Exhibit

Item 9.01 Financial Statements and Exhibits



In millions	Engine		Distribution		Components		Power Generation		Non-segment Items			Total
Three months ended April 3, 2016, As Previously Filed
External sales	$	1,624	$	1,458	$	897	$	312	$	—		$	4,291
Intersegment sales	710		5		340		238		(1,293		)	—
Total sales	2,334		1,463		1,237		550		(1,293		)	4,291
Depreciation and amortization	58		26		27		16		—			127
Research, development and engineering expenses	97		2		54		13		—			166
Equity, royalty and interest income from investees	41		18		8		5		—			72
Interest income	3		1		1		1		—			6
Segment EBIT	200		95		173		31		(15		)	484



In millions	Engine		Distribution		Components		Power Systems		Non-segment Items			Total
Three months ended April 3, 2016, Revised
External sales	$	1,489	$	1,458	$	897	$	447	$	—		$	4,291
Intersegment sales	487		5		340		361		(1,193		)	—
Total sales	1,976		1,463		1,237		808		(1,193		)	4,291
Depreciation and amortization	39		28		31		29		—			127
Research, development and engineering expenses	57		4		56		49		—			166
Equity, royalty and interest income from investees	36		18		8		10		—			72
Interest income	2		1		1		2		—			6
Segment EBIT	197		87		163		46		(9		)	484



In millions	Engine		Distribution		Components		Power Generation		Non-segment Items			Total
Three months ended March 29, 2015, As Previously Filed
External sales	$	1,889	$	1,469	$	931	$	420	$	—		$	4,709
Intersegment sales	707		7		368		260		(1,342		)	—
Total sales	2,596		1,476		1,299		680		(1,342		)	4,709
Depreciation and amortization	58		27		26		16		—			127
Research, development and engineering expenses	114		3		61		17		—			195
Equity, royalty and interest income from investees	30		20		9		9		—			68
Interest income	2		1		1		1		—			5
Segment EBIT	253		88		195		49		(23		)	562



In millions	Engine		Distribution		Components		Power Systems		Non-segment Items			Total
Three months ended March 29, 2015, Revised
External sales	$	1,689	$	1,469	$	931	$	620	$	—		$	4,709
Intersegment sales	456		7		368		382		(1,213		)	—
Total sales	2,145		1,476		1,299		1,002		(1,213		)	4,709
Depreciation and amortization	46		27		26		28		—			127
Research, development and engineering expenses	69		3		61		62		—			195
Equity, royalty and interest income from investees	23		20		9		16		—			68
Interest income	2		1		1		1		—			5
Segment EBIT	200		88		195		101		(22		)	562



In millions	Engine		Distribution		Components		Power Generation		Non-segment Items			Total
Three months ended June 28, 2015, As Previously Filed
External sales	$	2,058	$	1,487	$	1,017	$	453	$	—		$	5,015
Intersegment sales	739		8		380		294		(1,421		)	—
Total sales	2,797		1,495		1,397		747		(1,421		)	5,015
Depreciation and amortization	60		25		28		13		—			126
Research, development and engineering expenses	91		3		57		15		—			166
Equity, royalty and interest income from investees	57		21		8		8		—			94
Interest income	3		1		1		1		—			6
Segment EBIT	341		113		223		57		(13		)	721



In millions	Engine		Distribution		Components		Power Systems		Non-segment Items			Total
Three months ended June 28, 2015, Revised
External sales	$	1,834	$	1,487	$	1,017	$	677	$	—		$	5,015
Intersegment sales	491		8		380		420		(1,299		)	—
Total sales	2,325		1,495		1,397		1,097		(1,299		)	5,015
Depreciation and amortization	47		25		28		26		—			126
Research, development and engineering expenses	53		3		57		53		—			166
Equity, royalty and interest income from investees	51		21		8		14		—			94
Interest income	2		1		1		2		—			6
Segment EBIT	278		113		223		127		(20		)	721



