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.
A shareholder has filed a notice of proposed sale under Rule 144 for 39,138 shares of common stock, to be sold through Morgan Stanley Smith Barney LLC Executive Financial Services on or about 02/02/2026 on the NYSE. The filing lists an aggregate market value of 26655893.78 for the planned sale, compared with 467979596 shares of the same class shown as outstanding.
The shares to be sold were acquired on 02/02/2026 through a stock option exercise from the issuer, for which 39,138 securities were obtained and paid for in cash on the same date. The seller certifies that they are not aware of any undisclosed material adverse information about the issuer’s current or prospective operations.
Caterpillar shareholder Bob De Lange has filed notice to sell 15,977 shares of Caterpillar common stock. The shares were acquired through a stock option exercise on 02/02/2026, paid in cash, and are to be sold on the NYSE through Morgan Stanley Smith Barney LLC.
The filing also reports that Bob De Lange sold 14,638 Caterpillar common shares on 11/05/2025 for gross proceeds of $8,231,847.64. Caterpillar had 467,979,596 common shares outstanding at the time of the planned sale, providing scale for the disclosed transactions.
A shareholder of CAT, identified as Anthony Fassino, has filed to sell 10,671 shares of common stock under Rule 144. The planned sale, to be executed on the NYSE through Morgan Stanley Smith Barney LLC, has an aggregate market value of $7,261,060.61.
The shares to be sold were acquired on 02/02/2026 through a stock option exercise, with the purchase price paid in cash the same day. Over the prior three months, the same seller disposed of 8,184 additional common shares on 11/10/2025 for gross proceeds of $4,666,353.12.
Caterpillar Inc. filed a current report to share its latest financial and operating updates. The company issued a press release with financial results for the quarter ended December 31, 2025, which is included as Exhibit 99.1. This gives investors an overview of how the business performed in the most recent quarter.
Caterpillar is also providing detailed supplemental information on retail sales. Exhibit 99.2 covers retail sales of machines to end users and retail sales of power systems – including reciprocating and turbine engines and locomotives – to end users and Original Equipment Manufacturers. These materials are furnished under Regulation FD to ensure broad, equal access to information.
Caterpillar Inc. filed a current report to share its latest financial and operating updates. The company issued a press release with financial results for the quarter ended December 31, 2025, which is included as Exhibit 99.1. This gives investors an overview of how the business performed in the most recent quarter.
Caterpillar is also providing detailed supplemental information on retail sales. Exhibit 99.2 covers retail sales of machines to end users and retail sales of power systems – including reciprocating and turbine engines and locomotives – to end users and Original Equipment Manufacturers. These materials are furnished under Regulation FD to ensure broad, equal access to information.
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 $621.97 per share. The footnotes state these shares were retained by the company to cover tax obligations arising from the vesting of Restricted Stock Units granted on January 12, 2024, and that the figures include an adjustment for dividends accrued. After this transaction, De Lange beneficially owned 79,953 shares directly.
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 $621.97 per share to cover tax obligations arising from the vesting of Restricted Stock Units that were granted on January 12, 2024.
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. 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.