-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, QVe2jH+VN05w980jd/vybB3bubIj23vbGwgiA6WWYjX8RY+WIALp2qfqQQX2bbTM xKExTmB8jYF4/yFw68FkPQ== 0000018230-03-000051.txt : 20030121 0000018230-03-000051.hdr.sgml : 20030120 20030121153050 ACCESSION NUMBER: 0000018230-03-000051 CONFORMED SUBMISSION TYPE: 10-K/A PUBLIC DOCUMENT COUNT: 8 CONFORMED PERIOD OF REPORT: 20011231 FILED AS OF DATE: 20030121 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CATERPILLAR INC CENTRAL INDEX KEY: 0000018230 STANDARD INDUSTRIAL CLASSIFICATION: CONSTRUCTION MACHINERY & EQUIP [3531] IRS NUMBER: 370602744 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 10-K/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 03519524 BUSINESS ADDRESS: STREET 1: 100 NE ADAMS ST CITY: PEORIA STATE: IL ZIP: 61629 BUSINESS PHONE: 3096751000 MAIL ADDRESS: STREET 1: 100 NE ADAMS ST CITY: PEORIA STATE: IL ZIP: 61629 FORMER COMPANY: FORMER CONFORMED NAME: CATERPILLAR TRACTOR CO DATE OF NAME CHANGE: 19860623 10-K/A 1 form10-ka_2001.htm AMENDMENT TO 2001 FORM 10-K SECURITIES AND EXCHANGE COMMISSION

SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

FORM 10-K/A

(Mark One)

    

[X]

ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d)
OF THE SECURITIES EXCHANGE ACT OF 1934
For the fiscal year ended December 31, 2001

OR
 

[  ]

  

TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d)
OF THE SECURITIES EXCHANGE ACT OF 1934
For the transition period from __________ to __________.

Commission File No. 1-768

CATERPILLAR INC.
(Exact name of Registrant as specified in its charter)

Delaware
(State or other jurisdiction of incorporation)

1-768
(Commission File Number)

37-0602744
(IRS Employer I.D. No.)

100 NE Adams Street, Peoria, Illinois
(Address of principal executive offices)

61629
(Zip Code)

Registrant's telephone number, including area code: (309) 675-1000

Securities registered pursuant to Section 12(b) of the Act:
 


Title of each class

  

Name of each exchange
  on which registered  
 

Common Stock ($1.00 par value)

  

Chicago Stock Exchange
New York Stock Exchange
Pacific Exchange, Inc.
 

Preferred Stock Purchase Rights

  

Chicago Stock Exchange
New York Stock Exchange
Pacific Exchange, Inc.
 

9% Debentures due April 15, 2006

  

New York Stock Exchange
 

6% Debentures due May 1, 2007

  

New York Stock Exchange
 

9 3/8% Debentures due August 15, 2011

  

New York Stock Exchange
 

9 3/8% Debentures due March 15, 2021

  

New York Stock Exchange
 

8% Debentures due February 15, 2023

  

New York Stock Exchange
       

Securities registered pursuant to Section 12(g) of the Act: NONE

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 [ü ] No [ ].

Indicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K is not contained herein, and will not be contained, to the best of Registrant's knowledge, in definitive proxy or information statements incorporated by reference in Part III of this Form 10-K or any amendment to this Form 10-K. [ü ]

As of December 31, 2001, there were 343,376,444 shares of common stock of the Registrant outstanding, and the aggregate market value of the voting stock held by non-affiliates of the Registrant (assuming only for purposes of this computation that directors and officers may be affiliates) was $17,667,556,467.

Documents Incorporated by Reference
 None

The registrant hereby amends its' Form 10-K filed with the Securities and Exchange Commission for the year ended December 31, 2001 to include signature pages for the previously filed Form 10-K/A and to include signature pages for the following previously filed exhibits: 11-K filings for the Company's Foreign Service Employees' Stock Purchase Plan (Exhibit 99.1), Employees' Investment Plan (Exhibit 99.2), Solar Turbines Incorporated Savings and Investment Plan (Exhibit 99.3), and Tax Deferred Savings Plan (Exhibit 99.4). The certification required by Section 302 of the Sarbanes-Oxley Act of 2002 is also provided.

PART IV
Item 14. Exhibits, Financial Statement Schedules, and Reports on Form 8-K.

(c) Exhibits:
 

99.1

  

Form 11-K for Foreign Service Employees' Stock Purchase Plan.
 

99.2

  

Form 11-K for Employees' Investment Plan.
 

99.3

  

Form 11-K for Savings and Investment Plan.
 

99.4

  

Form 11-K for Tax Deferred Savings Plan.

SIGNATURES

Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the Company has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

 

  

 

CATERPILLAR INC.
(Registrant)


January 21, 2003

 

 
By:

 
/s/ James B. Buda

   

 

Secretary

 

Pursuant to the requirements of the Securities Exchange Act of 1934, this report has been signed below by the following persons on behalf of the Company and in the capacities and on the dates indicated.


January 21, 2003


/s/ Glen A. Barton

Chairman of the Board, Director and Chief Executive Officer


January 21, 2003


/s/ Vito H. Baumgartner


Group President


January 21, 2003


/s/ Douglas R. Oberhelman


Group President


January 21, 2003


/s/ James W. Owens


Group President


January 21, 2003


/s/ Gerald L. Shaheen


Group President


January 21, 2003


/s/ Richard L. Thompson


Group President


January 21, 2003


/s/ F. Lynn McPheeters

Vice President and
Chief Financial Officer


January 21, 2003


/s/ David B. Burritt

Controller and
Chief Accounting Officer
 


January 21, 2003


/s/ W. Frank Blount


Director


January 21, 2003


/s/ John R. Brazil


Director


January 21, 2003


/s/ John T. Dillon


Director


January 21, 2003


/s/ Eugene V. Fife


Director


January 21, 2003


/s/ Juan Gallardo


Director


January 21, 2003


/s/ David R. Goode


Director


January 21, 2003


/s/ Peter A. Magowan


Director


January 21, 2003


/s/ William A. Osborn


Director


January 21, 2003


/s/ Gordon R. Parker


Director


January 21, 2003


/s/ Charles D. Powell


Director


January 21, 2003


/s/ Joshua I. Smith


Director

CERTIFICATIONS

I, Glen A. Barton, certify that:

1.

I have reviewed this amended annual report on Form 10-K of Caterpillar Inc.;

2.

Based on my knowledge, this amended annual report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this amended annual report;

3.

Based on my knowledge, the financial statements, and other financial information included in this amended annual report, fairly present in all material respects the financial condition, results of operations and cash flows of the registrant as of, and for, the periods presented in this amended annual report;

4.

The registrant's other certifying officers and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Exchange Act Rules 13a-14 and 15d-14) for the registrant and we have:
 

a)

designed such disclosure controls and procedures to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this amended annual report is being prepared;
 

b)

evaluated the effectiveness of the registrant's disclosure controls and procedures as of a date within 90 days prior to the filing date of this amended annual report (the "Evaluation Date"); and
 

c)

presented in this amended annual report our conclusions about the effectiveness of the disclosure controls and procedures based on our evaluation as of the Evaluation Date;

5.

The registrant's other certifying officers and I have disclosed, based on our most recent evaluation, to the registrant's auditors and the audit committee of registrant's board of directors (or persons performing the equivalent function):
 

a)

all significant deficiencies in the design or operation of internal controls which could adversely affect the registrant's ability to record, process, summarize and report financial data and have identified for the registrant's auditors any material weaknesses in internal controls; and
 

b)

any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant's internal controls; and

6.

The registrant's other certifying officers and I have indicated in this amended annual report whether or not there were significant changes in internal controls or in other factors that could significantly affect internal controls subsequent to the date of our most recent evaluation, including any corrective actions with regard to significant deficiencies and material weaknesses.


January 21, 2003
/s/ Glen A. Barton

Chairman of the Board and
Chief Executive Officer
 

(Glen A. Barton)
  


I, F. Lynn McPheeters, certify that:

1.

I have reviewed this amended annual report on Form 10-K of Caterpillar Inc.;

2.

Based on my knowledge, this amended annual report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this amended annual report;

3.

Based on my knowledge, the financial statements, and other financial information included in this amended annual report, fairly present in all material respects the financial condition, results of operations and cash flows of the registrant as of, and for, the periods presented in this amended annual report;

4.

The registrant's other certifying officers and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Exchange Act Rules 13a-14 and 15d-14) for the registrant and we have:
 

a)

designed such disclosure controls and procedures to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this amended annual report is being prepared;
 

b)

evaluated the effectiveness of the registrant's disclosure controls and procedures as of a date within 90 days prior to the filing date of this amended annual report (the "Evaluation Date"); and
 

c)

presented in this amended annual report our conclusions about the effectiveness of the disclosure controls and procedures based on our evaluation as of the Evaluation Date;

5.

The registrant's other certifying officers and I have disclosed, based on our most recent evaluation, to the registrant's auditors and the audit committee of registrant's board of directors (or persons performing the equivalent function):
 

a)

all significant deficiencies in the design or operation of internal controls which could adversely affect the registrant's ability to record, process, summarize and report financial data and have identified for the registrant's auditors any material weaknesses in internal controls; and
 

b)

any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant's internal controls; and

6.

The registrant's other certifying officers and I have indicated in this amended annual report whether or not there were significant changes in internal controls or in other factors that could significantly affect internal controls subsequent to the date of our most recent evaluation, including any corrective actions with regard to significant deficiencies and material weaknesses.


January 21, 2003
/s/ F. Lynn McPheeters


Chief Financial Officer
   

(F. Lynn McPheeters)

  
EX-99.1 3 exhibit_99-1.htm 2001 11-K/A FOR FOREIGN SERVICE EMPLOYEES' SPP SECURITIES AND EXCHANGE COMMISSION

EXHIBIT 99.1

SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

FORM 11-K/A

(Mark One)

    

[X]

ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE 
SECURITIES EXCHANGE ACT OF 1934
For the fiscal year ended December 31, 2001

OR

[  ]

TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For the transition period from __________ to __________.



Commission File No. 1-768

CATERPILLAR FOREIGN SERVICE EMPLOYEES'
STOCK PURCHASE PLAN
(Full title of the Plan)

CATERPILLAR INC.
(Name of issuer of the securities held pursuant to the Plan)

100 NE Adams Street, Peoria, Illinois 61629
(Address of principal executive offices)

REQUIRED INFORMATION

Item 1.
Financial Statements for this Plan are not enclosed since the requirements to file such financial statements were deemed inapplicable in accordance with the letter from the Securities and Exchange Commission dated January 26, 1973.


Item 2.
(See response to Item 1).


Item 3.
(See response to Item 1).


Item 4.
Not Applicable

SIGNATURES

Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the Company has duly caused this annual report to be signed on its behalf by the undersigned, hereunto duly authorized.

CATERPILLAR FOREIGN SERVICE EMPLOYEES' STOCK PURCHASE PLAN

 

  

      CATERPILLAR INC. (Issuer)


January 17, 2003

 

 
By:

 
/s/ F. Lynn McPheeters
     

Name:

F. Lynn McPheeters
     

Title:

Vice President and Chief Financial Officer

EX-99.2 4 exhibit_99-2.htm 2001 11-K/A FOR EMPLOYEES' INVESTMENT PLAN SECURITIES AND EXCHANGE COMMISSION

EXHIBIT 99.2

SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

FORM 11-K/A
(Mark One)

[X]

 ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE 
SECURITIES EXCHANGE ACT OF 1934
For the fiscal year ended November 30, 2001

OR

[  ]

 TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For the transition period from __________ to __________.



Commission File No. 1-768

EMPLOYEES' INVESTMENT PLAN
(Full title of the Plan)

CATERPILLAR INC.
(Name of issuer of the securities held pursuant to the Plan)

100 NE Adams Street, Peoria, Illinois 61629
(Address of principal executive offices)

REQUIRED INFORMATION


Item 1.
The audited statement of net assets available for plan benefits as of the end of the latest two fiscal years of the Plan is attached hereto as Exhibit A.


Item 2.
The audited statement of changes in net assets available for plan benefits for each of the latest two fiscal years of the Plan is attached hereto as Exhibit B.


Item 3.
The statements required by Items 1 and 2 have been prepared in accordance with the applicable financial reporting requirements of ERISA.


Item 4.
The Consent of Independent Accountants is attached hereto as Exhibit C.

 

SIGNATURES

Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the Company has duly caused this annual report to be signed on its behalf by the undersigned, hereunto duly authorized.

 

EMPLOYEES' INVESTMENT PLAN

 

  
       CATERPILLAR INC. (Issuer)


January 17, 2003

 

 
By:

 
/s/ F. Lynn McPheeters

     

Name:

F. Lynn McPheeters
     

Title:

Vice President and Chief Financial Officer

 

-2-

Caterpillar Inc.
Employees' Investment Plan
Financial Statements and Supplemental Schedules
November 30, 2001 and 2000

-3-

Report of Independent Accountants

 

To the Participants, Investment Plan Committee
and Benefits Funds Committee of the Caterpillar Inc.
Employees' Investment Plan


In our opinion, the accompanying statement of net assets available for benefits and the related statement of changes in net assets available for benefits present fairly, in all material respects, the net assets available for benefits of the Caterpillar Inc. Employees' Investment Plan (the Plan) at November 30, 2001 and 2000, and the changes in net assets available for benefits for the years then ended, in conformity with accounting principles generally accepted in the United States of America. These financial statements are the responsibility of the Plan's management; our responsibility is to express an opinion on these financial statements based on our audits. We conducted our audits of these statements in accordance with auditing standards generally accepted in the United States of America, which require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement. An audit includes examining, on a test basis, evidence supporting the amounts and disclosures in the financial statements, assessing the accounting principles used and significant estimates made by management, and evaluating the overall financial statement presentation. We believe that our audits provide a reasonable basis for our opinion.


