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UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C. 20549
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FORM
8-K/A
Amendment
No. 1
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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): May 20,
2009
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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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EXPLANATORY
NOTE
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Caterpillar Inc.
(“Company”) filed a Current Report on Form 8-K (“original Form 8-K”) with the
Securities and Exchange Commission on May 20, 2009, announcing dealer statistics
for April 2009 under Item 7.01. This amendment No. 1 is being filed
to correct an inadvertent typographical error and replaces the original Form 8-K
filing in its entirety.
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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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In order to provide
some historical context around Cat Japan and how the consolidation of their
numbers would affect monthly dealer statistics, we have posted 2009 monthly
dealer statistics prior to April with and without Cat Japan
included. Both versions of the numbers are posted on our dealer
statistics website at: http://www.cat.com/cda/layout?m=73860&x=7. April
dealer statistics posted in May, will no longer include
both. Instead, we will incorporate Cat Japan in the Asia/Pacific
region.
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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Apr.
09
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Mar.
09
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Feb.
09
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Asia/Pacific
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--
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DOWN
13%
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DOWN
8%
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Asia/Pacific
With Cat Japan
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DOWN
21%
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DOWN
21%
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DOWN
17%
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EAME*
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DOWN
47%
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DOWN
44%
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DOWN
37%
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Latin America
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DOWN
9%
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DOWN
6%
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DOWN
2%
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ROW*
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DOWN
32%
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DOWN
28%
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DOWN
22%
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North
America
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DOWN
51%
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DOWN
41%
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DOWN
35%
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World
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--
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DOWN
33%
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DOWN
27%
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World
with Cat Japan
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DOWN
39%
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DOWN
34%
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DOWN
28%
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*EAME (Europe,
Africa and Middle East)
*ROW (rest of the
world - everything except North America)
Page 2
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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Apr.
09
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Mar.
09
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Feb.
09
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Truck
& Bus
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DOWN
69%
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DOWN
62%
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DOWN
56%
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Electric
Power
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DOWN
12%
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UP
15%
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UP
1%
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Industrial
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DOWN
32%
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DOWN
30%
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DOWN
25%
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Marine
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UP
48%
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UP
12%
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UP
19%
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Petroleum
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UP
7%
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UP
13%
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UP
13%
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Total
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DOWN
9%
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DOWN
2%
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UP
1%
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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 release 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 the company's Form 10-K filed with the Securities and Exchange
Commission on February 20, 2009. This filing is available on our website at
www.cat.com/sec_filings. We do not undertake to update our forward-looking
statements.
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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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May 20,
2009
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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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Page 3