In millions	Engine		Distribution		Components		Power Generation		Non-segment Items			Total
Three months ended September 27, 2015, As Previously Filed
External sales	$	1,800	$	1,543	$	891	$	386	$	—		$	4,620
Intersegment sales	728		8		349		273		(1,358		)	—
Total sales	2,528		1,551		1,240		659		(1,358		)	4,620
Depreciation and amortization	60		26		28		14		—			128
Research, development and engineering expenses	116		2		65		14		—			197
Equity, royalty and interest income from investees	40		19		9		10		—			78
Interest income	6		1		1		1		—			9
Segment EBIT	252		123		156		42		4			577



In millions	Engine		Distribution		Components		Power Systems		Non-segment Items			Total
Three months ended September 27, 2015, Revised
External sales	$	1,627	$	1,543	$	891	$	559	$	—		$	4,620
Intersegment sales	475		8		349		423		(1,255		)	—
Total sales	2,102		1,551		1,240		982		(1,255		)	4,620
Depreciation and amortization	47		26		28		27		—			128
Research, development and engineering expenses	73		2		65		57		—			197
Equity, royalty and interest income from investees	33		19		9		17		—			78
Interest income	6		1		1		1		—			9
Segment EBIT	217		123		156		74		7			577



In millions	Engine			Distribution		Components		Power Generation		Non-segment Items			Total
Three months ended December 31, 2015, As Previously Filed
External sales	$	1,793		$	1,699	$	906	$	368	$	—		$	4,766
Intersegment sales	735			8		330		286		(1,359		)	—
Total sales	2,528			1,707		1,236		654		(1,359		)	4,766
Depreciation and amortization	61			27		27		15		—			130
Research, development and engineering expenses	107			2		53		15		—			177
Equity, royalty and interest income from investees	44			18		9		4		—			75
Interest income	2			1		1		—		—			4
Impairment of light-duty diesel assets	202			—		9		—		—			211
Restructuring actions and other charges	26			23		13		19		9			90
Segment EBIT	(39		)	88		153		8		20			230



In millions	Engine			Distribution		Components		Power Systems		Non-segment Items			Total
Three months ended December 31, 2015, Revised
External sales	$	1,583		$	1,699	$	906	$	578	$	—		$	4,766
Intersegment sales	515			8		330		408		(1,261		)	—
Total sales	2,098			1,707		1,236		986		(1,261		)	4,766
Depreciation and amortization	47			27		27		29		—			130
Research, development and engineering expenses	68			2		53		54		—			177
Equity, royalty and interest income from investees	39			18		9		9		—			75
Interest income	1			1		1		1		—			4
Impairment of light-duty diesel assets	202			—		9		—		—			211
Restructuring actions and other charges	17			23		13		26		11			90
Segment EBIT	(59		)	88		153		33		15			230



In millions	Engine		Distribution		Components		Power Generation		Non-segment Items			Total
Year ended December 31, 2015, As Previously Filed
External sales	$	7,540	$	6,198	$	3,745	$	1,627	$	—		$	19,110
Intersegment sales	2,909		31		1,427		1,113		(5,480		)	—
Total sales	10,449		6,229		5,172		2,740		(5,480		)	19,110
Depreciation and amortization	239		105		109		58		—			511
Research, development and engineering expenses	428		10		236		61		—			735
Equity, royalty and interest income from investees	171		78		35		31		—			315
Interest income	13		4		4		3		—			24
Impairment of light-duty diesel assets	202		—		9		—		—			211
Restructuring actions and other charges	26		23		13		19		9			90
Segment EBIT	807		412		727		156		(12		)	2,090
Net assets	3,238		2,330		1,891		1,605		—			9,064
Investments and advances to equity investees	491		192		150		142		—			975
Capital expenditures	428		125		137		54		—			744