Our audits were conducted for the purpose of forming an opinion on the basic financial statements taken as a whole. The supplemental schedules of assets held for investment purposes and of reportable transactions as of and for the year ended November 30, 2001 are presented for the purpose of additional analysis and are not a required part of the basic financial statements but are supplementary information required by the Department of Labor's Rules and Regulations for Reporting and Disclosure under the Employee Retirement Income Security Act of 1974. These supplemental schedules are the responsibility of the Plan's management. The supplemental schedules have been subjected to the auditing procedures applied in the audits of the basic financial statements and, in our opinion, are fairly stated in all material respects in relation to the basic financial statements taken as a whole.


Peoria, Illinois
May 21, 2002

-4-

EXHIBIT A

CATERPILLAR INC.
EMPLOYEES' INVESTMENT PLAN


STATEMENT OF NET ASSETS AVAILABLE FOR BENEFITS
NOVEMBER 30, 2001 AND 2000

(Dollars in 000's)
   

2001

    

2000

  
   
   
 

Investments:
 

Interest in the Caterpillar Inc. 401(k) Master Trust

  

$

1,359,311

    

$

1,356,370

  

Caterpillar Inc. Common stock

910,422

728,130
 

Other investments

  

54,537

    

62,428

  
   
   
 

Total investments

2,324,270

2,146,928

Participant contributions receivable

  

1,421

    

1,349

  

Employer contributions receivable

766

665

Interest and dividends receivable

  

55

    

77

  
   
   
 

Net assets available for benefits

 $

2,326,512

 $

2,149,019

The accompanying notes are an integral part of the financial statements

-5-

EXHIBIT B

CATERPILLAR INC.
EMPLOYEES' INVESTMENT PLAN

STATEMENT OF CHANGES IN NET ASSETS AVAILABLE FOR BENEFITS
FOR THE YEAR ENDED NOVEMBER 30, 2001 AND 2000
(Dollars in 000's)

 

  

2001

    

2000

  

 

  
   
 

Contributions:

 

Participants

  

$

125,599

    

$

122,645

  

Employer

40,152

34,753

 

 

 

Total contributions

  

165,751

    

157,398

  

 

  
   
 

Investment income (loss):

 

Interest

  

59

    

116

  

Dividends

25,901

23,338

 

Net appreciation (depreciation) in fair value of:

            

Common stock

149,246

(123,297

 )

 

 

Collective trust fund

  

547

    

735

  

Registered investment companies

(10,401

 )

(6,843

 )

 

Plan interest in net investment income (loss) of Master Trust

  

12,485

    

(34,325

 )

 

  
   
 

Net investment income (loss)

177,837

(140,276

 )

Withdrawals

  

(169,567

 )  

(131,774

 )

Transfers from other plans, net

3,472

6,725

 

 

 

Withdrawals and transfers, net

  

(166,095

 )  

(125,049

 )

 

  
   
 

Increase (decrease) in net assets available for benefits

177,493

(107,927

 )

Net assets available for benefits:

            

Beginning of year

2,149,019

2,256,946

 

End of year

  

$

2,326,512

    

$

2,149,019

  

 

  
   
 

The accompanying notes are an integral part of the financial statements

-6-

CATERPILLAR INC.
EMPLOYEES' INVESTMENT PLAN

NOTES TO FINANCIAL STATEMENTS

NOTE 1 - PLAN DESCRIPTION:

The following description of the Caterpillar Inc. Employees' Investment Plan (the Plan) provides only general information. Employees should refer to the Plan agreement for a more complete description of the Plan's provisions.

General
The Plan is a contributory defined contribution plan established by Caterpillar Inc. (the Company) to enable eligible employees of the Company and its subsidiaries (the participating employers) which adopt the Plan to accumulate funds.

Participation
Generally, employees of participating employers, other than those employed under collective bargaining agreements, who meet certain age, service and citizenship or residency requirements are eligible to participate in the plan. Participation commences upon an eligible employee's filing of an application with the Investment Plan Committee. Participating eligible employees (the participants) may acquire ownership interests in the Company through purchases of its common stock (Part 1). Additionally, the participants may elect to defer a portion of their compensation until retirement under the Special Investment Supplement of the Plan (Part 2).

Effective December 1, 2000, Part 1 of the Plan was converted to a stock bonus plan and a non-leveraged employee stock ownership plan (ESOP). The ESOP portion of the plan is designed to be invested primarily in the Company shares, which are considered qualifying employer securities as described by the Internal Revenue Code. The change to an ESOP had no material effect on the operation of the Plan.

Participant accounts
Accounts are separately maintained for Part 1 and Part 2 for each participant. The participant's account under Part 1 is credited with the participant's contribution, the employer's contribution and an allocation of Plan earnings. The participant's account under Part 2 of the Plan is credited with the participant's contribution as defined below and an allocation of Plan earnings. Allocations of earnings are based on participant account balances, as defined. The benefit to which a participant is entitled is the benefit that can be provided from the participant's vested accounts.

Loan provisions
The Plan provides for participant loans against eligible participants' Part 2 account balances. Eligible participants obtain participant loans by filing a loan application with the Company and receiving approval thereof. Loan amounts are generally limited to the lesser of $50,000 or 50% of the individual participant's vested account balance, with certain regulatory restrictions. Loan repayment terms may range from 6 to 117 months depending on the type of loan and bear interest at the prime interest rate plus 1% rounded to the nearest whole percent, as determined at the time of loan origination. Repayments, including interest, are made through after-tax payroll deductions and are credited to the individual participant's account balance.

-7-

Contributions

Part 1 -
Participant contributions are made through after-tax payroll deductions based on a percentage (2%-6%) of total earnings as elected by the employee. Participants with 25 or more years of service with the employers may contribute an additional 1%-4% of earnings.

Employer contributions are 50%, 66-2/3% or 80% of participant contributions (up to 6% of earnings), based on the participant's years of service.

Part 2 -
Participant contributions are made through a pretax compensation deferral as elected by the participants and are contributed to the Plan by the participating employers. For 2001 and 2000, the compensation deferral was limited to (a) the greater of $6,000 or 4% of the participant's compensation (limited by the Internal Revenue Code to $10,500 in 2001 and 2000) for participants earning in excess of $85,000 in 2001 and $80,000 in 2000 or (b) $10,500 in 2001 and 2000 for participants earning less than $85,000 in 2001 and $80,000 in 2000.

Certain employee groups also receive a Company matching contribution ranging from 100% of the first 2% and 50% in excess of 2% up to 8% of the participants' eligible compensation.

Investment programs

Part 1 -
Employer contributions are invested entirely in Caterpillar Inc. common stock. Participants may elect to have their contributions invested as follows: (1) 100% in Caterpillar Inc. common stock or (2) 50% in Caterpillar Inc. common stock and 50% in a Collective Government Short-Term Investment Fund until June 30, 2001. After June 30, 2001, all contributions were invested in Caterpillar Inc. common stock. The Collective Government Short-Term Investment Fund is managed by The Northern Trust Company.

Part 2 -
Participants may elect to have their contributions invested in any combination of the following thirteen investment fund options at December 31, 2001:

  • Caterpillar Stock Fund

  • Preferred Stable Principal Fund

  • Preferred Short-Term Government Fund

  • Preferred Money Market Fund

  • Preferred Value Fund

  • Preferred International Fund

  • Preferred Growth Fund

  • Preferred Asset Allocation Fund

  • Preferred Fixed Income Fund

  • Preferred Small Cap Fund

  • Northern Trust Russell 3000

  • Preferred Mid Cap Growth Fund

  • Preferred International Growth Fund

    •

In addition, a self-directed fund option allows participants to invest in various other mutual funds outside of the standard Plan options. State Street Bank serves as custodian for funds invested through this self-directed fund option.

Vesting and distribution provisions

Part 1 -
Participants are immediately fully vested at all times in participant contributions and earnings thereon.

Participants begin vesting in employer contributions generally after the end of the second year of plan participation. Participants generally vest at the rate of 33% per year, resulting in full vesting by participants in employer contributions after five years of service with the Company. Any amounts not vested at withdrawal are forfeited and are applied to reduce the amount of future employer contributions to the Plan. Shares become fully vested upon retirement, permanent disability or death.

-8-

While an employee, a participant may elect to withdraw all participant contributions and related earnings as provided by the Plan. Employer contributions may also be withdrawn based on vested status as provided by the Plan. Upon termination of employment, participants may elect (with spousal consent, if applicable) to receive their shares by immediate distribution or a deferred distribution. If termination is due to retirement or disability, participants may elect (with spousal consent, if applicable) various annuity payments.

Part 2 -
Participants are immediately fully vested in their participant contributions and earnings thereon. Upon termination of employment for any reason, including death, retirement or total and permanent disability, or upon Plan termination, the vested balances in participants' accounts are distributable.

Participants vest immediately in the Company's matching contributions and the earnings thereon.

Transfers from Part 1 to Part 2
On a monthly basis, participants are allowed to transfer some or all of their vested balances in the Part 1 accounts to Part 2 of the Plan. Participants are allowed only one such transfer per month.

Administration
The Plan is administered by the Investment Plan Committee, which is responsible for nonfinancial matters, and the Benefits Funds Committee, which is responsible for financial aspects of the Plan. Caterpillar Inc. and the Benefit Funds Committee have entered into trust agreements with The Northern Trust Company to receive contributions, administer the assets of the Plan and distribute withdrawals pursuant to the Plan.

Plan termination
Although it has not expressed any intent to do so, the Company has the right under the Plan to discontinue its contributions at any time and to terminate the Plan subject to the provisions of ERISA. In the event of Plan termination, each participant in Part 1 shall have a fully vested interest in the assets attributable to employer contributions and earnings thereon. Any unallocated assets of the Plan will be allocated to participant accounts and distributed in such a manner as the company may determine.

Federal income tax status
The Internal Revenue Service has determined and informed the Company by letter dated April 13, 1999, that the Plan and related trust are designed in accordance with applicable sections of the Internal Revenue Code (IRC). The Plan has been amended subsequent to the determination letter; however, the Plan administrator believes that the Plan is designed and is currently being operated in compliance with the applicable requirements of the IRC. Therefore, they believe that the Plan is qualified and the related trust is tax-exempt as of the financial statement date.

Risks and uncertainties
The Plan provides for various investment options in any combination of stocks, bonds, fixed income securities, mutual funds and other investment securities, including a significant amount of common stock of the Company. Investment securities are exposed to various risks, such as interest rate, market and credit risks. Due to the level of risk associated with certain investment securities, it is at least reasonably possible that changes in the values of investment securities could occur in the near term and that such changes could materially affect participants' account balances and the amounts reported in the statement of net assets available for benefits.

-9-

Reclassifications
Certain 2000 amounts have been reclassified to conform with the 2001 presentation. These reclassifications have no impact on net assets as previously presented.

NOTE 2 - SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES:

Basis of accounting
The Plan's accounts are maintained on the accrual basis of accounting.

Investments
The Plan's investments are stated at fair value. Caterpillar Inc. common stock is valued at quoted market prices. The fair value of the Plan's investment in the Collective Government Short-Term Investment Fund and the 401(k) Master Trust (Note 4) is based upon the beginning of the year value of the Plan's investment plus actual contributions, transfers and allocated investment income (loss) less actual withdrawals. Shares of registered investment companies included in the self-directed fund option are valued at quoted market prices which represent the net asset value of shares held by the Plan at year end. Income from investments is recorded as earned.

Contributions
Contributions to the Caterpillar Common Stock Fund under Part 1 of the Plan are made directly to the trust and shares are immediately purchased by the trust on the open market.

Administrative expenses
Administrative costs, including trustee fees and certain investment costs, are paid by the Company.

Withdrawals
Withdrawals are recorded when paid.

Transfers
As detailed in Note 1, on a monthly basis, participants are allowed to transfer vested balances in the Part 1 accounts to Part 2 of the Plan. At November 30, transfers payable represent such transfers for the month of November. The related receivable is recorded by the Master Trust and is included in the Plan's Investment in the Master Trust Net Assets at November 30, 2001 and 2000.

Transfers from other plans generally represent account balance transfers for participants who transfer from one plan covered by the Master Trust to another plan covered by the Master Trust. In addition, during 2001, the Perkins Engines Retirement Plan merged into the Plan with participant account balances of $2,359,000 which were transferred into the Plan through this line item. During 2000, the Caterpillar Agricultural Products Inc. Shop Employees Retirement Plan and Caterpillar Agricultural Products Inc. Office Employees Retirement Plan merged into the Plan with participant account balances of $7,759,000 which were transferred into the Plan through this line item.

Use of estimates in the preparation of financial statements
The preparation of financial statements in conformity with accounting principles generally accepted in the United States of America requires management to make estimates and assumptions that affect the reported amounts of assets, liabilities, income and benefit payments. Actual results could differ from those estimates. The Company believes the techniques and assumptions used in establishing these amounts are appropriate.

-10-

NOTE 3 - INVESTMENTS:

All employer matching contributions under Part 1 of the Plan are directed by the Company into a Caterpillar Inc. Common Stock Fund. By definition, this fund is nonparticipant directed. Details of the net assets of Part 1 - Caterpillar Inc. Common Stock Fund, and significant components of the changes in net assets relating to this fund, are as follows:
 

November 30,

  
 
 
 

2001

  

2000

  
 
 
 
 

(Dollars in 000's)

  

Net assets - Part 1 Caterpillar Inc. Common Stock Fund:
 

Common stock

$

910,422

  

$

728,130

  

Common and collective trust

126

103
 

Employer contributions receivable

766

  

665

  

Participant contributions receivable

1,421

1,251
 

Interest and dividends receivable

7

  

12

  

Transfers payable to Part 2

(798

 )

(637

 )
 

Other receivables (payables)

24

  

(3

 )
 
 
 

Net assets - Part 1 Caterpillar Inc. Common Stock Fund

$

911,968

$

729,521

 

For the year ended
November 30,

  
 
 
 

2001

  

2000

  
 
 
 
 

(Dollars in 000's)

  

Changes in net assets - Part 1 Caterpillar Inc. Common Stock Fund:
 

Employer contributions

$

42,054

  

$

34,443

  
Participant contributions

62,432

62,558

 

 Interest and dividends

25,960

  

23,454

  
Net appreciation (depreciation)

149,246

(123,297

 )

 

 Withdrawals

(70,416

 )

(37,240

 )
Transfers to participant-directed investments

(26,829

 )

(24,221

 )
   

Net increase (decrease)

$

182,447

  

$

(64,303

 )
 
 
 

NOTE 4 - MASTER TRUST:

Under a Master Trust agreement with The Northern Trust Company (the Trustee), Part 2 of the Caterpillar Inc. Employees' Investment Plan (EIP), the Solar Turbines Incorporated Savings and Investment Plan and the Caterpillar Inc. Tax Deferred Savings Plan pool their investments in the Caterpillar Inc. 401(k) Master Trust (the Master Trust) in exchange for a percentage of participation in the Trust.

