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.
Caterpillar Inc. Group President Anthony D. Fassino reported several share transactions dated February 6, 2026. He exercised employee stock options for 8,288 shares of common stock at $196.7 per share, increasing his directly held common stock before subsequent transactions.
On the same date, he disposed of 2,255 shares in a transaction coded “F” at $722.8 per share and separately sold 6,033 shares in a transaction coded “S” at $722.15 per share, leaving 41,151 common shares held directly. He also has 1,502 shares held indirectly through a 401(k) plan based on a statement dated January 31, 2026. Following the option exercise, the reported employee stock option position is 0 derivatives remaining.
Caterpillar insider Bob De Lange filed a notice to sell 22656 shares of Caterpillar common stock through Morgan Stanley Smith Barney on the NYSE. The filing shows an aggregate market value of 16314834.82 and 467979596 shares of common stock outstanding.
The 22656 shares were acquired on 02/06/2026 via a stock option exercise from the issuer, paid in cash on the same date. During the past three months, Bob De Lange previously sold 16070 and 15977 Caterpillar common shares on 02/04/2026 and 02/02/2026, with gross proceeds of 11328798.80 and 10912128.03.
Caterpillar executive Anthony Fassino has filed a Form 144 notice to sell 6,033 shares of Caterpillar common stock. The shares are to be sold on the NYSE through Morgan Stanley Smith Barney, with an aggregate market value of $4,356,711.64 and 467,979,596 shares outstanding.
The securities were acquired via a stock option exercise on 02/06/2026 and paid for in cash the same day. The filing also lists prior sales over the past three months, including 10,671 shares sold on 02/02/2026 for $7,261,060.61 and 8,184 shares sold on 11/10/2025 for $4,666,353.12.
Caterpillar Inc. Group President Rodney Michael Shurman filed a Form 3 reporting his beneficial ownership in Caterpillar common stock and stock options. He holds 183 common shares directly and 6,727 common shares indirectly through a 401(k) plan, based on a statement dated as of December 31, 2025.
He also holds employee stock options for 7,917 shares at $253.98 expiring 03/06/2033, 2,997 shares at $338.65 expiring 03/04/2034, and 2,509 shares at $332.04 expiring 03/03/2035. Each grant vests in equal one‑third installments on the first, second, and third anniversaries of its grant date.
Caterpillar Inc. Group President Denise C. Johnson reported an intra-plan transfer of phantom stock units tied to Caterpillar common stock. On 02/04/2026, she moved 10,946 phantom stock units within the company's Supplemental Deferred Compensation Plan at a reported derivative price of $691.82 per unit. According to the plan terms, each unit generally tracks one share of Caterpillar common stock economically and will be settled 100% in cash upon her retirement or separation from service, rather than in actual shares.
Caterpillar Group President Bob De Lange reported multiple equity transactions in company stock. On February 4, 2026, he exercised 20,000 employee stock options at an exercise price of $138.35 per share, acquiring the same number of Caterpillar common shares.
He then disposed of 3,930 shares in an F-coded transaction at $704.04 per share and reported S-coded sales of 9,223 shares at $704.42, 6,817 shares at $705.70, and 30 shares at $706.28, with some trades executed in multiple lots at prices within stated ranges. After these transactions, he directly owned 79,953 shares of common stock and 28,034 employee stock options.
Caterpillar Group President Denise C. Johnson reported multiple stock transactions dated February 2, 2026. She exercised employee stock options covering 11,810 shares at $196.70 and 45,291 shares at $219.76, converting them into Caterpillar common stock.
To cover tax obligations, she had 3,399 and 14,564 shares withheld at $683.39 per share. She also completed several open-market sales of Caterpillar common stock in separate blocks, including 7,411 shares at a weighted average price of $680.11 and 20,145 shares at $680.76. After these transactions, she directly owned 43,350 shares of Caterpillar common stock and 23,978 employee stock options.
Caterpillar executive Bob De Lange has filed a notice to sell 16,070 shares of Caterpillar common stock under Rule 144. The shares are to be sold through Morgan Stanley Smith Barney LLC on or about 02/04/2026 on the NYSE, with an indicated aggregate market value of 11328798.80.
The filing shows these 16,070 shares were acquired on 02/04/2026 via a stock option exercise paid in cash. Over the prior three months, De Lange reported additional sales of 14,638 shares on 11/05/2025 for gross proceeds of 8231847.64 and 15,977 shares on 02/02/2026 for gross proceeds of 10912128.03.
Caterpillar Inc. Group President Anthony D. Fassino reported several transactions in company stock on February 2, 2026. He exercised 15,000 employee stock options at an exercise price of $196.70 per share, receiving an equal number of common shares.
On the same date, 4,329 shares of common stock were disposed of at $681.45 per share in a transaction coded "F", typically used for shares withheld to cover taxes. He also sold 10,671 shares at a weighted average price of $680.45 per share in a transaction coded "S".
After these transactions, Fassino directly held 41,151 shares of Caterpillar common stock and had 8,228 stock options remaining. In addition, 1,499 shares were held indirectly through a 401(k) plan, based on a statement dated as of December 31, 2025.
Caterpillar Inc. Group President Bob De Lange reported multiple stock transactions on February 2, 2026. He exercised 20,512 employee stock options at $151.12
To cover taxes, 4,535 shares were withheld in a transaction coded “F” at a weighted price of $683.41sold 15,977 shares of common stock in an open-market sale at a weighted average price of $682.99$682.93 and $683.49. After these transactions, De Lange directly owned 79,953 shares of Caterpillar common stock.