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 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.
MacLennan David reported acquisition or exercise transactions in this Form 4 filing.
Caterpillar Inc. director David MacLennan received a grant of 22 phantom stock units, each generally equal in value to one share of Caterpillar common stock. These units were awarded in lieu of director cash compensation under the company’s Directors' Deferred Compensation Plan and are to be settled entirely in cash upon his retirement or separation from service. Following this grant and related dividend adjustments, his total phantom stock unit balance is 476 units.
Kaiser Jason reported acquisition or exercise transactions in this Form 4 filing.
Caterpillar Inc. Group President Jason Kaiser received an award of 5 Phantom Stock Units tied to Caterpillar common stock. The units were valued at $997.47 per unit under the company’s non-qualified deferred compensation plan, bringing his total phantom stock units to 5,831. These units are economic equivalents of shares but will be settled 100% in cash upon his retirement or separation from service, so they do not involve open-market buying or selling of stock.
Creed Joseph E reported acquisition or exercise transactions in this Form 4 filing.
Caterpillar Inc. Chief Executive Officer Joseph E. Creed reported a compensation-related grant of 16 Phantom Stock Units tied to Caterpillar common stock. Each unit is generally the economic equivalent of one share and is held under non-qualified deferred compensation plans, bringing his total reported phantom units to 12,028. Eight units were credited to his account at a price of $997.47 per unit and eight units were contributed for no consideration. These phantom stock units will be settled 100% in cash upon his retirement or separation from service.
Epley Kyle Joseph reported acquisition or exercise transactions in this Form 4 filing.
Caterpillar Inc. Chief Financial Officer Kyle Joseph Epley received a grant of 6 phantom stock units under the company’s non-qualified deferred compensation plan. Each phantom stock unit is generally the economic equivalent of one share of Caterpillar common stock and is settled 100% in cash upon retirement or separation from service.
Following this award, Epley is credited with 6,242 phantom stock units. The balance can change over time because the units reflect an unfunded unitized company stock fund that includes both stock and cash, and is also adjusted for accrued dividends.
Caterpillar Inc. reported results of its 2026 virtual Annual Shareholders Meeting and announced a higher quarterly dividend. Shareholders elected all nominated directors to one-year terms and approved the ratification of PricewaterhouseCoopers LLP as independent registered public accounting firm for 2026. They also approved, on an advisory basis, the company’s executive compensation. A shareholder proposal to allow shareholder action by written consent did not pass.
The Board of Directors declared a quarterly cash dividend of $1.63 per share, payable on August 19, 2026 to shareholders of record on July 20, 2026. This represents a $0.12 increase from the prior quarterly dividend of $1.51 per share, described as an eight percent increase. The company highlighted its long history of annual dividend increases and its intention to return substantially all Machinery, Power & Energy free cash flow to shareholders over time through dividends and share repurchases.
WILKINS RAYFORD JR reported acquisition or exercise transactions in this Form 4 filing.
Caterpillar Inc. director Rayford Wilkins Jr reported a stock award of 211 shares of Caterpillar common stock. The shares were granted at a price of $0.00 per share, indicating a compensation-related award rather than an open-market purchase. Following this grant, his directly held position increased to 8,416 shares. A footnote notes that this total includes adjustments for dividends that have accrued, which slightly alters the share count over time.
SCHWAB SUSAN C reported acquisition or exercise transactions in this Form 4 filing.
Caterpillar Inc. director Susan C. Schwab received a grant of 211 shares of Common Stock on June 10, 2026. The shares were awarded at $0.00 per share, reflecting a compensation-related grant rather than an open-market purchase. Following this award, she directly holds 6,197 Caterpillar shares, including adjustments for dividends accrued noted in the filing.
Caterpillar Inc. director Debra L. Reed received an award of 211 shares of Caterpillar common stock on June 10, 2026. This was a grant-type acquisition with no purchase price. After the award, she directly holds 13,204 shares, including adjustments for dividends accrued.
Caterpillar Inc. director Judith Fran Marks received an award of 211 shares of common stock on June 10, 2026 at no cash cost, as a grant or other acquisition. Following this award, she directly holds 1,938 Caterpillar shares, reflecting routine equity-based director compensation.
Caterpillar Inc. director David MacLennan received 211 shares of Common Stock as a grant or award on June 10, 2026. The shares were acquired at a stated price of $0.00 per share, bringing his directly held total to 8,420 shares, including adjustments for dividends accrued.