-11-

The Master Trust invests mainly in the Preferred Group of Mutual Funds, registered investment companies which are sponsored by Caterpillar Investment Management Ltd. (CIML), a wholly-owned subsidiary of Caterpillar, Inc. The investment options available to the participants are summarized in Note 1.

CIML manages the Preferred Small Cap Fund and the Preferred Short-Term Government Fund. All other funds are managed by unrelated investment managers. Caterpillar Securities, Inc., a wholly-owned subsidiary of CIML, distributes the shares of the mutual funds to the Master Trust.

The percentage of the Plan's participation in the Master Trust was determined based on the November 30, 2001 and 2000 fair values of net assets, as accumulated by the Trustee for the investment funds of each plan. At November 30, 2001 and 2000, the Plan's pro rata interest in the quoted fair values of net assets of the Master Trust was 82.26% and 82.82%, respectively.

Investment valuation
The Master Trust's investments are stated at fair value. Common stock and cash and cash equivalents are valued at quoted market prices. Shares of registered investment companies are valued at quoted market prices which represent the net asset value of shares held by the Master Trust at year end. Common and collective trust investments are valued at beginning of year value of the Master Trust's investment plus actual contributions, transfers and allocated investment income less actual withdrawals. Participant loans are valued at estimated fair value which consists of outstanding principal and related accrued interest.

The net investment income or loss of the Master Trust is reflected in the financial statements of the Plan based on the actual earnings of each investment fund as allocated to the Plan based on average investment balances throughout the year.

Details of the net assets and significant components of the net investment (loss) income of the Master Trust are as follows:
 

November 30,

  
 
 
 

2001

  

2000

  
 
 
 
 

(Dollars in 000's)

  

Investments, at fair value:
 

Cash and cash equivalents

$

17,338

  

$

12,940

  

Common stock

380,025

387,336
 

Registered investment companies

1,100,313

  

1,078,109

  

Common and collective trust

166,378

131,689
 

Participant loans

26,096

  

27,597

  
 
 
 

Total investments

1,690,150

1,637,671

Dividend and interest receivable

29

  

57

  

Transfers receivable from EIP Part 1

800

649

Contributions receivable

5,587

  

5,461

  

Other (payable)/receivable, net

(1,241

)

204
   

Net assets of Master Trust

$

1,695,325

  

$

1,644,042

  
 
 
 

-12-
 

For the year ended
November 30,

  
 
 
 

2001

 

2000

 
 
 
 
 

(Dollars in 000's)

 

Investment income:

  
 

Interest

$

3,049

  

$

3,440

  

Dividends

25,901

12,048

 

Net appreciation (depreciation) in fair value of:

        

Common stock

69,221

(42,285

)
   

Registered investment companies

(95,800

)

(23,188

)

Common and collective trust

7,824

7,159

     

Net investment (loss) income

$

10,195

  

$

(42,826

 )
 
 
 

-13-

 

SUPPLEMENTAL SCHEDULES

 

-14-

SCHEDULE I

CATERPILLAR INC.
EMPLOYEES' INVESTMENT PLAN

SCHEDULE H, LINE 4i - SCHEDULE OF ASSETS HELD AT END OF YEAR
NOVEMBER 30, 2001

(a)

  

(b)

  

(c)

  

(d)

  

(e)
   

Identity of issue,
borrower, lessor
or similar party

  

Description of investment, including
maturity date, rate of interest, collateral,
par or maturity value

  

Cost **

  

Current
Value
 
 
 
 

*

 Caterpillar Inc. Common stock; 19,199,115 shares

$

642,270,511

$

910,422,033
 

*

   Northern Trust   Collective Short-Term Investment Fund; 125,765 units        

125,765
               

*

 Northern Trust Collective Government Short-Term Investment Fund; 12,090,203 units  

12,090,203
 

*

   Caterpillar Inc.   401(k) Master Trust        

1,359,311,500
               
Accessor FDS Income Growth; 144.57 units

3,273
        FDS Income Small to Mid-Cap; 258.09 units        

4,176
Active PWR Inc.; 414.00 units  

2,467
    AIM   Constellation; 149.66 units        

3,252
Dent Demographic Trends Class A; 786.16 units

6,808
        Developing Markets Class B; 812.06 units        

5,969
European Developments Class C; 889.50 units

14,632
        Global Growth Class A; 260.44 units        

3,987
Alger Capital Appreciation Class A; 233.78 units

2,078
    Alleghany/Veredus   Aggressive Growth Class N; 1,438.41 units        

26,553
Alliance Growth & Income Class A; 1,506.87 units

5,485
        North American Government Class B; 74.26 units        

525
Technology Class A; 50.99 units

3,419
        Technology Class B; 163.10 units        

10,156
American Growth Fund of America Class C; 244.98 units

5,669
    American Century   Benham Target Maturity TR 2020; 128.37 units        

5,015
Benham Target Maturity TR 2025; 137.46 units

4,551
        20th Century Emerging Markets; 783.07 units        

3,171
20th Century International Growth; 10,529.42 units

82,761
        20th Century Ultra; 2,616.59 units        

70,831
Benham GMNA; 2,684.34 units

28,776
        Global Gold; 15,196.58 units        

76,743
Global Growth; 105.68 units

653
        Global Natural Resource; 1,699.66 units        

19,750
Income & Growth; 2,576.88 units

69,215
        Intermediate Bond; 703.98 units        

7,181
Life Sciences; 1,816.24 units

8,845
        Small Cap Value; 28,131.87 units        

216,334
American Heritage American Heritage Fund; 9,899.07 units

990
    American Washington   Mutual Investors C; 185.42 units        

5,299
Amerindo Technology Class D; 506.33 units

2,678
    Ameristock   Ameristock Mutual Funds; 715.28 units        

29,155
Ariel Appreciation Class B; 2,961.82 units

107,692
        Growth Class A; 526.21 units        

19,175
ARK Small Cap Equity Class A; 91.80 units

1,434
    Artisan   International Fund; 5,294,08 units        

93,758
Mid Cap; 635.55 units

15,698
        Small Cap; 195.00 units        

2,498
ASAF Janus Small-Cap Growth Class B; 1,427.75 units

16,847


- -15-
    Babson   DL Growth; 2,211.93 units        

24,575
Value Income; 2,042.59 units

84,379
    Baron   Asset Fund; 5,247.70 units        

214,106
Growth & Income; 1,142.86 units

32,412
        Small Cap Fund; 3,484.84 units        

48,892
I Opportunity; 343.70 units

1,849
    Berger   Balanced Retail; 866.90 units        

11,826
Large Cap Growth N/C; 2,169.06 units

23,860
        Mid Cap Value; 123.92 units        

2,024
New Gen Retail; 4,035.02 units

30,464
        Select Retail; 509.91 units        

3,488
Small Cap Val Retail; 1,160.42 units

33,060
        Small Co Growth Retail; 4,374.64 units        

13,474
Berkshire Focus Fund; 733.79 units

7,103
    Bjurman   Micro Cap Growth; 641.05 units        

30,578
Black Black Oak Emerging Technology Fund; 2,436.98 units

9,358
    Blackrock   International Small Cap Equity Institution; 217.41 units        

3,376
Micro Cap Equity Inst; 44.56 units

907
    Boston Partners   Small Cap Value 11; 255.81 units        

4,262
Brandywine Blue Fund; 7,043.28 units

150,444
    Bridgeway   Aggressive Growth; 2,521.11 units        

92,273
Micro Cap Limited; 2,453.39 units

23,135
    BT Investment   International Equity; 174.70 units        

3,227
Buffalo Small Cap Growth; 2,470.64 units

46,102
    Montag & Caldwell   Growth Fund; 151.10 units        

3,614
Calamos Convertible Class A N/C; 290.61 units

5,376
    Calvert   Large Cap Growth Class I N/C; 716.99 units        

14,963
Cash Cash; 194,72 units

195
    Citizens   Emerging Growth; 1,444.39 units        

19,326
Global Equity N/C; 36.42 units

585
    Clipper   Clipper Fund; 3,191.21 units        

272,976
Clover Small Cap Value; 1,320.09 units

24,303
    Cohen & Steers   Realty Shares Income; 1,184.11 units        

52,397
Special Equity Fund; 121.48 units

3,248
    Columbia   High Yield; 120.59 units        

1,090
Real Estate Equity; 972.56 units

17,312
        Small Cap; 100.81 units        

2,096
Credit Suisse Cap Appreciation N/C; 2,820.80 units

50,069
        War Pin Japan Small Company; 8,200.31 units        

14,515
War Pincus Emerging Markets N/C; 214.94 units

1,535
        War Pincus Global Telecom N/C/ 2,087.92 units        

61,427
War Pincus Intl Equity N/C; 3,517.58 units

40,909
        War Pincus Intl Sm Co N/C; 615.22 units        

9,265
War Pincus Japan Growth N/C; 1,607.90 units

8,259
        War Pincus N/C; 219.25 units        

4,332
War Pincus Small Co Grow; 49.43 units

834
        WP Glo Post Venture Capital N/C; 1,495.51 units        

23,779
Davis New York Venture Class A; 190.96 units

4,759
    Dodge & Cox   Balance; 115.24 units        

7,636
Stock; 64.80 units

6,482


- -16-
    Dresdner   RCM Biotechnology N; 4,935.80 units        

138,696
RCM Europe Class N; 783.47 units

6,189
        RCM Global Health Care N; 1,125.12 units        

23,560
RCM Global Technology Class N; 189.86 units

5,496
        RCM Global Technology Fund; 2,779.37 units        

81,130
Dreyfus Aggressive Value Fund; 180.05 units

4,035
        Appreciation Fund; 60.20 units        

2,310
Emerging Leaders Fund; 392.08 units

12,943
        Emerging Markets; 2,114.31 units        

23,300
Founders Worldwide Class F N/C; 295.46 units

3,433
        Dreyfus Fund; 406.22 units        

4,034
Intermediate Term Income; 1,134.45 units

14,555
        International Stock Index; 1,212.12 units        

13,309
Midcap Index Fund; 4,788.47 units

99,265
        Midcap Value Fund; 682.08 units        

18,123
New Leaders; 162.33 units

6,363
        S&P 500 Index Fund; 3,624.79 units        

121,249
Small Company Value Fund; 44.35 units

1,126
        Technology Growth Fund; 950.66 units        

23,776
Driehaus International Discovery; 160.25 units

3,122
    Eaton Vance   Utilities Class A; 967.43 units        

7,246
Worldwide Health Services Class A; 903.74 units

9,281
        Worldwide Health Services Class B; 2,907.87 units        

32,481
Evergreen HealthCare Class B; 135.04 units

2,109
        Omerga Class B; 398.94 units        

8,298
Utility Class A; 708.14 units

6,090
    Excelsior   Income Business & Industrial Restructuring FD;
446.07 units		        

