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CAT > SEC Filings for CAT > Form 8-K on 17-Feb-2017All Recent SEC Filings

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Regulation FD Disclosure

Item 7.01. Regulation FD Disclosure.

Caterpillar Inc. ("Caterpillar", "we" or "our") is furnishing supplemental information concerning (i) retail sales of machines to end users and (ii) retail sales of power systems (including reciprocating and turbine engines and locomotives) to end users and Original Equipment Manufacturers ("OEMs"). Caterpillar sells the majority of its machinery and power systems to independently owned and operated dealers and OEMs to meet the demands of their customers, the end users. Caterpillar believes that this supplemental information may help readers better understand Caterpillar's business and the industries it serves, particularly in light of the time delay between Caterpillar's sales to dealers and dealers' sales to end users.

In this report we are providing information by geographic region for retail sales of machines in each of our Resource Industries and Construction Industries reportable segments, as well as information regarding total retail sales of our machines globally. For our Energy & Transportation reportable segment, we are providing retail sales information by major end use.

The information presented in this report is primarily based on unaudited reports that are voluntarily provided to Caterpillar by its independent dealers and which are not subject to Caterpillar's internal controls over financial reporting. Accordingly, the data collected from such third parties may not be accurate and/or complete. As such, the information presented in this report is intended solely to convey an approximate indication of the trends, direction and magnitude of retail sales and is not intended to be an estimate, approximation or prediction of, or substitute for, Caterpillar's audited financial statements filed with the U.S. Securities and Exchange Commission. This information is furnished under this report with the U.S. Securities and Exchange Commission. Caterpillar does not undertake to update or adjust prior period information.

                                Caterpillar Inc.
                    Rolling 3 Month Retail Sales Statistics

Retail Sales of Machines by geographic region for the 3-month rolling period
ended as of the month indicated compared with the same period of the prior year:
Total Machines          January 2017 December 2016 November 2016
Asia/Pacific               UP 26%       UP 19%        UP 11%
EAME                      DOWN 13%     DOWN 21%      DOWN 25%
Latin America             DOWN 29%     DOWN 34%      DOWN 32%
North America             DOWN 13%     DOWN 14%      DOWN 19%
World                     DOWN 8%      DOWN 12%      DOWN 17%
Resources Industries    January 2017 December 2016 November 2016
Asia/Pacific               UP 26%       UP 11%         UP 7%
EAME                       UP 4%       DOWN 18%      DOWN 30%
Latin America             DOWN 44%     DOWN 42%      DOWN 37%
North America             DOWN 14%      DOWN 4%      DOWN 28%
World                     DOWN 7%      DOWN 10%      DOWN 24%
Construction Industries January 2017 December 2016 November 2016
Asia/Pacific               UP 27%       UP 21%        UP 11%
EAME                      DOWN 18%     DOWN 22%      DOWN 24%
Latin America             DOWN 21%     DOWN 30%      DOWN 30%
North America             DOWN 13%     DOWN 16%      DOWN 17%
World                     DOWN 8%      DOWN 12%      DOWN 15%

Reported in constant dollars and based on unit sales as reported primarily by dealers.

Energy & Transportation Retail Sales by industry for the 3-month rolling period ended as of the month indicated compared with the same period of the prior year:
January 2017 December 2016 November 2016

Power Gen        DOWN 15%     DOWN 26%      DOWN 31%
Industrial       DOWN 7%      DOWN 17%      DOWN 24%
Transportation   DOWN 15%     DOWN 20%      DOWN 32%
Oil & Gas        DOWN 8%      DOWN 20%      DOWN 17%
Total            DOWN 11%     DOWN 22%      DOWN 25%

Reported in constant dollars based on reporting from dealers and direct sales.

