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 SEC filings reveal the financial mechanics behind the world's largest construction and mining equipment manufacturer. The company's 10-K annual reports break down performance across four distinct segments: Construction Industries, Resource Industries, Energy and Transportation, and Cat Financial. Each segment faces different demand drivers and margin profiles, making segment-level analysis essential for understanding Caterpillar's overall business health.
Quarterly 10-Q filings provide insight into equipment orders, dealer inventory levels, and machine utilization trends that serve as leading indicators for construction and mining activity globally. Caterpillar's management discussion sections explain how economic conditions, commodity prices, and infrastructure spending affect each business segment differently. Our AI summaries highlight these segment breakdowns and key operational metrics without requiring you to navigate hundreds of pages.
Form 4 insider transaction filings track when Caterpillar executives and directors buy or sell company shares. These transactions can signal insider confidence in company prospects or routine portfolio management. The 8-K material event filings disclose significant developments including major contract wins, acquisition agreements, and operational changes that could affect the stock.
Caterpillar's proxy statements (DEF 14A) detail executive compensation structures, board composition, and corporate governance practices. For a company of Caterpillar's scale and complexity, understanding how management incentives align with shareholder interests matters for long-term investment analysis. Access Caterpillar's complete SEC filing history with AI-powered explanations that translate regulatory disclosures into clear insights.
Caterpillar Inc. executive Bob De Lange reported a tax-related share withholding. As Group President, he filed a Form 4 showing that on 01/12/2026, 473 shares of Caterpillar common stock were withheld at a price of
Caterpillar Inc. Group President Denise C. Johnson reported a routine tax-related share withholding. On 01/12/2026, 473 shares of Caterpillar common stock were withheld at a price of
After this transaction, Johnson beneficially owned 43,350 shares of Caterpillar common stock in direct form. The filing describes a non-market transaction associated with equity compensation rather than an open-market purchase or sale.
Caterpillar Inc. Group President Anthony D. Fassino reported a routine tax-related share withholding. On 01/12/2026, 473 shares of Caterpillar common stock were withheld at $621.97 per share to satisfy tax obligations arising from the vesting of Restricted Stock Units granted on January 12, 2024.
After this transaction, Fassino beneficially owned 41,151 shares of Caterpillar common stock directly. He also had an additional 1,499 shares held indirectly through a 401(k) plan, based on a plan statement dated as of December 31, 2025.
Caterpillar Inc. reported a planned board leadership transition. D. James Umpleby III, currently Executive Chairman and a director, will resign from the Board effective April 1, 2026. He previously served as Chief Executive Officer from 2017 to 2025 and has been with the company for forty-five years.
On the effective date, current Chief Executive Officer and director Joseph E. Creed will assume the additional title of Chairman of the Board, combining the CEO and Chair roles. At the same time, the Board will reduce its size from ten to nine directors.
The Board also approved amended and restated bylaws on January 6, 2026 to change the title of the Board’s “Presiding Director” to “Lead Independent Director.” The revised bylaws and a related press release are filed as exhibits to this report.
Caterpillar Inc. director David W. MacLennan reported a new grant of derivative securities tied to the company’s common stock. On 12/31/2025, he acquired 30 phantom stock units under a director compensation arrangement at a price of $575.49 per unit, bringing his total holdings of these derivative securities to 419 units.
Each phantom stock unit is generally the economic equivalent of one share of Caterpillar common stock and was awarded or acquired in lieu of director cash compensation. The units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon his retirement or separation from service.
Caterpillar Inc.'s chief financial officer, as a reporting person, disclosed several open-market sales of Caterpillar common stock dated 12/31/2025. The transactions were coded as sales and executed in multiple blocks, including 812 shares at a weighted average price of $572.71, 2,628 shares at $573.61, 1,431 shares at $574.77, 3,016 shares at $575.77, 1,473 shares at $576.56, 600 shares at $577.79, and 40 shares at $578.41.
For each group of trades, the filing notes that the price shown is a weighted average sale price, with underlying individual trades occurring in narrow price ranges around each reported figure. Following these sales, the reporting person directly and beneficially owns 45,460 shares of Caterpillar common stock.
Caterpillar Inc. Chief Executive Officer Joseph E. Creed reported a Form 4 transaction involving phantom stock units under the company’s non-qualified deferred compensation plan. On 12/26/2025, he acquired 26 phantom stock units, each generally the economic equivalent of one share of Caterpillar common stock. This total includes 13 units credited at a price of $583.00 per unit and 13 units contributed to his account for no consideration under the plan’s terms.
After this transaction, Creed beneficially holds 10,699 phantom stock units in the plan. These units are designed to be settled 100% in cash upon his retirement or separation from service. The number of units can change over time due to dividend adjustments and changes in the mix of stock and cash in the underlying unitized company stock fund.
Caterpillar Inc. executive Jason E. Kaiser, a Group President, reported acquiring additional deferred equity-linked compensation. On 12/26/2025, he received 13 phantom stock units under a non-qualified deferred compensation plan, which are generally the economic equivalent of one share of Caterpillar common stock each.
The total includes 7 units credited to his plan account at a price of $583.00 per unit and 6 units contributed for no consideration under plan terms. Following this transaction, Kaiser beneficially owned 5,228 phantom stock units in total. These units are to be settled 100% in cash upon his retirement or separation from service and are held in an unfunded unitized company stock fund that adjusts over time for dividends and changes in the mix of stock and cash.
Caterpillar Inc. director James Fish Jr. reported a charitable stock transfer of company shares. On 12/19/2025, he made a gift of 1,000 shares of Caterpillar common stock, recorded at a price of $0 per share, reflecting that it was a donation rather than a sale, to a Donor Advised Fund.
After this transaction, he beneficially owns 3,475 shares of Caterpillar common stock directly, and an additional 250 shares held indirectly by The Nicole M. Fish GST Trust and 250 shares held indirectly by The Stephanie M. Fish GST Trust.
Caterpillar Inc.'s Chief Financial Officer reported multiple open-market sales of company common stock. On 12/01/2025, the officer sold several blocks of shares at weighted average prices ranging from $568.57 to $574.52, with underlying trade prices spanning from $567.93 to $575.13. Each line represents a separate sale, including transactions such as 1,378 shares at $568.57 and 2,360 shares at $569.35, all classified as dispositions. Following these sales, the officer beneficially owned 55,460 shares of Caterpillar common stock directly, reflecting adjustments for accrued dividends where noted.
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