13,788
FBR Small Cap Financial Fund; 936.06 units

19,760
    Federated   Bond Class A; 1,584.94 units        

13,821
International Small Company Class A N/C; 2,110.73 units

37,001
        Kaufmann Class K N/C; 5,450.24 units        

22,673
Fidelity Asset Manager Growth; 879.10 units

12,835
        Balanced; 1,250.46 units        

18,532
Blue Chip Growth; 390.42 units

25,288
        Capital & Income; 3,166.28 units        

21,784
Contra Fund; 2,983.94 units

125,326
        Convertible Securities; 1,137.80 units        

22,187
Diversified International; 3,508.40 units

65,888
        Dividend Growth; 8,429.12 units        

235,425
Emerging Growth; 5,578.79 units

105,941
        Emerging Markets; 166.73 units        

1,214
Equity Income II; 1,124.92 units

23,859
        Europe Capital Appreciation; 687.74 units        

11,176
Export & Multinational; 321.76 units

5,351
        Fidelity Fund; 3,879.46 units        

109,944
Ginnie Mae; 5,807.63 units

63,652
        Growth & Income; 2,177.15 units        

81,012
Growth Company; 6,634.09 units

350,612
        International Value; 707.04 units        

8,329


- -17-
Japan; 232.71 units

2,253
        Japan Small Companies; 893.14 units        

6,163
Latin America; 243.90 units

2,732
        Low Priced Stock; 392.67 units        

10,300
Magellan; 65.01 units

6,725
        Mid Cap Stock; 9,738.85 units        

213,476
New Markets Income; 923.47 units

10,029
        OTC Port; 644.69 units        

19,663
Overseas; 84.74 units

2,321
        Pacific Basin; 158.41 units        

2,202
Puritan; 520.83 units

9,219
        Real Estate Investment; 6,133.35 units        

117,883
Retirement Growth; 309.65 units

4,905
        Select NWK & Infrastructure; 10,549.88 units        

31,017
Select Wireless Portfolio; 2,120.28 units

11,619
        Short Term Bond; 1,150.23 units        

10,168
Small Cap Stock; 782.25 units

10,654
        Southeast Asia; 2,029.43 units        

20,883
Stock Selector; 323.76 units

6,786
        Trends; 147.42 units        

7,117
US Bond Index; 445.24 units

4,862
        Utilities; 146.54 units        

1,912
Value; 1,040.12 units

51,954
        Worldwide; 193.26 units        

2,781
Firsthand Communications; 13,327.34 units

44,247
        E-Commerce; 19,541.32 units        

60,578
Technology Leaders; 2,706.39 units

51,638
        Technology Innovator; 6,354.07 units        

96,836
Technology Value; 12,912.43 units

531,218
    Franklin   Biotech Discovery Fund A; 143.91 units        

8,223
CA Growth Class I; 94.70 units

2,951
        Global Health Care; 49.95 units        

1,136
Real Estate Securities Class I; 1,092.68 units

17,723
    Fremont   Real Estate Securities; 59.31 units        

512
US Micro Capital; 1,225.35 units

32,888
        US Small Cap; 278.58 units        

3,396
Gabelli Asset Shares Ben International; 1,198.94 units

39,193
        Global Inter-Active Couch Potato; 3,805.45 units        

57,729
Growth Shares Ben International; 2,672.57 units

76,943
        Westwood Mighty Mites Fund; 93.26 units        

1,057
Galaxy Small Capital Value Trust Shares; 6,682.11 units

99,363
    Genomics   Genomics Fund.com; 978.05 units        

4,646
Goldman Sachs Core US Equity Class B; 908.92 units

21,414
        Growth Opportunities CL C; 1,040.04 units        

18,700
Intl Equity Class B; 544.78 units

7,899
        Small Cap Equity Class B; 712.29 units        

18,854
Green Century Balanced; 182.96 units

2,783
    Growth   Fund of America; 3,923.15 units        

91,919


- -18-
Harbor Bond; 9,795.03 units

116,561
        Capital Appreciation; 9,235.56 units        

268,755
Growth; 532.01 units

6,171
    Hartford   Capital Appreciation CL B; 666.21 units        

16,395
Stock Class B; 1,212.57 units

21,147
    Henlopen   Henlopen Fund; 902.91 units        

16,623
Idex Global Class A; 310.01 units

7,797
    Income   Fund of America; 1,524.07 units        

24,537
Invesco Balanced N/C; 419.68 units

6,085
        Blue Chip Growth N/C; 2,822.38 units        

7,508
Dynamics N/C; 2,020.22 units

31,111
        Endeavor N/C; 4,501.14 units        

42,806
Energy N/C; 858.05 units

13,797
        Financial Services N/C; 771.06 units        

20,657
Gold N/C; 23,051.96 units

38,036
        Health Sciences N/C; 3,844.02 units        

200,389
High Yield Bond N/C; 2,302.44 units

8,496
        International European; 1,471.33 units        

16,508
Leisure N/C; 1,433.77 units

51,458
        Small Company Growth N/C; 257.16 units        

2,950
Technology N/C; 2,132.44 units

69,816
        Telecommunications #39 N/C; 12,043.56 units        

201,127
Utilities N/C; 660.57 units

7,544
    Investec   Asia Small Cap N/C; 820.13 units        

4,568
China & Hong Kong N/C; 260.54 units

3,046
        Internet.com Index N/C; 211.59 units        

925
Mainland China N/C; 286.49 units

2,169
        Wired Index N/C; 2,958.35 units        

38,577
Wireless World N/C; 3,888.03 units

18,079
    Investment   Investment Company of America; 2,441.20 units        

70,526
IPS Millennium Fund; 841.16 units

24,764
    Jacob   Internet; 4,034.61 units        

3,429
Janus Enterprise; 11,808.51 units

373,976
        Flexible Income; 2,050.76 units        

19,154
Janus Fund; 14,388.45 units

351,510
        Janus Fund 2; 1,025.33 units        

7,567
Global Life Sciences; 23,195.84 units

403,376
        Global Technology; 40,001.39 units        

480,417
Global Value Fund; 38.50 units

402
        High Yield Bond; 2,315.36 units        

21,880
Investment Balanced; 10,649.15 units

209,682
        Investment Equity Income; 2,669.35 units        

47,488
Investment Growth & Income; 15,236.62 units

450,852
        Investment Mercury; 40,960.66 units        

837,236
Investment Overseas; 4,522.42 units

88,594
        Investment Short Term Bond; 390.93 units        

1,153
Investment Twenty; 9,127.19 units

354,682
        Investment Worldwide; 24,444.03 units        

1,045,227


- -19-
Olympus; 24,595.94 units

667,288
        Orion Fund; 13,755.30 units        

77,717
Special Situations; 10,163.15 units

147,467
        Strategic Value Fund; 40,280.30 units        

364,537
Japan Japan Fund; 438.42 units

3,117
    John Hancock   Biotechnology CL B; 344.93 units        

3,587
Financial Industries Class C; 229.01 units

3,625
        Focused Relative Value CL B; 275.23 units        

2,284
Health Sciences Class C; 344.98 units

13,630
        Small Cap Value Class B; 365.19 units        

4,781
Sovern Emerging Growth Class B; 1,072.57 units

8,945
        Sovern Global Tech Class B; 1,118.69 units        

5,168
Liberty Acorn Class Z N/C; 6,464.12 units

109,179
        Foreign Forty CL Z N/C; 432.84 units        

5,082
International CL Z N/C; 917.51 units

16,625
    Lindner   Bulwark; 985.38 units        

6,149
Investments Dividend; 1,128.39 units

23,267
    Longleaf   International; 405.01 units        

4,933
Loomis Sayles Aggressive Growth Institution; 138.49 units

2,280
        Sayles Bond; 342.76 units        

3,681
Managers FDS International Equity; 572.70 units

21,654
        Special Equity; 273.74 units        

18,258
Marketocracy Medical Specialist N/C; 190.29 units

2,485
    Marsico   21st Century Fund; 1,199.92 units        

8,687
Focus; 3,592.45 units

48,390
    Masters   Select Equity; 988.17 units        

12,056
Select International; 852.52 units

10,495
    Matthews   Dragon Century China; 1,484.85 units        

13,839
Mercury HW International Value Class I N/C; 224.08 units

4,719
    Meridian   Value Fund; 1,945.11 units        

60,435
Metropolitan West Low Duration; 501.97 units

5,035
    MFS   Emerging Growth Class B; 312.75 units        

9,658
High Income Class B; 17,360.98 units

67,361
        Investor Growth Stock Class B; 718.94 units        

8,548
New Discovery Class B; 559.61 units

8,892
    MicroSoft   MicroSoft Corp; 150.00 units        

9,632
Midas Midas Fund; 3,747.49 units

3,335
    Montgomery   Emerging Markets; 86.51 units        

702
Global Communication; 3,240.71 units

32,537
        Growth; 2,592.64 units        

34,612
International Growth; 206.15 units

2,183
    MSIF   Mid Cap Value Portfolio N/C; 5,071.28 units        

98,941
Small Cap Growth Instl N/C; 117.51 units

3,350
        Trust Mid Cap Growth Port N/C; 335.85 units        

5,720
Muhlenkamp Fund; 9.61 units

481
    Munder   Framlington Healthcare Class C; 56.83 units        

1,212
Framlington Healthcare Class B; 1,121.39 units

23,942
        Future Technology Class A; 67.25 units        

328
Future Technology Class B; 420.17 units

2,021
        International Net Net Class B; 1,260.29 units        

3,226


- -20-
Net Net Class A; 329.01 units

5,738
        Net Net Class B; 812.452 units        

13,804
Net Net Class C; 132.94 units

2,260
    Mutual Series   Beacon Class Z; 688.25 units        

9,346
Discovery Class Z; 3,003.94 units

55,543
        European Class Z; 1,735.61 units        

25,253
Qualified Income Class Z; 2,465.35 units

41,862
        Shares Class Z; 366.43 units        

7,281
Navellier Aggressive Micro Cap; 129.80 units

2,913
        Mid Cap Growth Portfolio; 1,334.08 units        

28,749
Needham Growth Fund; 1,175.82 units

31,712
    Neuberger & Berman   Focus Trust Firmly Selected Sectors TR; 1,116.08 units        