In millions	Engine		Distribution		Components		Power Systems		Non-segment Items			Total
Year ended December 31, 2015, Revised
External sales	$	6,733	$	6,198	$	3,745	$	2,434	$	—		$	19,110
Intersegment sales	1,937		31		1,427		1,633		(5,028		)	—
Total sales	8,670		6,229		5,172		4,067		(5,028		)	19,110
Depreciation and amortization	187		105		109		110		—			511
Research, development and engineering expenses	263		10		236		226		—			735
Equity, royalty and interest income from investees	146		78		35		56		—			315
Interest income	11		4		4		5		—			24
Impairment of light-duty diesel assets	202		—		9		—		—			211
Restructuring actions and other charges	17		23		13		26		11			90
Segment EBIT	636		412		727		335		(20		)	2,090
Net assets	2,107		2,330		1,891		2,736		—			9,064
Investments and advances to equity investees	445		192		150		188		—			975
Capital expenditures	345		125		137		137		—			744



In millions	Engine		Distribution		Components		Power Generation		Non-segment Items			Total
Year ended December 31, 2014, As Previously Filed
External sales	$	8,437	$	5,135	$	3,791	$	1,858	$	—		$	19,221
Intersegment sales	2,525		39		1,327		1,038		(4,929		)	—
Total sales	10,962		5,174		5,118		2,896		(4,929		)	19,221
Depreciation and amortization	207		86		106		53		—			452
Research, development and engineering expenses	438		9		230		77		—			754
Equity, royalty and interest income from investees	147		148		36		39		—			370
Interest income	12		4		4		3		—			23
Segment EBIT	1,225		491		684		168		(70		)	2,498
Net assets	3,450		2,441		2,152		1,694		—			9,737
Investments and advances to equity investees	468		209		164		140		—			981
Capital expenditures	395		89		162		97		—			743



In millions	Engine		Distribution		Components		Power Systems		Non-segment Items			Total
Year ended December 31, 2014, Revised
External sales	$	7,462	$	5,135	$	3,791	$	2,833	$	—		$	19,221
Intersegment sales	1,505		39		1,327		1,581		(4,452		)	—
Total sales	8,967		5,174		5,118		4,414		(4,452		)	19,221
Depreciation and amortization	163		86		106		97		—			452
Research, development and engineering expenses	265		9		230		250		—			754
Equity, royalty and interest income from investees	118		148		36		68		—			370
Interest income	9		4		4		6		—			23
Segment EBIT	1,031		491		684		361		(69		)	2,498
Net assets	2,401		2,441		2,152		2,743		—			9,737
Investments and advances to equity investees	415		209		164		193		—			981
Capital expenditures	268		89		162		224		—			743

Power Systems Segment Sales by Markets

In the second quarter of 2016, our Power Systems segment reorganized its reporting structure to include the following product lines:


•	Power generation - We design, manufacture, sell and support generators ranging from 2 kilowatts to 3.5 megawatts, as well as paralleling systems and transfer switches, for applications such as residential, commercial, industrial, data centers, health care, telecommunications and waste water treatment plants. We also provide turnkey solutions for

distributed generation and energy management applications using natural gas or biogas as a fuel. The business also serves global rental accounts for diesel and gas generator sets.

•

Industrial - We design, manufacture, sell and support diesel and natural gas high-horsepower engines up to 5,500 horsepower for a wide variety of equipment in the mining, rail, defense, oil and gas, and commercial and marine applications throughout the world. Across these markets, we have major customers in North America, Europe, Middle East, Africa, China, Korea, Japan, Latin America, India, Russia, Southeast Asia, South Pacific and Mexico.


•	Generator technologies - We design, manufacture, sell and support A/C generator/alternator products for internal consumption and for external generator set assemblers. Our products are sold under the Stamford, AVK and Markon brands and range in output from 3 kilovolt-amperes (kVA) to 12,000 kVA.