                               Glossary of Terms

Construction Industries: Our Construction Industries segment is primarily
responsible for supporting customers using machinery in infrastructure, forestry
and building construction. The majority of sales in this segment are made in the
heavy and general construction, rental, quarry and aggregates markets and
mining. The Construction Industries product portfolio primarily includes the
following machines:
·backhoe loaders       ·compact loaders                  ·small track-type tractors
·track-type loaders    ·small and medium wheel           ·medium track-type tractors
·mini excavators       ·small, medium and large track    ·motorgraders
·wheel excavators      ·pipelayers                       ·telehandlers
·cold planers          ·asphalt pavers                   ·compactors
·road reclaimers       ·wheel and track skidders         ·knuckleboom loaders
·site prep tractors    ·wheel and track feller           ·forestry excavators
·skid steer loaders

EAME: Europe, Africa, Commonwealth of Independent States and Middle East

Energy & Transportation: Our Energy & Transportation segment is primarily responsible for supporting customers using reciprocating engines, turbines, diesel-electric locomotives, integrated systems and solutions, and related parts across industries serving oil and gas, power generation, industrial and marine applications as well as rail-related businesses.

Resource Industries: Our Resource Industries segment is primarily responsible for supporting customers using machinery in mining, quarry, waste and material handling applications. The Resource Industries product portfolio primarily includes the following machines:

·electric rope       ·large mining trucks              ·landfill compactors
·draglines           ·longwall miners                  ·soil compactors
·hydraulic           ·large wheel loaders              ·machinery components
·track and rotary    ·off-highway trucks               ·electronics and control
drills                                                 systems
·highwall miners     ·articulated trucks               ·select work tools
·hard rock           ·scoops and haulers               ·hard rock continuous
vehicles                                               mining systems
·continuous          ·wheel tractor scrapers
·large track-type    ·wheel dozers

For purposes of this report, retail sales of highwall miners and longwall miners are not included in Resource Industries.


Certain statements in this filing relate to future events and expectations and are forward-looking statements within the meaning of the Private Securities Litigation Reform Act of 1995. Words such as "believe," "estimate," "will be," "will," "would," "expect," "anticipate," "plan," "project," "intend," "could," "should" or other similar words or expressions often identify forward-looking statements. All statements other than statements of historical fact are forward-looking statements, including, without limitation, statements regarding our outlook, projections, forecasts or trend descriptions. These statements do not guarantee future performance and speak only as of the date they are made, and we do not undertake to update our forward-looking statements.

Caterpillar's actual results may differ materially from those described or implied in our forward-looking statements based on a number of factors, including, but not limited to: (i) global and regional economic conditions and economic conditions in the industries we serve; (ii) commodity price changes, material price increases, fluctuations in demand for our products or significant shortages of material; (iii) government monetary or fiscal policies; (iv) political and economic risks, commercial instability and events beyond our control in the countries in which we operate; (v) our ability to develop, produce and market quality products that meet our customers' needs; (vi) the impact of the highly competitive environment in which we operate on our sales and pricing; (vii) information technology security threats and computer crime;
(viii) additional restructuring costs or a failure to realize anticipated savings or benefits from past or future cost reduction actions; (ix) failure to realize all of the anticipated benefits from initiatives to increase our productivity, efficiency and cash flow and to reduce costs; (x) inventory management decisions and sourcing practices of our dealers and our OEM customers; (xi) a failure to realize, or a delay in realizing, all of the anticipated benefits of our acquisitions, joint ventures or divestitures; (xii) union disputes or other employee relations issues; (xiii) adverse effects of unexpected events including natural disasters; (xiv) disruptions or volatility in global financial markets limiting our sources of liquidity or the liquidity of our customers, dealers and suppliers; (xv) failure to maintain our credit ratings and potential resulting increases to our cost of borrowing and adverse effects on our cost of funds, liquidity, competitive position and access to capital markets; (xvi) our Financial Products segment's risks associated with the financial services industry; (xvii) changes in interest rates or market liquidity conditions; (xviii) an increase in delinquencies, repossessions or net losses of Cat Financial's customers; (xix) currency fluctuations; (xx) our or Cat Financial's compliance with financial and other restrictive covenants in debt agreements; (xxi) increased pension plan funding obligations; (xxii) alleged or actual violations of trade or anti-corruption laws and regulations;
(xxiii) international trade policies and their impact on demand for our products and our competitive position; (xxiv) additional tax expense or exposure; (xxv) significant legal proceedings, claims, lawsuits or government investigations;
(xxvi) new regulations or changes in financial services regulations; (xxvii) compliance with environmental laws and regulations; and (xxviii) other factors described in more detail in Caterpillar's Forms 10-Q, 10-K and other filings with the Securities and Exchange Commission.

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