29,543
Genesis Fund; 104.24 units

2,065
        Genesis Trust; 3,674.12 units        

104,235
Guardian Trust; 540.48 units

6,097
    Neuberger Berman   Focus Trust; 76.29 units        

2,738
Millenium Fund; 39.14 units

574
        Regency Fund; 690.34 units        

8,664
Nevis Nevis Fund; 64.31 units

893
    New Perspective   New Perspective Fund; 3,194.21 units        

69,091
Northeast Investors Trust CTFS Benefit International; 2,767.79 units

20,260
    Oak   Value Fund; 625.86 units        

17,524
Oakmark Balanced; 2,559.77 units

46,741
        Oakmark Fund; 1,147.53 units        

39,314
International; 1,517.94 units

21,099
        Select; 12,696.90 units        

335,452
Small Cap; 803.31 units

12,773
    Olstein   Alert Fund; 434.53 units        

6,666
Oppenheimer Capital Appreciation Class C; 53.79 units

2,064
        Global Class A; 43.30 units        

1,978
Global Class C; 23.75 units

1,048
        Global Growth & Income Class A; 35.11 units        

746
Global Growth & Income Class B; 186.04 units

3,871
        Midcap Class C; 217.39 units        

3,176
Strategic Income Class C; 4,131.36 units

15,782
    Orbitex   Digital Technology Class B N/C; 1,154.29 units        

3,613
Health and Biotech Class B; 453.22 units

8,335
        Info-Tech & Communications Class B; 440.29 units        

4,253
Payden & Rygel Global Fixed Income Class A; 2,357.42 units

24,022
        Growth & Income Class A; 527.97 units        

5,607
PBHG Core Growth; 775.75 units

8,254
        Emerging Growth; 229.80 units        

3,562
Global Tech & Communications; 19,657.04 units

80,987
        Growth; 3,978.09 units        

79,005
Large Cap 20; 1,243.39 units

20,591
        Large Cap Growth; 6,181.40 units        

130,304
Large Cap Value; 3,928.84 units

53,472
        Mid Cap Value; 847.33 units        

12,888
New Opportunities; 1,094.26 units

27,400


- -21-
        Select Equity; 16,789.07 units        

412,339
Small Cap Value; 211.96 units

4,108
        Strategic Small Company; 1,167.23 units        

15,069
Technology & Communication; 26,807.45 units

448,220
    Pilgrim   Emerging Countries Class A; 336.13 units        

4,413
International Small Cap Growth A N/C; 266.82 units

5,950
        International Small Cap Growth Q N/C; 197.90 units        

4,684
Small Cap Growth Class B; 232.87 units

2,706
        Troika Dialog Russia Class A N/C; 841.55 units        

7,599
PIMCO Innovation Class A; 124.62 units

2,829
        Innovation Class B; 51.53 units        

1,098
Long Term US Government; 14,081.48 units

152,362
    Pin Oak   Aggressive Stock; 5,411.09 units        

133,925
Potomac OTC Plus; 164.12 units

2,073
    Preferred   Growth Fund; 286.39 units        

3,511
Prudential Sector Health Sciences Class C; 1,293.95 units

19,784
    Putnam   Health Sciences Trust Class B; 494.89 units        

30,792
International Voyager Class C; 147.37 units

2,271
        International Growth Class A; 99.66 units        

1,937
International Growth Class B; 171.80 units

3,245
        International Voyager Class B; 553.46 units        

8,440
Investors Class A; 102.60 units

1,186
        New Opportunities Class A; 226.86 units        

9,204
New Opportunities Class B; 44.25 units

1,660
        OTC & Emerging Growth Class C; 874.94 units        

6,203
OTC & Emerging Growth Class A; 104.31 units

755
        OTC & Emerging Growth Class B; 253.88 units        

1,671
Voyager Class A; 195.18 units

3,511
        Voyager Class B; 866.80 units        

13,999
Red Oak Technology Select; 27,727.98 units

283,103
    Renaissance   IPO Plus Aftermarket; 142.95 units        

1,221
Reynolds Blue Chip Growth; 956.27 units

33,947
    Royce   Low Priced Stock Fund; 1,427.77 units        

15,534
Opportunity Fund; 9,222.14 units

78,112
    RS   Aggressive Growth; 3,804.85 units        

21,688
Diversified Growth N/C; 4,348.18 units

90,138
        Emerging Growth N/C; 6,136.63 units        

182,503
Global Natural Resources N/C; 342.20 units

3,829
        Internet Age; 4,562.42 units        

24,181
Microcap Growth N/C; 101.66 units

2,080
        Mid Cap Oppties N/C; 324.15 units        

3,164
Value Plus and Growth N/C; 0.01 units

-
    Rydex   Arktos InvestorClass; 512.03 units        

15,755
Biotechnology Advisor Class; 55.44 units

1,420
        Biotechnology Investment Class; 8,851.41 units        

231,907
Electronics Investment Class; 7,384.12 units

121,395
        Health Care Advisor Class; 778.45 units        

8,976
Juno Fund; 1,368.82 units

11,430


- -22-
        Nova Fund; 1,142.93 units        

28,996
OTC Fund; 80,441.35 units

900,943
        URSA Fund; 5,071.70 units        

54,064
Velocity 100; 689.85 units

22,986
    Safeco   Equity Fund; 1,112.39 units        

20,468
Schroder US Small Co Investor Class; 432.64 units

6,957
    Scudder   Aggressive Growth Class B N/C; 1,869.03 units        

24,671
Dreman High Return Class B N/C; 1,234.16 units

45,121
        Greater Europe Growth; 2,458.71 units        

55,395
Healthcare; 479.88 units

9,972
        International; 38.44 units        

1,407
Latin America; 133.10 units

2,461
        Mutual Income Gold; 740.41 units        

4,983
Small Company Value; 595.15 units

12,507
        Technology Class B N/C; 1,781.33 units        

19,399
Technology Fund; 951.45 units

15,014
    SEI   Large Cap Value; 1,123.02 units        

20,506
Select Air Transport; 75.36 units

2,172
        American Gold; 1,197.48 units        

16,956
Biotechnology; 3,557.44 units

246,993
        Brokerage & Investment Management; 726.19 units        

30,522
Computers; 2,013.30 units

75,056
        Defense & Aerospace; 492.78 units        

20,180
Develop Communications; 5,889.59 units

112,197
        Electronics; 7,888.86 units        

382,215
Energy; 422.44 units

9,239
        Energy Service; 543.28 units        

14,250
Financial Services; 326.43 units

32,966
        Health Care; 1,463.71 units        

190,136
Leisure; 24.76 units

1,509
        Medical Delivery; 27.45 units        

726
Money Market; 25,476.46 units

25,476
        Natural Gas; 1,181.36 units        

20,768
Regional Banks; 281.60 units

9,149
        Software & Computer; 561.45 units        

25,827
Technology; 2,364.92 units

142,794
        Telecommunications; 510.31 units        

18,397
Selected American Shares; 4,317.18 units

131,372
    Seligman   Communications & Information Class B; 2,174.76 units        

47,214
SIT Small Cap Growth; 531.04 units

13,154
    Sound   Sound Shore Fund Inc.; 326.26 units        

10,626
Spartan High Income; 3,649.37 units

30,107
        Market Index; 738.16 units        

58,226
Total Market Index; 415.05 units

12,144
        US Equity Index; 322.76 units        

13,049
Spectra Spectra Fund Inc.; 4,191.96 units

28,715


- -23-
    SSGA   Emerging Markets; 1,078.51 units        

8,876
Growth & Income; 147.39 units

2,867
        Money Market Fund; 11,487,022.35 units        

11,487,022
Real Estate Equity; 116.35 units

1,137
        S&P 500 Index; 7,484.55 units        

141,159
Small Cap Equity; 220.02 units

4,337
    State St Research   Aurora Class A; 6,226.93 units        

189,112
Aurora Class D; 479.54 units

13,801
    Stein Roe   Capital Opportunity N/C; 252.46 units        

5,122
Income Trust N/C; 1,540.04 units

14,769
        Young Investor N/C; 154.11 units        

3,256
Strong Advantage; 368.93 units

3,619
        American Utilities; 171.20 units        

2,571
Corporate Bond Income; 12,545.26 units

133,607
        Dow 30 Value; 481.14 units        

5,923
Enterprise; 2,604.79 units

56,498
        Government Securities Income; 2,551.98 units        

28,199
Growth; 4,851.02 units

85,135
        Growth & Income; 2,371.47 units        

48,141
Growth 20; 1,723.98 units

24,911
        Income High Yield Bond; 6,758.71 units        

54,340
Index 500; 184.60 units

2,501
        Large Cap Growth N/C; 270.49 units        

6,405
Multi Cap Value N/C; 79.60 units

3,947
        Opportunity Income; 3,005.79 units        

116,685
Overseas; 414.76 units

4,471
        Technology 100 Fund; 861.31 units        

4,151
T Rowe Price Blue Chip Growth Inc; 1,242.12 units

35,487
        Price Cap Appreciation; 1,833.14 units        

27,699
Dividend Growth; 956.48 units

19,550
        Equity Income; 7,637.86 units        

182,621
European Stock; 2,878.59 units

45,770
        Financial Services; 724.12 units        

14,613
Growth & Income; 126.49 units

2,875
        Growth Stock; 4,805.82 units        

115,628
Health Sciences; 1,291.80 units

26,017
        International Stock; 1,835.12 units        

20,370
International New Asia; 7,942.02 units

45,905
        Media & Telecommunications; 1,207.48 units        

23,292
Mid Cap Growth; 1,148.54 units

43,036
        New Era; 3,454.01 units        

76,161
Science & Technology; 6,677.67 units

140,031
        Small Cap Stock; 993.10 units        

23,715
US Treasury Long Term; 2,048.48 units

23,742
    TCW   Galileo Value Opportunity Class I; 291.50 units        

5,195
Templeton Growth Class I; 1,190.82 units

21,244
    The Contrarian   The Contrarian Fund N/C; 1,170.48 units        

11,412
The Information Age The Information Age N/C; 2,812.32 units

39,457


- -24-
    The Internet   The Internet Emerging Growth; 55.15 units        

222
The Internet Fund; 3,365.62 units

70,981
        The Internet Global Growth; 67.26 units        

267
The Internet Infrastructure; 63.52 units

274
    The Medical Fund   The Medical Fund; 204.17 units        

3,781
Third Avenue Third Avenue Small Cap Value Fund; 6,577.81 units

97,154
        Third Avenue Real Estate Value; 5,785.17 units        

89,497
Third Avenue Value Fund; 4,898.28 units

175,603
    Thompson   Thompson Plumb Growth Fund; 78.14 units        

3,630
Thornburg Thornburg Value Class A; 71.83 units

2,002
        Thornburg Value Institutional; 1,705.35 units        

47,835
Tip Tip Midcap; 1,429.85 units

30,470
    Torray   Torray Fund; 923.32 units        

33,840
Turner Technology; 5,204.73 units

36,121
        Top 20; 4,355.60 units        

32,623
Tweedy Browne American Value Fund; 3,520.84 units

83,867
        Global Value Fund; 12,732.81 units        

237,467
Ultra BULL Pro Fund Investors Shares; 693.86 units

39,203
    Ultra OTC Pro Fund   Investors Shares; 2,253.78 units        

82,759
UAM UAM FMA Small Company Portfolio; 34.13 units

594
    UMB   UMB Scout Worldwide; 2,172.56 units        

40,018
US Bonnel Growth; 527.86 units

7,031
        Gold Shares; 14,348.43 units        

39,315
World Gold; 10,511.49 units

55,080
    Value Line   Aggressive Income; 1,861.04 units        

8,896
Asset Allocation; 8,247.98 units

138,319
        Special Situation Income; 284.92 units        

5,337
Van Kampen American Capital Emerging Growth Class A; 70.07 units

2,941
        American Capital Emerging Growth Class B; 202.19 units        

7,463
American Capital Growth Class B; 714.16 units

8,848
        Technology Class C; 167.87 units        

885
Van Wagoner Income Emerging Growth; 11,539.14 units

124,392
        Income Micro-Cap; 867.82 units        

11,377
Income Mid-Cap; 745.87 units

5,035
        Income Post Venture; 9,646.33 units        

86,238
Technology; 2,947.55 units

42,032
    Vanguard   Asset Allocation Income; 6,263.68 units        

138,302
Bond Index Total Market; 38,929.38 units

399,415
        Equity Income; 1,805.60 units        

41,565
Fixed Income Securities Long-term Portfolio; 10,069.34 units

89,013
        GNMA Fixed Income Securities; 89,123.87 units        

933,127
Growth & Income; 4,510.61 units

126,613
        Growth Equity Fund N/C; 2,297.63 units        

22,241
Growth Index; 14,479.20 units

382,975
        High Yield Bond Fixed Income; 9,984.64 units        

63,702
Index Trust Extended Market Portfolio; 1,213.97 units

26,865
        Index Trust S&P 500 Portfolio; 11,289.31 units        

1,189,329
Inflation Protected Secs; 1,375.31 units

14,936


- -25-
        Intermediate Term Treasury Admiral; 5,590.85 units        

62,673
International Equity Index Europe Portfolio; 187.92 units

3,792
        International Growth Portfolio; 6,662.30 units        

98,535
Life Strategy Growth Port; 2,122.78 units

37,042
        Long Term Treasury Admiral; 9,069.36 units        

99,854
Reit Index Fund; 4,170.14 units

50,542
        Select Value Fund; 868.81 units        

11,025
Short Term Corp Fixed Inc Secs; 493.02 units

5,369
        Short Term Federal; 1,114.11 units        

11,732
Short Term Treasury Admiral; 7,790.45 units

82,579
        Small Cap Stock Fund (only open to Sells & Transfers); 714.41 units        

13,502
Total Stock Market; 27,421.93 units

695,969
        US Growth Portfolio; 1,215.84 units        

22,931
Value Index; 1,804.89 units

33,968
        Primecap; 3,482.03 units        

176,992
Wellesley Income Income; 78.76 units

1,639
        Wellington Income; 1,927.07 units        

54,748
Windsor II Portfolio; 4,507.99 units

114,368
        Windsor Income; 1,499.80 units        

23,127
Wasatch Aggressive Equity; 860.90 units

27,110
        Growth; 1,571.01 units        

50,227
Microcap; 4,348.36 units

27,003
        Microcap Value; 24,653.92 units        

94,178
Midcap; 271.64 units

6,079
    Weitz   Hickory; 1,039.26 units        

24,828
Partners Value; 2,773.68 units

55,529
        Value; 7,721.56 units        

253,267
Westcore Select; 566.57 units

6,640
    White Oak   Growth Stock; 8,464.86 units        

336,647
Wireless Wireless Fund; 290.41 units

1,530
    WWW   Internet Fund; 386.68 units        

2,831
Yacktman Yacktman Fund; 325.73 units

3,700
        Total registered investment companies        

42,320,849
               
Total Investments

$

2,324,270,350

* Denotes party in interest.

* * Cost information is not applicable for participant directed investments.


- -26-

SCHEDULE II

CATERPILLAR INC.
EMPLOYEES' INVESTMENT PLAN

SCHEDULE H, LINE 4i - SCHEDULE OF REPORTABLE TRANSACTIONS
FOR THE YEAR ENDED NOVEMBER 30, 2001

(a)

(b)

(c)

(d)

(e)

(f)

(g)

(h)

(i)

Identity of
party
  involved

Description 
of assets

Purchase
price

Selling
price

Lease
rental

Expense
incurred with
transaction

Cost
of asset

Current value
of asset on
transaction
date

Net gain
or
  (loss)

Caterpillar Inc.

Common stock:
 

Series of 65 purchases

 $129,630,604

$       -

$       -

 $127,681 $129,630,604 $129,502,923

$       -

-27-

EXHIBIT C

Consent of Independent Accountants


We hereby consent to the incorporation by reference in the Registration Statement on Forms S-8 (No. 33-3718, as amended, and No. 33-39280) of Caterpillar Inc. of our report dated May 21, 2002 relating to the financial statements of the Caterpillar Inc. Employees' Investment Plan, which appears in this Form 11-K.


PricewaterhouseCoopers LLP
Peoria, Illinois
May 24, 2002

-28-

 EX-99.3 5 exhibit_99-3.htm 2001 11-K/A FOR SAVINGS AND INVESTMENT PLAN SECURITIES AND EXCHANGE COMMISSIONWashington, D

EXHIBIT 99.3

SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

FORM 11-K/A

(Mark One)

    

[X]

ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For the fiscal year ended December 31, 2001

OR

[  ]

TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For the transition period from __________ to __________.



Commission File No. 1-768

SAVINGS AND INVESTMENT PLAN
(Full title of the Plan)

CATERPILLAR INC.
(Name of issuer of the securities held pursuant to the Plan)

100 NE Adams Street, Peoria, Illinois 61629
(Address of principal executive offices)

REQUIRED INFORMATION

Item 1.
The audited statement of net assets available for plan benefits as of the end of the latest two fiscal years of the Plan is attached hereto as Exhibit A.

Item 2.
The audited statement of changes in net assets available for plan benefits for each of the latest two fiscal years of the Plan is attached hereto as Exhibit B.

Item 3.
The statements required by Items 1 and 2 have been prepared in accordance with the applicable financial reporting requirements of ERISA.

Item 4.
The Consent of Independent Accountants is attached hereto as Exhibit C.

 

SIGNATURES

Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the Company has duly caused this annual report to be signed on its behalf by the undersigned, hereunto duly authorized.

 

SAVINGS AND INVESTMENT PLAN

 

  
       CATERPILLAR INC. (Issuer)


January 17, 2003

 

 
By:

 
/s/ F. Lynn McPheeters

     

Name:

F. Lynn McPheeters
     

Title:

Vice President and Chief Financial Officer

 

-2-

Solar Turbines Incorporated
Savings and Investment Plan
Financial Statements and Supplemental Schedule
December 31, 2001 and 2000

-3-

Report of Independent Accountants


To the Participants, Investment Plan Committee
and Benefits Funds Committee of the
Solar Turbines Incorporated Savings and Investment Plan


In our opinion, the accompanying statement of net assets available for benefits and the related statement of changes in net assets available for benefits present fairly, in all material respects, the net assets available for benefits of the Solar Turbines Incorporated Savings and Investment Plan (the Plan) at December 31, 2001 and 2000, and the changes in net assets available for plan benefits for the years then ended, in conformity with accounting principles generally accepted in the United States of America. These financial statements are the responsibility of the Plan's management; our responsibility is to express an opinion on these financial statements based on our audits. We conducted our audits of these statements in accordance with auditing standards generally accepted in the United States of America, which require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement. An audit includes examining, on a test basis, evidence supporting the amounts and disclosures in the financial statements, assessing the accounting principles used and significant estimates made by management, and evaluating the overall financial statement presentation. We believe that our audits provide a reasonable basis for our opinion.

Our audits were conducted for the purpose of forming an opinion on the basic financial statements taken as a whole. The supplemental schedule of assets held for investment purposes as of December 31, 2001 is presented for the purpose of additional analysis and is not a required part of the basic financial statements but is supplementary information required by the Department of Labor's Rules and Regulations for Reporting and Disclosure under the Employee Retirement Income Security Act of 1974. The supplemental schedule is the responsibility of the Plan's management. The supplemental schedule has been subjected to the auditing procedures applied in the audits of the basic financial statements and, in our opinion, is fairly stated in all material respects in relation to the basic financial statements taken as a whole.



