Caterpillar Inc. filings document the financial results, governance, securities and operating disclosures of a global manufacturer of construction and mining equipment, engines, industrial gas turbines and diesel-electric locomotives. Current Reports on Form 8-K furnish quarterly earnings releases, supplemental retail-sales information for machines and power systems, and material corporate events.
The company’s proxy materials cover annual meeting voting, board structure, director elections, executive compensation and shareholder governance. Filings also identify Caterpillar common stock and listed debentures, disclose leadership and bylaw changes, and provide segment and regional operating detail for Construction Industries, Resource Industries and Power & Energy.
Caterpillar Inc. appointed Derrick York, currently president of Solar Turbines and a senior vice president, as group president of Resource Industries, effective November 1, 2026. The board made the appointment on October 14, 2026. Denise C. Johnson will transition from the role on November 1 and assume an advisory role; her retirement is effective February 1, 2027.
York has led since 2023 the global business unit providing industrial gas turbines and compressors for oil & gas and power generation. During his 16 years with Caterpillar, he has also held senior leadership roles in Oil & Gas and Marine, finance, and corporate development. Johnson assumed leadership of Resource Industries in 2016.
Caterpillar Inc. director Lynn J. Good acquired 30 phantom stock units on September 30, 2026, in lieu of director cash compensation. Each unit is generally the economic equivalent of one Caterpillar common share; the reported price was $821.0100 per unit, and her resulting balance was 30 units. The units are to be settled 100% in cash upon her retirement or separation from service.
Caterpillar Inc. (CAT) director David MacLennan acquired 28 phantom stock units on September 30, 2026, in lieu of director cash compensation. The reported per-unit price was $821.01, and his direct balance became 505 phantom stock units, including adjustments for accrued dividends. The units are to be settled 100% in cash upon his retirement or separation from service.
Caterpillar Inc. Group President Jason Kaiser acquired 11 phantom stock units on September 25, 2026, bringing his reported balance to 5,449 units. The 11-unit total includes 6 units credited at $821.58 per share under the Supplemental Deferred Compensation Plan and 5 contributed for no consideration. Each unit is generally the economic equivalent of one Caterpillar common share; the units are to be settled 100% in cash upon retirement or separation from service. His reported balance includes adjustments for accrued dividends.
Caterpillar Inc. Chief Financial Officer Kyle Joseph Epley acquired Phantom Stock Units in two award entries on September 25, 2026: 11 units and 7 units. The 11-unit entry includes 6 units credited at $821.58 per share and 5 contributed for no consideration; the separate 7-unit entry is reported at $821.58 per share. Each unit is generally the economic equivalent of one common share, and the units are settled 100% in cash upon retirement or separation from service. The reported unit count includes accrued-dividend adjustments and may change with the stock-and-cash proportions of the unfunded fund.
Joseph E. Creed, Caterpillar Inc.’s Chief Executive Officer, acquired 19 Phantom Stock Units on September 25, 2026, bringing his reported position to 11,234 units. The award included 10 units credited at $821.58 per share and 9 contributed for no consideration. Each unit is generally the economic equivalent of one Caterpillar common share; the units are settled 100% in cash upon retirement or separation from service. The reported position includes accrued-dividend adjustments and may change with the stock-and-cash composition of the fund.
CATERPILLAR INC (CAT) reported insider equity transactions by Chief Executive Officer Joseph E. Creed on August 28, 2026. Creed exercised 44,403 employee stock options at an exercise price of $219.76 per share, receiving the same number of Caterpillar common shares. The options were granted under the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 1, 2021 and vest in three equal annual installments.
In connection with the exercise, 12,002 shares of common stock were delivered or withheld to pay the exercise price or tax liability. Creed also executed multiple open-market sales totaling 32,401 shares of common stock at weighted average prices generally between $799.67 and $813.86 per share, with each sale reported in price ranges via footnotes. Following these transactions, he continued to have 11,839 shares of Caterpillar common stock held indirectly through a 401(k) plan as of July 31, 2026.
CATERPILLAR INC. (CAT) entered into new and amended unsecured revolving credit facilities that provide significant committed liquidity across multiple tenors and currencies. A new 2026 364-Day Facility offers up to $3.5 billion in aggregate commitments, expiring on August 26, 2027, including local currency addendums that permit borrowing in Pounds Sterling, Euros and Japanese Yen within the overall commitment. Caterpillar also executed a Three-Year Facility Agreement for up to $3.0 billion maturing on August 27, 2029 and a Five-Year Facility Agreement for up to $5.0 billion maturing on August 27, 2031. These facilities are available for general corporate purposes and were undrawn as of the report date. Key covenants require Caterpillar to maintain consolidated net worth of at least $9 billion, and require Cat Financial to maintain an interest coverage ratio above 1.15:1 and a leverage ratio not greater than 10.0:1, calculated as specified in the agreements.
CATERPILLAR INC (CAT) received a notice under Rule 144 that officer Joseph E. Creed plans a potential sale of company common stock. The notice covers up to 32,401 shares of Caterpillar common stock, with an indicated aggregate market value of $26,211,751.26, to be sold through Morgan Stanley Smith Barney LLC Executive Financial Services on the NYSE, with an approximate sale date of August 28, 2026. The shares are to be issued via stock option exercise for cash, and the filing notes that 459,674,889 shares of Caterpillar common stock were outstanding.
CATERPILLAR INC (CAT) reported that its Chief Financial Officer received grants of phantom stock units under company deferred compensation plans. On 2026-08-26, the reporting person acquired 11 phantom stock units and a separate award of 7 phantom stock units, each economically equivalent to one share of Caterpillar common stock. Some units reflect excess contributions credited at $821.93 per unit and others were contributed under plan terms for no consideration. These phantom units are settled 100% in cash upon retirement or separation, and their deemed number may vary over time because they represent interests in a unitized company stock fund with both stock and cash.