Sales for our Power Systems segment by business (including 2016, 2015 and 2014 revised balances) were as follows:



2016
In millions	Q1
Power generation	$	520
Industrial	215
Generator technologies	73
Total sales	$	808

2015
In millions	Q1		Q2		Q3		Q4		YTD
Power generation	$	624	$	710	$	621	$	615	$	2,570
Industrial	280		295		275		287		1,137
Generator technologies	98		92		86		84		360
Total sales	$	1,002	$	1,097	$	982	$	986	$	4,067

2014
In millions	YTD
Power generation	$	2,633
Industrial	1,331
Generator technologies	450
Total sales	$	4,414

High-horsepower unit shipments by market (including 2016, 2015 and 2014 revised units) were as follows:



2016
Units	Q1
Power generation	1,800
Industrial	1,000
Total units	2,800

2015
Units	Q1	Q2	Q3	Q4	YTD
Power generation	2,200	2,500	2,000	1,900	8,600
Industrial	1,300	1,200	1,200	1,500	5,200
Total units	3,500	3,700	3,200	3,400	13,800

2014
Units	YTD
Power generation	8,700
Industrial	6,100
Total units	14,800

Engine Segment Sales by Market and Unit Shipments by Product Lines

In the second quarter of 2016, our Engine segment reorganized its reporting structure to include the following product lines:


•	Heavy-duty truck - We manufacture diesel engines that range from 310 to 600 horsepower serving global heavy-duty truck customers worldwide, primarily in North America.

•

Medium-duty truck and bus - We manufacture diesel engines ranging from 200 to 450 horsepower serving medium-duty truck and bus customers worldwide, with key markets including North America, Latin America, Europe and Mexico. We also provide diesel and natural gas engines for school buses, transit buses and shuttle buses worldwide, with key markets including North America, Europe, Latin America and Asia, and diesel engines for Class A motor homes (RVs), primarily in North America.


•	Light-duty automotive (Pickup and Light Commercial Vehicle (LCV)) - We manufacture 105 to 385 horsepower diesel engines, including engines for the pickup truck market for Chrysler and Nissan in North America, and LCV markets in Europe, Latin America and Asia.


•	Off-highway - We provide diesel engines that range from 60 to 755 horsepower to key global markets including construction, mining, rail, defense, agriculture, marine, and oil and gas equipment and also to the power generation business for standby, mobile and distributed power generation solutions throughout the world.

Sales for our Engine segment by business (including 2016, 2015 and 2014 revised balances) were as follows:



2016
In millions	Q1
Heavy-duty truck	$	631
Medium-duty truck and bus	549
Light-duty automotive	433
Off-highway	363
Total sales	$	1,976

2015
In millions	Q1		Q2		Q3		Q4		YTD
Heavy-duty truck	$	757	$	875	$	784	$	700	$	3,116
Medium-duty truck and bus	608		674		585		640		2,507
Light-duty automotive	381		354		339		401		1,475
Off-highway	399		422		394		357		1,572
Total sales	$	2,145	$	2,325	$	2,102	$	2,098	$	8,670

2014
In millions	YTD
Heavy-duty truck	$	3,072
Medium-duty truck and bus	2,431
Light-duty automotive	1,567
Off-highway	1,897
Total sales	$	8,967

Revised unit shipments by engine classification (including unit shipments to Power Systems and off-highway engine units included in their respective classification) were as follows:



2016
Units	Q1
Heavy-duty	19,700
Medium-duty	55,400
Light-duty	61,700
Total units	136,800

2015
Units	Q1	Q2	Q3	Q4	YTD
Heavy-duty	28,700	32,800	28,600	24,300	114,400
Medium-duty	61,200	66,600	59,600	59,700	247,100
Light-duty	51,200	53,400	47,800	56,900	209,300
Total units	141,100	152,800	136,000	140,900	570,800

2014
Units	YTD
Heavy-duty	122,100
Medium-duty	266,800
Light-duty	204,400
Total units	593,300