Peoria, Illinois
May 21, 2002

-4-

EXHIBIT A

SOLAR TURBINES INCORPORATED
SAVINGS AND INVESTMENT PLAN

STATEMENT OF NET ASSETS AVAILABLE FOR BENEFITS
DECEMBER 31, 2001 AND 2000
(Dollars in 000's)
   

2001

    

2000

  
   
   
 

Investments:

            

 

 Interest in the Caterpillar Inc. 401(k) Master Trust

$

32,059

  

$

31,591

  

Other investments

  

781

    

724

  
   
   
 
   

Net assets available for benefits

$

32,840

  

$

32,315

  
       
   
 

The accompanying notes are an integral part of the financial statements

-5-

EXHIBIT B

SOLAR TURBINES INCORPORATED
SAVINGS AND INVESTMENT PLAN

STATEMENT OF CHANGES IN NET ASSETS AVAILABLE FOR BENEFITS
FOR THE YEAR ENDED DECEMBER 31, 2001 AND 2000
(Dollars in 000's)
   

2001

    

2000

  
   
   
 

Participant contributions

$

3,037

  

$

2,428

  
   
   
 

Investment loss:

            

Net depreciation in fair value of registered Investment companies  

(450

)

  

(343

)

 

 Plan interest in net investment loss of Master Trust  

(573

)

  

(374

)
   
   
 

Net investment loss  

(1,023

)

  

(717

)
   
   
 

Withdrawals

  

(1,598

)

  

(2,005

)

Transfers from other plans, net

  

109

    

117

  
   
   
 
   

Withdrawals and transfers, net

  

(1,489

)

  

(1,888

)
   
   
 

Increase (decrease) in net assets available for benefits

  

525

    

(177

)

Net assets available for benefits:

            

Beginning of year  

32,315

    

32,492

  
   
   
 

 

 End of year

$

32,840

  

$

32,315

  
   
   
 

The accompanying notes are an integral part of the financial statements

-6-

SOLAR TURBINES INCORPORATED
SAVINGS AND INVESTMENT PLAN

NOTES TO FINANCIAL STATEMENTS

NOTE 1 - PLAN DESCRIPTION:

The following description of the Solar Turbines Incorporated Savings and Investment Plan (the Plan) provides only general information. Employees should refer to the Plan agreement for a more complete description of the Plan's provisions.

General
The Plan is a contributory defined contribution plan established by Solar Turbines Incorporated (the Company), a 100%-owned subsidiary of Caterpillar Inc., to enable eligible employees of the Company and its subsidiaries (the participating employers) to accumulate funds.

Participation
Hourly employees of the participating employers who meet certain age, service and citizenship or residency requirements are eligible to participate in the Plan. Participation commences upon an eligible employee filing an application with the Company. Participating eligible employees (the participants) may elect to defer a portion of their compensation until retirement.

Participant accounts
Accounts are separately maintained for each participant. The participant's account is credited with the Participant's contribution as defined below and an allocation of Plan earnings. Allocations of earnings are based on participant account balances, as defined. The benefit to which a participant is entitled is the benefit that can be provided from the participant's vested account.

Loan provisions
The Plan provides for participant loans against eligible participants' account balances. Eligible participants obtain loans by filing a loan application with the Company and receiving approval thereof. Loan amounts are generally limited to the lesser of $50,000 or 50% of the individual participant's account balance, within certain regulatory restrictions. Loan repayment terms may range from 6 to 117 months depending on the type of loan and bear interest at the prime interest rate plus 1% rounded to the nearest whole percent, as determined at the time of loan origination. Repayments, including interest, are made through after-tax payroll deductions and are credited to the individual participant's account balance.

Contributions
Participant contributions are made through a pretax compensation deferral as elected by the participants and are contributed to the Plan by the participating employers. For 2001 and 2000, the compensation deferral was limited to (a) the greater of $6,000 or 4% of the participant's compensation (limited by the Internal Revenue Code to $10,500 in 2001 and 2000) for participants earning in excess of $85,000 in 2001 and $80,000 in 2000 or (b) $10,500 in 2001 and 2000 for participants earning less than $85,000 in 2001 and $80,000 in 2000.

-7-

Investment programs
Participants may elect to have their contributions invested in any combination of the following thirteen investment fund options at December 31, 2001:

  • Caterpillar Stock Fund

  • Preferred Stable Principal Fund

  • Preferred Short-Term Government Fund

  • Preferred Money Market Fund

  • Preferred Value Fund

  • Preferred International Fund

  • Preferred Growth Fund

  • Preferred Asset Allocation Fund

  • Preferred Fixed Income Fund

  • Preferred Small Cap Fund

  • Northern Trust Russell 3000

  • Preferred Mid Cap Growth Fund

  • Preferred International Growth Fund

    •

In addition, a self-directed fund option allows participants to invest in various other mutual funds outside of the Standard Plan options. State Street Bank serves as custodian for funds invested through this self-directed fund option.

Vesting and distribution provisions
Participants are immediately fully vested in their participant contributions and earnings thereon. Upon termination of employment for any reason, including death, retirement or total and permanent disability, or upon Plan termination, the vested balance in participants' accounts are distributable.

Administration
The Plan is administered by the Vice President - Human Services Division of Caterpillar Inc. who is responsible for nonfinancial matters, and the Benefits Funds Committee of Caterpillar Inc. which is responsible for financial aspects of the Plan. Caterpillar Inc. and the Benefit Funds Committee have entered into a trust agreement with The Northern Trust Company to receive contributions, administer the assets of the Plan and distribute withdrawals pursuant to the Plan.

Plan termination
Although it has not expressed any intent to do so, the Company has the right under the Plan at any time to terminate the Plan subject to provisions of ERISA. In the event of Plan termination, any unallocated assets of the Plan shall be allocated to participant accounts and distributed in such a manner as the company may determine.

Federal income tax status
The Internal Revenue Service has determined and informed the Company by letter dated April 13, 1999, that the Plan and related trust are designed in accordance with applicable sections of the Internal Revenue Code (IRC). The Plan has been amended subsequent to the determination letter; however, the Plan administrator believes that the Plan is designed and is currently being operated in compliance with the applicable requirements of the IRC. Therefore, they believe that the Plan is qualified and the related trust is tax-exempt as of the financial statement date.

Risks and uncertainties
The Plan provides for various investment options in any combination of stocks, bonds, fixed income securities, mutual funds and other investment securities. Investment securities are exposed to various risks, such as interest rate, market and credit risks. Due to the level of risk associated with certain investment securities, it is at least reasonably possible that changes in the values of investment securities could occur in the near term and that such changes could materially affect participants' account balances and the amounts reported in the statement of net assets available for benefits.

Reclassifications
Certain 2000 amounts have been reclassified to conform with the 2001 presentation. These reclassifications have no impact on net assets as previously presented.

-8-

NOTE 2 - SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES:

Basis of accounting
The Plan's accounts are maintained on the accrual basis of accounting.

Investments
The fair value of the Plan's investment in the 401(k) Master Trust (Note 3) is based upon the beginning of the year value of the Plan's investment plus actual contributions, transfers and allocated investment income (loss) less actual withdrawals. Shares of registered investment companies included in the self-directed fund option are valued at quoted market prices which represent the net asset value of shares held by the Plan at year end. Income from investments is recorded as earned.

Administrative expenses
Administrative costs, including trustee fees and certain investment costs, are paid by Caterpillar Inc.

Withdrawals
Withdrawals are recorded when paid.

Transfers
Transfers from other plans generally represent account balance transfers for participants who transfer from one plan covered by the Master Trust to another plan covered by the Master Trust.

Use of estimates in the preparation of financial statements
The preparation of financial statements in conformity with accounting principles generally accepted in the United States of America requires management to make estimates and assumptions that affect the reported amounts of assets, liabilities, income and benefit payments. Actual results could differ from those estimates. The Company believes the techniques and assumptions used in establishing these amounts are appropriate.

NOTE 3 - MASTER TRUST:

Under a Master Trust agreement with The Northern Trust Company (the Trustee), Part 2 of the Caterpillar Inc. Employees' Investment Plan (EIP), the Solar Turbines Incorporated Savings and Investment Plan and the Caterpillar Inc. Tax Deferred Savings Plan pool their investments in the Caterpillar Inc. 401(k) Master Trust (the Master Trust) in exchange for a percentage of participation in the Master Trust.

The Master Trust mainly invests in the Preferred Group of Mutual Funds, registered investment companies which are sponsored by Caterpillar Investment Management Ltd. (CIML), a wholly-owned subsidiary of Caterpillar Inc. The investment options available to the participants are summarized in Note 1.

CIML manages the Preferred Small Cap Fund and the Preferred Short-Term Government Fund. All other funds are managed by unrelated investment managers. Caterpillar Securities, Inc., a wholly-owned subsidiary of CIML, distributes the shares of the mutual funds to the Master Trust.

-9-

The percentage of the Plan's participation in the Master Trust was determined based on the December 31, 2001 and 2000 fair values of net assets, as accumulated by the Trustee for the investment funds of each plan. At December 31, 2001 and 2000, the Plan's pro rata interest in the quoted fair values of net assets of the Master Trust was 1.91% and 1.80%, respectively.

Investment valuation
The Master Trust's investments are stated at fair value. Common stock and cash and cash equivalents are valued at quoted market prices. Shares of registered investment companies are valued at quoted market prices which represent the net asset value of shares held by the Master Trust at year end. Common and collective trust investments are valued at beginning of year value of the Master Trust's investment plus actual contributions, transfers and allocated investment income less actual withdrawals. Participant loans are valued at estimated fair value consisting of outstanding principal and related accrued interest.

The net investment income or loss of the Master Trust is reflected in the financial statements of the Plan based on the actual earnings of each investment fund as allocated to the Plan based on average investment balances throughout the year.

Details of the net assets and significant components of the net investment (loss) income of the Master Trust are as follows:

   

December 31,

  
   
 
   

2001

    

2000

  
   
   
 
   

(Dollars in 000's)

  

Investments, at fair value:

            

 

 Cash and cash equivalents  

$

10,154

    

$

12,974

  

Common stock  

395,577

    

433,253

  

 

 Registered investment companies  

1,081,924

    

1,134,579

  

Common and collective trust  

175,750

    

138,174

  

 

 Participant loans  

26,309

    

27,553

  
     
   
 

Total investments  

1,689,714

    

1,746,533

  
             

Dividend and interest receivable

  

22

    

964

  

Transfers receivable from EIP Part 1

  

2,341

    

428

  

Contributions receivable

  

6,193

    

6,649

  

Other receivable/(payable), net

  

143

    

(359

)
   
   
 

 

 Master Trust net assets

 

 $

1,698,413

  

 

 $

1,754,215

  
   
   
 

 
   

For the year ended
December 31,

  
   
 
   

2001

    

2000

  
   
   
 
   

(Dollars in 000's)

  

Investment (loss) income:

            
 

Interest

  

$

3,590

    

$

3,960

  

Dividends

  

11,528

    

12,048

  
 

Net appreciation (depreciation) in fair value of -

            

Common stock

  

44,598

    

29,263

  
   

Registered investment companies

  

(125,201

)

  

(71,665

)

Common and collective trust

  

7,967

    

7,226

  
   
   
 

 

     Net investment loss

 

 $

(57,518

)

  

$

(19,168

)
         
   
 

-10-

SUPPLEMENTAL SCHEDULE

-11-

SOLAR TURBINES INCORPORATED
SAVINGS AND INVESTMENT PLAN

SCHEDULE H, LINE 4i - SCHEDULE OF ASSETS HELD AT END OF YEAR
DECEMBER 31, 2001

(a)

  

(b)

  

(c)

  

(d)

  

(e)
   

Identity of issue,
 borrower, lessor 
or similar party

  

Description of investment, including maturity date,
 rate of interest, collateral, par or maturity value

  

Cost **

  

Current
Value
 
 
 
 

*

Caterpillar Inc.

  

401(k) Master Trust

      

$

32,059,000
           
   

Babson

  

Value Income; 111.48 units

        

4,649
 

Baron

  

Asset; 107.46 units

        

4,778
   

Bridgeway

  

Aggressive Growth; 110.50 units

        

4,257
 

Cash

  

Balance; 0.02 units

        

 -
   

Fidelity

  

Europe; 159.62 units

        

3,952
 

Firsthand

  

Firsthand E-Commerce; 187.80 units

        

644
       

Technology Innovator; 403.61 units

        

6,619
     

Technology Value; 1,954.54 units

        

80,625
   

Janus

  

Global Life Sciences; 135.98 units

        

2,389
     

Global Technology; 158.84 units

        

1,928
       

Investment Mercury; 64.25 units

        

1,336
     

Investment Growth and Income; 7,502.70 units

        

224,856
       

Investment Worldwide; 125.75 units

        

5,513
     

Olympus; 196.56 units

        

5,474
       

Orion Fund; 593.46 units

        

3,549
     

Special Situations; 569.21 units

        

8,453
   

Munder

  

Net Net Class B; 871.78 units

        

15,265
 

Oakmark

  

Oakmark Fund; 162.93 units

        

5,747
       

Select; 258.04 units

        

7,029
 

PBHG

  

Emerging Growth; 104.95 units

        

1,680
       

Growth; 430.54 units

        

8,766
     

Large Cap 20; 473.77 units

        

7,718
       

Mid Cap Value; 1,261.03 units

        

20,076
     

Select Equity; 54.10 units

        

1,320
       

Technology & Communications; 686.55 units

        

11,253
 

PIMCO

  

Innovative Class C; 16.34 units

        

347
       

Opportunity Class C; 48.77 units

        

714
 

Red Oak

  

Technology Select; 224.23 units

        

2,150
   

Rydex

  

OTC Fund; 10,505.23 units

        

116,083
 

Selected American

  

American Shares; 146.95 units

        

4,554
   

SSGA

  

Money Market Fund; 56,408.91 units

        

56,409
 

Strong

  

Mid Cap; 253.67 units

        

3,544
       

Small Cap Value; 186.81 units

        

3,777
 

The Internet Fund

  

The Internet Fund; 102.44 units

        

2,233
   

Ultra

  

Ultra PTC Pro Fund Investors Shares; 708.41 units

        

26,466
 

Wasatch

  

Aggressive Equity; 67.03 units

        

2,278
       

Growth; 3,557.36 units

        

123,085
 

White Oak

  

Growth Stock; 37.16 units

        

1,428
             
       

Total registered investments companies

        

780,944
               
     

Total investments

      

$

32,839,944
             

* Denotes party in interest.

