Executive Change

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): October 14, 2020 CATERPILLAR INC. (Exact name of registrant as specified in its charter)   Delaware 1-768 37-0602744   (State or other jurisdiction of incorporation)   (Commission File Number)   (I.R.S Employer Identification No.)     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 ($1.00 par value) CAT The New York Stock Exchange 9 3/8% Debentures due March 15, 2021 CAT21 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 5.02. Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers. On October 14, 2020, William P. Ainsworth provided notice of his decision to retire as Group President, Caterpillar Inc. (the "Company"), effective December 31, 2020.  Ramin Younessi also provided notice of his decision to retire as Group President of the Company on December 31, 2020. The Board of Directors of the Company has named Joseph E. Creed and Anthony D. Fassino as Group Presidents, effective January 1, 2021. 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.         October 20, 2020 By: /s/ Suzette M. Long     Suzette M. Long Chief Legal Officer, General Counsel & Corporate Secretary