Welcome to our dedicated page for Caterpillar SEC filings (Ticker: CAT), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
Caterpillar’s equipment powers construction sites, mines, and energy projects on six continents—and its SEC filings map the financial engine behind those machines. From fluctuating dealer inventories to segment margins in Resource Industries, the disclosures track every bolt that moves global infrastructure spending. If you have ever searched for “Caterpillar SEC filings explained simply” or wondered how dealer backlog shifts affect cash flow, this page is built for you.
Stock Titan layers AI-powered summaries on top of every 10-K, 10-Q, 8-K, and DEF 14A so you can move from 300 pages to the five metrics that matter. Need the next “Caterpillar quarterly earnings report 10-Q filing” minutes after it hits EDGAR? We post it in real time, then highlight warranty reserve changes and currency impacts. Curious about "Caterpillar insider trading Form 4 transactions"? Instant alerts surface each executive stock purchase, while “Caterpillar Form 4 insider transactions real-time” tables expose buying patterns. Our AI also breaks down pension obligations and R&D spending, turning complex footnotes into plain English you can reference when “understanding Caterpillar SEC documents with AI.”
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Caterpillar Inc. director David W. MacLennan reported a Form 4 transaction involving phantom stock units under the company’s Director's Deferred Compensation Plan.
On 11/25/2025, 72 phantom stock units, each equivalent to one share of Caterpillar common stock, were acquired at a reference price of $557.34, bringing his beneficially owned phantom stock units to 389. These units were acquired under the Director's Deferred Compensation Plan, are to be settled 100% in cash upon his retirement or separation from service, and include adjustments for dividends accrued.
Caterpillar Inc. (CAT) director reports charitable stock donation
A Caterpillar Inc. director reported a transaction involving the company’s common stock on a Form 4. On 11/19/2025, the reporting person donated 990 shares of Caterpillar common stock to a 501(c)(3) foundation account, with the transaction coded as a gift and a reported price of $0 per share. After this donation, the director beneficially owns 5,948 shares of Caterpillar common stock, and this balance includes dividends that have accrued. The filing is made as an individual Form 4 for one reporting person in their capacity as a director of Caterpillar.
Caterpillar Inc. (CAT) filed a Form 4 reporting an intra‑plan transfer by Group President Denise C. Johnson on 11/12/2025. The transaction, coded “J,” involved phantom stock units in the company’s non‑qualified deferred compensation plan, which are generally the economic equivalent of one share of Caterpillar common stock and are settled 100% in cash upon retirement or separation.
Following the reported transaction, Johnson beneficially owned 10,752 phantom stock units. The filing lists an amount of 10,944 underlying shares and a stated price of $573.02 per derivative security. Units may adjust over time for accrued dividends and the fund’s cash/stock mix.
Caterpillar (CAT) Group President Jason E. Kaiser reported insider transactions on 11/11/2025. He exercised 8,881 employee stock options at $219.76 and 8,000 options at $196.70, acquiring common stock.
On the same day, he executed multiple open‑market sales in tranches, with weighted average sale prices ranging from $561.29 to $568.65 (per footnotes, comprised of multiple trades). The filing also shows share withholding for taxes (Code F) of 3,418 and 2,756 shares at $570.85. Following the transactions, he directly owned 8,649 shares and indirectly owned 368 shares held in a 401(k) plan, based on a plan statement dated October 31, 2025.
Caterpillar (CAT) Group President Anthony D. Fassino reported insider transactions on 11/10/2025. He exercised 12,500 stock options at an exercise price of $196.70 per share, acquired the underlying common stock, and then executed related transactions.
The filing shows a tax withholding transaction of 4,316 shares at $569.56 and an open-market sale of 8,184 shares at an average price of $570.18. Following these transactions, he directly held 41,512 Caterpillar shares, plus 1,499 shares held indirectly in a 401(k) plan based on a statement dated October 31, 2025. Derivative holdings listed include 23,288 stock options remaining after the exercise.
The options exercised were granted on March 7, 2022 under the 2014 Long-Term Incentive Plan, vesting in equal one-third increments on each of the first three anniversaries, and have an expiration date of 03/07/2032.
Caterpillar Inc. (CAT) received a Form 144 notice for a proposed sale of 10,707 common shares. The shares are listed for sale through Morgan Stanley Smith Barney LLC on the NYSE, with an aggregate market value of $6,034,453.03. The notice indicates an approximate sale date of 11/11/2025.
The securities were acquired via a stock option exercise on 11/11/2025, paid in cash, for the same 10,707 shares. As context, 467,979,596 shares of Caterpillar common stock were outstanding.
Caterpillar (CAT): Form 144 notice of proposed sale
A holder filed a notice under Rule 144 to sell up to 8,184 shares of Caterpillar common stock. The filing lists an aggregate market value of $4,666,353.12 for the proposed sale and an approximate date of sale of 11/10/2025. The shares were acquired on 11/10/2025 via a stock option exercise from the issuer, with payment in cash. The designated broker is Morgan Stanley Smith Barney LLC Executive Financial Services, and the securities are listed on the NYSE.
Caterpillar Inc. (CAT) executive Bob De Lange filed a Form 4 reporting equity transactions. On 11/05/2025, he exercised 20,000 employee stock options at an exercise price of $151.12 per share. He then reported a sale of 14,638 shares of common stock at a weighted average price of $562.36, with trades executed between $562.32 and $562.75. The filing also shows 5,362 shares disposed to cover taxes at a price of $563.66.
Following these transactions, De Lange beneficially owned 80,209 shares of Caterpillar common stock directly. He also reported 20,512 derivative securities (stock options) beneficially owned after the transactions. The exercised options were granted under the Caterpillar Inc. 2014 Long‑Term Incentive Plan on March 5, 2018 and vest in equal thirds on the first three anniversaries of the grant date.
Caterpillar Inc. (CAT) disclosed a Form 4 for Director David W. MacLennan. He purchased 300 shares of common stock on November 6, 2025 at $568.86 per share (transaction code P).
After this transaction, he beneficially owns 7,947 shares directly. The filing notes that this total includes adjustments for dividends accrued.
Caterpillar Inc. (CAT) reported an insider transaction by its Chief Accounting Officer, William E. Schaupp. On 11/05/2025, he sold 1,200 shares of common stock at a price of $572.22 per share (transaction code S). After the sale, he beneficially owns 1,323 shares directly. The filing notes that the remaining share figure includes adjustments for dividends accrued.
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