** Cost information is not applicable for participant directed investments.

-12-

EXHIBIT C

Consent of Independent Accountants

We hereby consent to the incorporation by reference in the Registration Statement on Forms S-8 (No. 2-97450, as amended, and No. 33-37353) of Caterpillar Inc. of our report dated May 21, 2002 relating to the financial statements of the Solar Turbines Incorporated Savings and Investment Plan, which appears in this Form 11-K.



PricewaterhouseCoopers LLP
Peoria, Illinois
May 24, 2002

-13-

 EX-99.4 6 exhibit_99-4.htm 2001 11-K/A FOR TAX DEFERRED SAVINGS PLAN SECURITIES AND EXCHANGE COMMISSION

EXHIBIT 99.4

SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

FORM 11-K/A

(Mark One)

    

[X]

ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For the fiscal year ended December 31, 2001

OR

[  ]

TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For the transition period from __________ to __________.



Commission File No. 1-768

TAX DEFERRED SAVINGS PLAN
(Full title of the Plan)

CATERPILLAR INC.
(Name of issuer of the securities held pursuant to the Plan)

100 NE Adams Street, Peoria, Illinois 61629
(Address of principal executive offices)

REQUIRED INFORMATION

Item 1.
The audited statement of net assets available for plan benefits as of the end of the latest two fiscal years of the Plan is attached hereto as Exhibit A.

Item 2.
The audited statement of changes in net assets available for plan benefits for each of the latest two fiscal years of the Plan is attached hereto as Exhibit B.

Item 3.
The statements required by Items 1 and 2 have been prepared in accordance with the applicable financial reporting requirements of ERISA.

Item 4.
The Consent of Independent Accountants is attached hereto as Exhibit C.

 

SIGNATURES

Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the Company has duly caused this annual report to be signed on its behalf by the undersigned, hereunto duly authorized.

 

TAX DEFERRED SAVINGS PLAN

 

  
       CATERPILLAR INC. (Issuer)


January 17, 2003

 

 
By:

 
/s/ F. Lynn McPheeters

     

Name:

F. Lynn McPheeters
     

Title:

Vice President and Chief Financial Officer

 

-2-

Caterpillar Inc.
Tax Deferred Savings Plan
Financial Statements and Supplemental Schedule
December 31, 2001 and 2000

-3-

Report of Independent Accountants

To the Participants, Investment Plan Committee
and Benefits Funds Committee of the
Caterpillar Inc. Tax Deferred Savings Plan


In our opinion, the accompanying statement of net assets available for benefits and the related statement of changes in net assets available for benefits present fairly, in all material respects, the net assets available for benefits of the Caterpillar Inc. Tax Deferred Savings Plan (the Plan) at December 31, 2001 and 2000, and the changes in net assets available for benefits for the years then ended, in conformity with accounting principles generally accepted in the United States of America. These financial statements are the responsibility of the Plan's management; our responsibility is to express an opinion on these financial statements based on our audits. We conducted our audits of these statements in accordance with auditing standards generally accepted in the United States of America, which require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement. An audit includes examining, on a test basis, evidence sup porting the amounts and disclosures in the financial statements, assessing the accounting principles used and significant estimates made by management, and evaluating the overall financial statement presentation. We believe that our audits provide a reasonable basis for our opinion.


Our audits were conducted for the purpose of forming an opinion on the basic financial statements taken as a whole. The supplemental schedule of assets held for investment purposes as of December 31, 2001 is presented for the purpose of additional analysis and is not a required part of the basic financial statements but is supplementary information required by the Department of Labor's Rules and Regulations for Reporting and Disclosure under the Employee Retirement Income Security Act of 1974. The supplemental schedule is the responsibility of the Plan's management. The supplemental schedule has been subjected to the auditing procedures applied in the audits of the basic financial statements and, in our opinion, is fairly stated in all material respects in relation to the basic financial statements taken as a whole.


Peoria, Illinois
May 21, 2002

-4-

EXHIBIT A

CATERPILLAR INC.
TAX DEFERRED SAVINGS PLAN

STATEMENT OF NET ASSETS AVAILABLE FOR BENEFITS
DECEMBER 31, 2001 AND 2000
(Dollars in 000's)
   

2001

    

2000

  
   
   
 

Investments:

            
 

Interest in the Caterpillar Inc. 401(k) Master Trust

  

$

265,289

    

$

272,045

  

Other investments

  

2,447

    

3,000

  
   
   
 
   

Net assets available for benefits

  

$

267,736

    

$

275,045

  
       
   
 

The accompanying notes are an integral part of the financial statements

-5-

EXHIBIT B

CATERPILLAR INC.
TAX DEFERRED SAVINGS PLAN

STATEMENT OF CHANGES IN NET ASSETS AVAILABLE FOR BENEFITS
FOR THE YEAR ENDED DECEMBER 31, 2001 AND 2000
(Dollars in 000's)
   

2001

    

2000

  
   
   
 

Participant contributions

$

16,431

  

$

18,448

  

Employer contributions

  

546

    

334

  
   
   
 

Total contributions  

16,977

    

18,782

  
   
   
 

Investment loss:

            

Net depreciation in fair value of registered investment companies  

(916

)

  

(396

)

 

 Plan interest in net investment loss of Master Trust  

(11,648

)

  

(5,446

)
   
   
 

Net investment loss  

(12,564

)

  

(5,842

)
   
   
 

Withdrawals

 

(12,016

)

 

(16,694

)

Transfers from other plans, net

  

294

    

10,358

  
   
   
 

 

   Withdrawals and transfers, net  

(11,722

)

  

(6,336

)
   
   
 

(Decrease) increase in net assets available for benefits

  

(7,309

)

  

6,604

  

Net assets available for benefits:

            

Beginning of year  

275,045

    

268,441

  
   
   
 

 

 End of year  

$

267,736

    

$

275,045

  
   
   
 

The accompanying notes are an integral part of the financial statements

-6-

CATERPILLAR INC.
TAX DEFERRED SAVINGS PLAN

NOTES TO FINANCIAL STATEMENTS

NOTE 1 - PLAN DESCRIPTION:

The following description of the Caterpillar Inc. Tax Deferred Savings Plan (the Plan) provides only general information. Employees should refer to the Plan agreement for a more complete description of the Plan's provisions.

General
The Plan is a contributory defined contribution plan established by Caterpillar Inc. (the Company) to enable eligible employees of the Company and its subsidiaries (the participating employers) which adopt the Plan to accumulate funds.

Participation
Employees of the participating employers under collective bargaining agreements to which the Plan is extended who meet certain age, service and citizenship or residency requirements are eligible to participate in the Plan. Participation commences upon an eligible employee filing an application with the Company. Participating eligible employees (the participants) elect to defer a portion of their compensation until retirement.

Participant accounts
Accounts are separately maintained for each participant. The participant's account is credited with the participant's contribution as defined below and an allocation of Plan earnings. Allocations of earnings are based on participant account balances, as defined. The benefit to which a participant is entitled is the benefit that can be provided from the participant's vested account.

Loan provisions
The Plan provides for participant loans against eligible participants' account balances. Eligible participants obtain loans by filing a loan application with the Company and receiving approval thereof. Loan amounts are generally limited to the lesser of $50,000 or 50% of the individual participant's account balance, within certain regulatory restrictions. Loan repayment terms may range from 6 to 117 months depending on the type of loan and bear interest at the prime interest rate plus 1% rounded to the nearest whole percent, as determined at the time of loan origination. Repayments, including interest, are made through after-tax payroll deductions and are credited to the individual participant's account balance.

Contributions
Participant contributions are made through a pretax compensation deferral as elected by the participants and are contributed to the Plan by the participating employers. For 2001 and 2000, the compensation deferral was limited to (a) the greater of $6,000 or 4% of the participant's compensation (limited by the Internal Revenue Code to $10,500 in 2001 and 2000) for participants earning in excess of $85,000 in 2001 and $80,000 in 2000 or (b) $10,500 in 2001 and 2000 for participants earning less than $85,000 in 2001 and $80,000 in 2000.

Certain employee groups also receive a Company matching contribution ranging 100% of the first 2% and 50% in excess of 2% up to 8% of the participants' eligible compensation.

-7-

Investment programs
Participants may elect to have their contributions invested in any combination of the following thirteen investment fund options at December 31, 2001:

  • Caterpillar Stock Fund

  • Preferred Stable Principal Fund

  • Preferred Short-Term Government Fund

  • Preferred Money Market Fund

  • Preferred Value Fund

  • Preferred International Fund

  • Preferred Growth Fund

  • Preferred Asset Allocation Fund

  • Preferred Fixed Income Fund

  • Preferred Small Cap Fund

  • Northern Trust Russell 3000

  • Preferred Mid Cap Growth Fund

  • Preferred International Growth Fund

    •

In addition, a self-directed fund option allows participants to invest in various other mutual funds outside of the standard Plan options. State Street Bank serves as custodian for funds invested through this self-directed fund option.

Vesting and distribution provisions
Participants are immediately fully vested in their participant contributions and earnings thereon. Upon termination of employment for any reason, including death, retirement or total and permanent disability, or upon Plan termination, the balance in participants' accounts are distributable.

Participants also vest immediately in the Company's matching contributions and the earnings thereon.

Administration
The Plan is administered by the Vice President - Human Services Division of Caterpillar Inc. who is responsible for nonfinancial matters, and the Benefits Funds Committee of Caterpillar Inc. which is responsible for financial aspects of the Plan. Caterpillar Inc. and the Benefit Funds Committee have entered into a trust agreement with The Northern Trust Company to receive contributions, administer the assets of the Plan and distribute withdrawals pursuant to the Plan.

Plan termination
Although it has not expressed any intent to do so, the Company has the right under the Plan at any time to terminate the Plan subject to provisions of ERISA. In the event of Plan termination, any unallocated assets of the Plan shall be allocated to participant accounts and distributed in such a manner as the company may determine.

Federal income tax status
The Internal Revenue Service has determined and informed the Company by letter dated April 13, 1999, that the Plan and related trust are designed in accordance with applicable sections of the Internal Revenue Code (IRC). The Plan has been amended subsequent to the determination letter; however, the Plan administrator believes that the Plan is designed and is currently being operated in compliance with the applicable requirements of the IRC. Therefore, they believe that the Plan is qualified and the related trust is tax-exempt as of the financial statement date.

Risks and uncertainties
The Plan provides for various investment options in any combination of stocks, bonds, fixed income securities, mutual funds and other investment securities. Investment securities are exposed to various risks, such as interest rate, market and credit risks. Due to the level of risk associated with certain investment securities, it is at least reasonably possible that changes in the values of investment securities could occur in the near term and that such changes could materially affect participants' account balances and the amounts reported in the statement of net assets available for benefits.

-8-

Reclassifications
Certain 2000 amounts have been reclassified to conform with the 2001 presentation. These reclassifications have no impact on net assets as previously presented.

NOTE 2 - SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES:

Basis of accounting
The Plan's accounts are maintained on the accrual basis of accounting.

Investments
The fair value of the Plan's investment in the 401(k) Master Trust (Note 3) is based upon the beginning of the year value of the Plan's investment plus actual contributions, transfers and allocated investment income (loss) less actual withdrawals. Shares of registered investment companies included in the self-directed fund option are valued at quoted market prices which represent the net asset value of shares held by the Plan at year end. Income from investments is recorded as earned.

Administrative expenses
Administrative costs, including trustee fees and certain investment costs, are paid by the Company.

Withdrawals
Withdrawals are recorded when paid.

Transfers
Transfers from other plans generally represent account balance transfers for participants who transfer from one plan covered by the Master Trust to another plan covered by the Master Trust. In addition, during 2000, the Caterpillar Agricultural Products Inc. Shop Employees Retirement Plan and Caterpillar Agricultural Products Inc. Office Employees Retirement Plan merged into the Plan with participant account balances of $10,305,000 transferred into the Plan.

Use of estimates in the preparation of financial statements
The preparation of financial statements in conformity with accounting principles generally accepted in the United States of America requires management to make estimates and assumptions that affect the reported amounts of assets, liabilities, income and benefit payments. Actual results could differ from those estimates. The Company believes the techniques and assumptions used in establishing these amounts are appropriate.

NOTE 3 - MASTER TRUST:

Under a Master Trust agreement with The Northern Trust Company (the Trustee), Part 2 of the Caterpillar Inc. Employees' Investment Plan (EIP), the Solar Turbines Incorporated Savings and Investment Plan and the Caterpillar Inc. Tax Deferred Savings Plan pool their investments in the Caterpillar Inc. 401(k) Master Trust (the Master Trust) in exchange for a percentage of participation in the Master Trust.

-9-

The Master Trust invests mainly in the Preferred Group of Mutual Funds, registered investment companies which are sponsored by Caterpillar Investment Management Ltd. (CIML), a wholly-owned subsidiary of the Company. The investment options available to the participants are summarized in Note 1.

CIML manages the Preferred Small Cap Fund and the Preferred Short-Term Government Fund. All other funds are managed by unrelated investment managers. Caterpillar Securities, Inc., a wholly-owned subsidiary of CIML, distributes the shares of the mutual funds to the Master Trust.

The percentage of the Plan's participation in the Master Trust was determined based on the December 31, 2001 and 2000 fair values of net assets, as accumulated by the Trustee for the investment funds of each plan. At December 31, 2001 and 2000, the Plan's pro rata interest in the quoted fair values of net assets of the Master Trust was 15.52% and 15.27%, respectively.

Investment valuation
The Master Trust's investments are stated at fair value. Common stock and cash and cash equivalents are valued at quoted market prices. Shares of registered investment companies are valued at quoted market prices which represent the net asset value of shares held by the Master Trust at year end. Common and collective trust investments are valued at beginning of year value of the Master Trust's investment plus actual contributions, transfers and allocating investment income less actual withdrawals. Participant loans are valued at estimated fair value which consists of outstanding principal and related accrued interest.

