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SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C. 20549
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FORM
10-K/A | ||||||
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(Mark
One) |
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[X] |
ANNUAL
REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF
1934
For the
fiscal year ended December 31, 2004 | |||||
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OR
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[ ] |
TRANSITION
REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF
1934
For the
transition period from __________ to __________.
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Commission
File No. 1-768
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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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37-0602744
(IRS Employer
I.D. 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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Securities
registered pursuant to Section 12(b) of the Act:
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Title
of each class |
Name
of each exchange on
which registered | ||
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Common Stock
($1.00 par value) |
Chicago Stock
Exchange
New York
Stock Exchange
Pacific
Exchange, Inc. | ||
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Preferred
Stock Purchase Rights |
Chicago Stock
Exchange
New York
Stock Exchange
Pacific
Exchange, Inc. | ||
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9% Debentures
due April 15, 2006 |
New York
Stock Exchange | ||
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9 3/8%
Debentures due August 15, 2011 |
New York
Stock Exchange | ||
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9 3/8%
Debentures due March 15, 2021 |
New York
Stock Exchange | ||
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8% Debentures
due February 15, 2023 |
New York
Stock Exchange | ||
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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 [ ü ] 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.
[ ]
Indicate by check
mark whether the Registrant is an accelerated filer (as defined in Rule 12b-2 of
the Act). Yes
[ ü ] No
[ ]
As of December 31,
2004, there were 342,936,949 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 $32,772,664,307.
Documents
Incorporated by Reference
None
Explanatory
Note: On February 24, 2005 the registrant filed its Form 10-K with
the Securities and Exchange Commission for the year ended December 31, 2004. The
registrant hereby amends its' Form 10-K filed with the Securities and Exchange
Commission for the year ended December 31, 2004 to add 11-K filings for the
following company benefit plans: Employees' Investment Plan (Exhibit 99.3);
Savings and Investment Plan (Exhibit 99.4); Tax Deferred Savings Plan (Exhibit
99.5); and 401(k) Plan (Exhibit 99.6). The certifications required by Sections
302 and 906 of the Sarbanes-Oxley Act of 2002 are also provided.
PART
IV
Item 15.
Exhibits and Financial Statement Schedules.
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(b) |
Exhibits: |
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31.1
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Certification
of James W. Owens, Chairman and Chief Executive Officer of Caterpillar
Inc., as required pursuant to Section 302 of the Sarbanes-Oxley Act of
2002.
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31.2
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Certification
of David B. Burritt, Chief Financial Officer of Caterpillar Inc., as
required pursuant to Section 302 of the Sarbanes-Oxley Act of
2002.
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32
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Certification
of James W. Owens, Chairman and Chief Executive Officer of Caterpillar
Inc. and David B. Burritt, Chief Financial Officer of Caterpillar Inc., as
required pursuant to Section 906 of the Sarbanes-Oxley Act of
2002.
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99.3
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Form 11-K for
Caterpillar Inc. Employees' Investment Plan.
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99.4
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Form 11-K for
Solar Turbines Incorporated Savings and Investment Plan.
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99.5
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Form 11-K for
Caterpillar Inc. Tax Deferred Savings Plan.
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99.6
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Form 11-K for
Caterpillar 401(k) Plan.
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PAGE
1
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Form
10-K
SIGNATURES
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Pursuant
to the requirements of Section 13 or 15(d) of the Securities Exchange Act
of 1934, the company has duly caused this report to be signed on its
behalf by the undersigned, thereunto duly
authorized.
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CATERPILLAR
INC.
(Registrant)
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May 26,
2005 |
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By: |
/s/ James B. Buda |
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Secretary | |||
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Pursuant
to the requirements of the Securities Exchange Act of 1934, this report
has been signed below by the following persons on behalf of the company
and in the capacities and on the dates indicated.
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May 26,
2005 |
/s/ James W. Owens |
Chairman of
the Board, Director
and Chief
Executive Officer | |
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May 26,
2005 |
/s/
Stuart L. Levenick |
Group
President | |
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May 26,
2005 |
/s/
Douglas R. Oberhelman |
Group
President | |
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May 26,
2005 |
/s/ Gerald L.
Shaheen |
Group
President | |
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May 26,
2005 |
/s/
Gerard R. Vittecoq |
Group
President | |
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May 26,
2005 |
/s/
Steven H. Wunning |
Group
President | |
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May 26,
2005 |
/s/ David
B. Burritt |
Vice
President and Chief
Financial Officer | |
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May 26,
2005 |
/s/
Bradley M. Halverson |
Controller
and Chief
Accounting Officer | |
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PAGE
2
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May 26,
2005 |
/s/ W.
Frank Blount |
Director | |
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May 26,
2005 |
/s/ John
R. Brazil |
Director | |
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May 26,
2005 |
/s/ John
T. Dillon |
Director | |
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May 26,
2005 |
/s/
Eugene V. Fife |
Director | |
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May 26,
2005 |
/s/ Gail
D. Fosler |
Director | |
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May 26,
2005 |
/s/ Juan
Gallardo |
Director | |
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May 26,
2005 |
/s/ David
R. Goode |
Director | |
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May 26,
2005 |
/s/ Peter
A. Magowan |
Director | |
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May 26,
2005 |
/s/
William A. Osborn |
Director | |
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May 26,
2005 |
/s/
Gordon R. Parker |
Director | |
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May 26,
2005 |
/s/
Charles D. Powell |
Director | |
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May 26,
2005 |
/s/
Edward B. Rust, Jr. |
Director | |
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May 26,
2005 |
/s/
Joshua I. Smith |
Director | |
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PAGE 4