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Table of Contents ( Mark One ) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington , D.C. 20549 CATERPILLAR FORM 10 - K ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 ( d ) OF THE SECURITIES EXCHANGE ACT OF 1934 1934 TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 ( d ) OF THE SECURITIES EXCHANGE ACT OF For the fiscal year ended December 31 , 2020 OR For the transition period from Commission File No. 1-768 Title of each class Common Stock ( $ 1.00 par value ) 9 3 / 8 % Debentures due March 15 , 2021 8 % Debentures due February 15 , 2023 5.3 % Debentures due September 15 , 2035 Delaware ( State or other jurisdiction of incorporation ) 510 Lake Cook Road , Suite 100 , Deerfield , Illinois ( Address of principal executive offices ) CATERPILLAR INC . ( Exact name of Registrant as specified in its charter ) 37-0602744 to Registrant's telephone number , including area code : ( 224 ) 551-4000 Securities registered pursuant to Section 12 ( b ) of the Act : Trading Symbol ( s ) CAT CAT21 CAT23 CAT35 ( IRS Employer I.D. No. ) 60015 ( Zip Code ) Name of each exchange on which registered New York Stock Exchange New York Stock Exchange New York Stock Exchange New York Stock Exchange ( ¹ ) In addition to the New York Stock Exchange , Caterpillar common stock is also listed on stock exchanges in France and Switzerland . Securities registered pursuant to Section 12 ( g ) of the Act : None Indicate by check mark if the Registrant is a well - known seasoned issuer , as defined in Rule 405 of the Securities Act . Yes ý No o ( 1 ) Indicate by check mark if the Registrant is not required to file reports pursuant to Section 13 or Section 15 ( d ) of the Act . Yes o No ý 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 ý No o Indicate by check mark whether the Registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation S - T ( §232.405 of this chapter ) during the preceding 12 months ( or for such shorter period that the registrant was required to submit such files ) . Yes ý No o Indicate by check mark whether the Registrant is a large accelerated filer , an accelerated filer , a non - accelerated filer , a smaller reporting company or emerging growth company . See the definitions of " large accelerated filer , " " accelerated filer " , " smaller reporting company " and " emerging growth company " in Rule 12b - 2 of the Exchange Act . ( Check one ) :