The net investment income or loss of the Master Trust is reflected in the financial statements of the Plan based on the actual earnings of each investment fund as allocated to the Plan based on average investment balances throughout the year.

Details of the net assets and significant components of the net investment (loss) income of the Master Trust are as follows:
   

December 31,

  
   
 
   

2001

    

2000

  
   
   
 
   

(Dollars in 000's)

  

Investments, at fair value:

            
 

Cash and cash equivalents

  

$

10,154

    

$

12,974

  

Common stock

  

395,577

    

433,253

  
 

Registered investment companies

  

1,081,924

    

1,134,579

  

Common and collective trust

  

175,750

    

138,174

  
 

Participant loans

  

26,309

    

27,553

  
   
   
 

Total investments

  

1,689,714

    

1,746,533

  
             

Dividend and interest receivable

  

22

    

964

  

Transfers receivable from EIP Part 1

  

2,341

    

428

  

Contributions receivable

  

6,193

    

6,649

  

Other receivable/(payable), net

  

143

    

(359

)
   
   
 
   

Master Trust net assets

  

$

1,698,413

    

$

1,754,215

  
   
   
 

-10-
   

For the year ended
December 31,

  
   
 
   

2001

    

2000

  
   
   
 
   

(Dollars in 000's)

  

Investment (loss) income:

            
 

Interest

  

$

3,590

    

$

3,960

  

Dividends

  

11,528

    

12,048

  
 

Net appreciation (depreciation) in fair value of -

            

Common stock

  

44,598

    

29,263

  
   

Registered investment companies

  

(125,201

)

  

(71,665

)

Common and collective trust

  

7,967

    

7,226

  
   
   
 
     

Net investment loss

  

$

(57,518

)

  

$

(19,168

)
   
   
 

-11-

SUPPLEMENTAL SCHEDULE

-12-

CATERPILLAR INC.
TAX DEFERRED SAVINGS PLAN

SCHEDULE H, LINE 4I, SCHEDULE OF ASSETS HELD AT END OF YEAR
DECEMBER 31, 2001

(a)

    

(b)

  

(c)

  

(d)

  

(e)
     

Identity of issue,
borrower, lessor
or similar party

  

Description of investment, including maturity date, 
rate of interest, collateral, par or maturity value

  

Cost **

  

Current
Value
   
 
 
 

*

Caterpillar Inc.

  

401(k) Master Trust

      

$

265,289,000
                 
     

Accessor

  

FSD Inc. Growth; 52.79 units

        

1,198
 

AIM

  

Weingarten Class B; 1,674.00 units

        

21,143
     

Alliance

  

Premier Growth Class A; 503.20 units

        

10,225
     

Technology Class B; 363.68 units

        

22,690
     

American Century

  

20th Century Int'l Growth; 15,885.24 units

        

126,605
     

20th Century Century Vista; 638.05 units

        

7,082
         

Equity Growth; 145.03 units

        

2,790
     

Global Natural Resources; 946.37 units

        

11,252
         

Income & Growth; 162.46 units

        

4,443
     

Technology; 2,646.71 units

        

5,690
     

Ameristock

 

Mutual Fund; 251.44 units

        

10,259
 

Baron

 

Asset; 225.64 units

        

10,032
         

Small Cap Fund; 1,742.83 units

        

26,508
 

Berger

  

Large Cap Growth Fund N/C; 185.19 units

        

2,031
         

Small Cap Val Retail; 301.78 units

        

8,471
 

Berkshire

  

Focus Fund; 278.16 units

        

2,590
     

Black Oak

  

Emerging Technology Fund; 3,149.67 units

        

12,441
 

Bridgeway

  

Aggressive Growth; 902.82 units

        

34,785
         

Micro Cap Limited; 684.17 units

        

6,527
 

Cash

  

Cash Balance; 0.01 units

        

 -
     

Clipper

  

Clipper; 131.79 units

        

11,008
 

Credit Suisse

  

War Pin Japan Small Company; 4,806.59 units

        

8,604
         

War Pincus Japan Growth N/C; 1,476.11 units

        

7,691
 

Dresdner

  

RCM Biotechnology N; 418.65 units

       

11,471
         

RCM Europe Class N; 898.98 units

        

7,273
     

RCM Global Health Care N; 337.12 units

        

6,918
         

RCM Global Technology Class N; 171.42 units

        

5,191
     

RCM Global Technology Fund; 166.87 units

        

5,096
     

Dreyfus

  

Appreciation Fund; 256.98 units

        

9,770
     

Disciplined Stock Class R; 134.37 units

        

4,296
         

Midcap Index Fund; 2,368.34 units

        

49,877
     

Premier Ltd Term High Inc. Class A; 578.23 units

        

4,585
     

Eaton Vance

  

Worldwide Health Science Class A; 924.39 units

        

9,549
 

Federated

  

Aggressive Growth Class B; 51.61 units

        

590
     

Fidelity

  

Disciplined Equity; 1,907.93 units

        

42,165
     

Dividend Growth; 2,823.65 units

        

79,994
         

Emerging Growth; 1,052.89 units

        

20,026
     

Growth Company; 154.31 units

        

8,212
         

Japan; 708.22 units

        

6,445
     

Japan Small Compaines; 1,254.71 units

        

8,005
         

Low Priced Stock; 467.51 uniits

        

12,819
     

OTC Port; 79.92 units

        

2,491
         

Overseas; 71.42 units

        

1,958
     

Select NWK & Infrastructure; 259.61 units

        

766
         

Select Wireless Portfolio; 243.97 units

        

1,325
     

Utilities; 48.59 units

        

655


- -13-
     

Firsthand

  

Communications; 452.23 units

        

1,506
     

E-Commerce; 306.41 units

        

1,051
         

Technology Leaders; 364.98 units

        

6,884
     

Technology Innovator; 297.71 units

        

4,882
         

Technology Value; 1,871.81 units

        

77,212
 

Franklin

  

Gold Class II; 2.36 units

        

22
     

Gabelli

  

Global Telecommunications FD; 219.95 units

       

3,071
     

Growth Shares Ben Int; 348.36 units

        

9,991
     

Galaxy

  

Utility Index; 115.69 units

        

1,093
 

Green

 

Century Balanced; 269.16 units

        

4,309
     

Growth

 

Growth Fund of America; 330.75 units

        

7,842
 

Invesco

  

Blue Chip Growth N/C; 131.54 units

        

342
         

Dynamics N/C; 1,784.56 units

        

28,428
     

Energy N/C; 649.70 units

        

11,285
         

International European; 679.79 units

        

7,675
     

Leisure N/C; 121.19 units

        

4,562
         

Technology N/C; 92.38 units

        

3,009
     

Telecomm #39 N/C; 259.47 units

        

4,312
     

Investment

  

Investment Company of America; 328.94 units

        

9,385
 

Janus

  

Enterprise; 712.17 units

        

22,790
         

Fund; 470.61 units

        

11,577
     

Fund 2; 1,000.00 units

        

7,450
         

Global Life Sciences; 2,007.30 units

        

35,268
     

Global Technology; 2,887.77 units

        

35,058
         

Investment Balanced; 500.01 units

        

9,815
     

Investment Growth & Income; 739.43 units

        

22,161
         

Investment Mercury; 2,962.77 units

        

61,596
     

Investment Overseas; 474.41 units

        

9,630
         

Investment Twenty; 992.57 units

        

38,174
     

Investment Worldwide; 1,743.41 units

        

76,431
         

Olympus; 1,957.60 units

        

54,519
     

Orion Fund; 4,766.07 units

        

28,501
         

Strategic Value Fund; 1,235.38 units

        

11,440
 

John Hancock

  

Sovern Investors Class B; 1,552.89 units

        

30,840
     

Masters

  

Select Equity; 763.56 units

        

9,613
 

Matthews

  

Dragon Century China; 534.70 units

        

5,053
     

Meridian

  

Fund; 103.61 units

        

2,983
     

Value Fund; 1,349.06 units

        

43,736
     

Midas

  

Midas Fund; 950.93 units

        

903
 

Millenium

  

Growth & Income; 401.94 units

        

2,516
     

Montgomery

  

Global Communication; 25.62 units

        

261
     

Mid Cap 20 Class R; 52.09 units

        

413
         

Sht Duration Government Bond; 1,097.16 units

        

11,191
 

MSIF

  

Trust Mid Cap Growth Port N/C; 359.85 units

        

6,279
     

Munder

  

Bio Tech2 Class B; 265.39 units

        

1,823
     

International Net Net Class A; 393.73 units

        

1,008
         

Net Net Class A; 271.06 units

        

4,874
     

Power Plus Class II; 109.26 units

        

920
     

Neuberger & Berman

  

Focus Trust Frmly Selected Sectors TR; 91.82 units

        

2,323
 

Nevis

  

Nevis Fund; 189.54 units

        

2,799


- -14-
     

Oakmark

 

Oakmark Fund; 57.67 units

        

2,034
     

Oakmark Select; 485.03 units

        

13,212
     

PBHG

  

Clipper Focus N/C; 216.53 units

        

3,289
     

Growth; 101.42 units

        

2,065
         

Select Equity; 919.98 units

        

22,438
     

Technology & Communication; 2,392.27 units

        

39,209
     

Pimco

  

Global Innovation Class B; 27.94 units

        

235
     

Innovation Class B; 70.18 units

        

1,489
         

Total Return Class A; 1,114.92 units

        

11,662
 

Pin Oak

  

Aggressive Stock; 688.66 units

        

16,452
     

Pioneer

  

High Yield Class A; 203.28 units

        

2,232
 

Potomac

  

OTC Plus; 194.78 units

        

2,415
     

Putnam

  

Fund for Growth & Income Cl A; 619.74 units

        

10,982
     

International Growth Class A; 367.48 units

        

7,283
     

 

  

OTC & Emerging Growth; 147.52 units

        

1,107
 

Red Oak

  

Technology Select; 4,200.06 units

        

40,279
     

Reynolds

  

Blue Chip Growth; 141.12 units

        

4,925
 

RS

  

Aggressive Growth; 1,214.88 units

        

7,520
         

Emerging Growth N/C; 214.73 units

        

6,874
 

Rydex

  

Biotechnology Inv Class; 377.51 units

        

9,355
         

Electronics Inv. Class; 1,237.75 units

        

19,915
     

OTC Fund; 1,660.63 units

        

18,350
     

Scudder

  

Growth & Income; 111.73 units

        

2,353
 

Select

  

Biotechnology; 55.12 units

        

3,589
     

Select

 

Computers; 73.88 units

        

2,810
     

Develop Communications; 106.75 units

        

2,018
         

Electronics; 342.16 units

        

16,858
     

Energy Service; 198.64 units

        

5,876
         

Health Care; 33.82 units

        

4,304
     

Technology; 18.53 units

        

1,123
         

Telecom; 83.38 units

        

3,020
 

Selected

 

American Shares; 295.77 units

        

9,166
     

SIT

  

Small Cap Growth; 261.91 units

        

6,603
 

Spectra

  

Spectra Fund Inc.; 1,041.20 units

        

7,268
     

SSGA

  

Money Market Fund; 322,829.33 units

        

322,829
 

Stien Roe

  

Intermediate Bond N/C; 1,350.48 units

        

11,965
         

Young Investor N/C; 32.01 units

        

683
 

Strong

  

Blue Chip 100; 50.01 units

        

618
         

Corporate Bond Income; 1,719.43 units

        

18,054
     

Enterprise; 223.49 units

        

4,948
         

Growth & Income; 161.40 units

        

3,273
     

Large Cap Growth N/C; 6.18 units

        

145
         

Technology 100 Fund; 999.26 units

        

4,806
 

T Rowe Price

  

Blue Chip Growth Inc; 148.18 units

        

4,293
         

Media & Telecommunications; 192.38 units

        

3,876
     

Mid Cap Growth; 493.71 units

        

19,452
         

Price Science & Technology; 407.01 units

        

8,515
 

The Internet Fund

  

The Internet Fund; 433.18 units

        

9,443
     

Turner

  

Healthcare & Biotechnology II; 931.61 units

        

11,282
     

New Energy & Power Technology II; 828.73 units

        

6,970


- -15-
     

Ultra

  

OTC Pro Fund Investor's Shares; 97.03 units

        

3,625
     

OTC Pro Fund Service Shares; 10.66 units

        

382
     

Value Line

 

Asset Allocation; 1,036.40 units

        

17,857
 

Van Kampen

  

Real Estate Sec Class A; 519.55 units

        

7,383
     

Van Wagoner

  

Income Post Venture; 218.05 units

        

2,189
 

Vanguard

  

Equity Income; 261.27 units

        

5,933
         

Fixed Income International Term Co; 1,807.65 units

        

17,588
     

GNMA Fixed Income Securities; 298.21 units

        

3,095
         

Growth & Income; 583.81 units

        

16,463
     

Growth Index; 1,045.12 units

        

27,602
         

Index Trust S&P 500 Portfolio; 1,015.49 units

        

107,531
     

US Growth Portfolio; 642.70 units

        

12,115
         

Vanguard/Wellington Income; 111.37 units

        

3,036
 

Wasatch

  

Growth; 366.07 units

        

12,666
         

Hoisington Treasury; 56.08 units

        

670
 

Weitz

  

Value; 712.30 units

        

24,425
     

White Oak

 

Growth Stock; 466.55 units

        

17,934
 

WM Sam

  

Strategic Growth Class B; 2,633.02 units

        

35,019
             
         

Total registered investment companies

        

2,447,323
                 
     

Total Investments

      

$

267,736,323
             

* Denotes party in interest.

** Cost information is not applicable for participant directed investments.

-16-

EXHIBIT C

Consent of Independent Accountants

 

We hereby consent to the incorporation by reference in the Registration Statement on Form S-8 (No. 33-8003) of Caterpillar Inc. of our report dated May 21, 2002 relating to the financial statements of the Caterpillar Inc. Tax Deferred Savings Plan, which appears in this Form 11-K.


PricewaterhouseCoopers LLP

Peoria, Illinois
May 24, 2002

-17-

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