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.
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Caterpillar Group President Denise C. Johnson reported changes in beneficial ownership through phantom stock unit transactions on June 26, 2025. The insider acquired 26 phantom stock units under the company's non-qualified deferred compensation plan, with the following details:
- 13 shares credited at $381.88 per share
- 13 shares contributed at no cost per plan terms
- Total phantom stock units owned after transaction: 29,421 units
The phantom stock units are equivalent to Caterpillar common stock and will be settled 100% in cash upon retirement or separation. The units are part of an unfunded unitized company stock fund that includes both stock and cash components, with quantities subject to change based on fund composition and dividend adjustments.
Caterpillar Group President Jason Kaiser reported changes in beneficial ownership on June 26, 2025. The transaction involved the acquisition of phantom stock units under the company's non-qualified deferred compensation plan.
Key transaction details:
- Acquired 1 phantom stock unit at $381.88 per unit
- Total phantom stock units held after transaction: 4,984 units
- Units are economically equivalent to Caterpillar common stock
- Settlement terms: 100% cash upon retirement/separation
The phantom stock units represent interests in an unfunded unitized company stock fund comprising stock and cash. The number of units may fluctuate due to changes in cash/stock percentages and dividend adjustments. The filing was signed by Nicole Puza as power of attorney for Kaiser on June 27, 2025.
Caterpillar CEO Joseph E. Creed reported the acquisition of phantom stock units under the company's non-qualified deferred compensation plan on June 26, 2025. The transaction involved:
- Acquisition of 39 phantom stock units at $381.88 per unit
- 20 shares credited to account at $381.88 per share
- 19 shares contributed at no cost per plan terms
- Total beneficial ownership increased to 10,203 phantom stock units
The phantom stock units are equivalent to Caterpillar common stock and will be settled 100% in cash upon retirement or separation. The units are part of an unfunded unitized company stock fund that includes both stock and cash components, with quantities subject to change based on fund composition. The filing was signed by Nicole Puza as power of attorney for Creed on June 27, 2025.
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