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CATERPILLAR INC : Regulation FD Disclosure (form 8-K)

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03/20/2017 | 02:08 pm

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.

This report also contains an overview of our worldwide retail sales of products
by major end use. We provide this information annually to summarize and
highlight the various applications and industries to which our products are sold
and used.

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 February 2017 January 2017 December 2016
Asia/Pacific UP 39% UP 26% UP 19%
Latin America DOWN 21% DOWN 29% DOWN 34%
North America DOWN 10% DOWN 13% DOWN 14%
World DOWN 1% DOWN 8% DOWN 12%
Resources Industries February 2017 January 2017 December 2016
Asia/Pacific UP 1% UP 26% UP 11%
EAME UP 16% UP 4% DOWN 18%
Latin America DOWN 39% DOWN 44% DOWN 42%
North America DOWN 12% DOWN 14% DOWN 4%
World DOWN 7% DOWN 7% DOWN 10%
Construction Industries February 2017 January 2017 December 2016
Asia/Pacific UP 52% UP 27% UP 21%
Latin America DOWN 9% DOWN 21% DOWN 30%
North America DOWN 9% DOWN 13% DOWN 16%
World UP 2% DOWN 8% DOWN 12%

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

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:

February 2017 January 2017 December 2016
Power Gen DOWN 13% DOWN 15% DOWN 26%
Industrial DOWN 11% DOWN 7% DOWN 17%
Transportation DOWN 15% DOWN 15% DOWN 20%
Oil & Gas DOWN 3% DOWN 8% DOWN 20%
Total DOWN 9% DOWN 11% DOWN 22%

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


Caterpillar Inc.

Machine Retail Sales by End Use

2016 2015
Waste 3% 2%
Forestry 3% 4%
Paving & Compaction 5% 4%
Industrial 5% 5%
Quarry & Aggregates 11% 10%
Mining* 15% 19%
General Construction 21% 19%
Heavy Construction 37% 37%

As reported primarily by dealers.
*For purposes of this report, retail sales of highwall miners and longwall
miners are not included in Mining.

Caterpillar Inc.

Energy & Transportation Retail Sales by End Use

2016 2015
Transportation 13% 16%
Industrial 16% 13%
Power Gen 32% 30%
Oil & Gas 39% 41%

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

·large track-type tractors ·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


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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