

9 3/8% Debentures due March 15, 2021

  

New York Stock Exchange
 

8% Debentures due February 15, 2023

  

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. [X ]

As of December 31, 2001, there were 343,376,444 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 $17,667,556,467.

Documents Incorporated by Reference
None

The registrant hereby amends its' Form 10-K filed with the Securities and Exchange Commission for the year ended December 31, 2001 to include new exhibits for Form 11-K filings for the Company's Employee Investment Plan (Exhibit 99.2), Tax Deferred Savings Plan (Exhibit 99.3), and Solar Turbines Incorporated Savings and Investment Plan (Exhibit 99.4) and to revise the previously filed Exhibit 21 - Subsidiaries and Affiliates.

PART IV

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

(c)   Exhibits:

 

21

  

Subsidiaries and Affiliates of the Registrant.
 

99.2

  

Form 11-K for Inc. Employees' Investment Plan
 

99.3

  

Form 11-K for Savings and Investment Plan
 

99.4

  

Form 11-K for Tax Deferred Savings Plan