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. Chief Executive Officer Joseph E. Creed reported a Form 4 transaction involving phantom stock units under the company’s non-qualified deferred compensation plan. On 12/26/2025, he acquired 26 phantom stock units, each generally the economic equivalent of one share of Caterpillar common stock. This total includes 13 units credited at a price of $583.00 per unit and 13 units contributed to his account for no consideration under the plan’s terms.
After this transaction, Creed beneficially holds 10,699 phantom stock units in the plan. These units are designed to be settled 100% in cash upon his retirement or separation from service. The number of units can change over time due to dividend adjustments and changes in the mix of stock and cash in the underlying unitized company stock fund.
Caterpillar Inc. executive Jason E. Kaiser, a Group President, reported acquiring additional deferred equity-linked compensation. On 12/26/2025, he received 13 phantom stock units under a non-qualified deferred compensation plan, which are generally the economic equivalent of one share of Caterpillar common stock each.
The total includes 7 units credited to his plan account at a price of $583.00 per unit and 6 units contributed for no consideration under plan terms. Following this transaction, Kaiser beneficially owned 5,228 phantom stock units in total. These units are to be settled 100% in cash upon his retirement or separation from service and are held in an unfunded unitized company stock fund that adjusts over time for dividends and changes in the mix of stock and cash.
Caterpillar Inc. director James Fish Jr. reported a charitable stock transfer of company shares. On 12/19/2025, he made a gift of 1,000 shares of Caterpillar common stock, recorded at a price of $0 per share, reflecting that it was a donation rather than a sale, to a Donor Advised Fund.
After this transaction, he beneficially owns 3,475 shares of Caterpillar common stock directly, and an additional 250 shares held indirectly by The Nicole M. Fish GST Trust and 250 shares held indirectly by The Stephanie M. Fish GST Trust.
Caterpillar Inc.'s Chief Financial Officer reported multiple open-market sales of company common stock. On 12/01/2025, the officer sold several blocks of shares at weighted average prices ranging from $568.57 to $574.52, with underlying trade prices spanning from $567.93 to $575.13. Each line represents a separate sale, including transactions such as 1,378 shares at $568.57 and 2,360 shares at $569.35, all classified as dispositions. Following these sales, the officer beneficially owned 55,460 shares of Caterpillar common stock directly, reflecting adjustments for accrued dividends where noted.
Caterpillar Inc.'s Executive Chairman Donald J. Umpleby III reported a charitable transfer of company stock. On 11/28/2025, he donated 2,350 shares of Caterpillar common stock to The Ayco Charitable Foundation, described as a Donor Advised Fund. The shares were transferred at a reported price of $0, reflecting the nature of the donation rather than a market sale.
After this transaction, Umpleby reported 445,879 shares of Caterpillar common stock held directly, plus indirect holdings of 59,000 shares in an irrevocable trust for descendants, 36,040 shares in a children's irrevocable trust, and 1,030 shares held through a 401(k) plan based on information dated as of November 30, 2025.
Caterpillar Inc. (CAT) has a Rule 144 notice covering the planned sale of 20,000 shares of its common stock through J.P. Morgan Securities LLC on the NYSE, with an approximate aggregate market value of $11,515,200. The sale is targeted around 12/01/2025 and is a secondary sale by an existing holder, not a new issue of shares by the company.
The notice states that 467,979,596 shares of common stock were outstanding, providing context for the size of the planned sale. The seller acquired the shares over time through company compensation-related transactions such as net exercises and performance-based restricted stock unit vests between 2021 and 2024.
Caterpillar Inc. officer Jason E. Kaiser, a Group President, reported a deferred compensation transaction involving phantom stock units tied to Caterpillar common stock. On 11/26/2025, he acquired 13 phantom stock units under the company’s non-qualified deferred compensation plan, at a referenced price of $573.73 per share for 7 of those units, with 6 additional units contributed for no consideration under plan terms. Each phantom unit is generally the economic equivalent of one share of Caterpillar common stock but will be settled 100% in cash upon his retirement or separation from service. Following this transaction, Kaiser beneficially owned 5,132 phantom stock units, which are held in an unfunded unitized company stock fund where the number of units can change over time due to dividends and shifts between stock and cash in the fund.
Caterpillar Inc. reported an insider equity transaction involving its Chief Executive Officer, Joseph E. Creed. On 11/26/2025, Creed acquired 26 phantom stock units under Caterpillar’s non-qualified deferred compensation plan at a reference price of $573.73 per unit. Each phantom unit is generally the economic equivalent of one share of Caterpillar common stock.
The 26 units include 13 units credited at $573.73 and 13 units contributed under the plan for no consideration. After this transaction, Creed beneficially holds 10,503 phantom stock units, which will be settled 100% in cash upon his retirement or separation from service. The total also reflects adjustments for dividends accrued and changes in the mix of stock and cash in the underlying unitized company stock fund.
Caterpillar Inc. director David W. MacLennan reported a Form 4 transaction involving phantom stock units under the company’s Director's Deferred Compensation Plan.
On 11/25/2025, 72 phantom stock units, each equivalent to one share of Caterpillar common stock, were acquired at a reference price of $557.34, bringing his beneficially owned phantom stock units to 389. These units were acquired under the Director's Deferred Compensation Plan, are to be settled 100% in cash upon his retirement or separation from service, and include adjustments for dividends accrued.
Caterpillar Inc. (CAT) director reports charitable stock donation
A Caterpillar Inc. director reported a transaction involving the company’s common stock on a Form 4. On 11/19/2025, the reporting person donated 990 shares of Caterpillar common stock to a 501(c)(3) foundation account, with the transaction coded as a gift and a reported price of $0 per share. After this donation, the director beneficially owns 5,948 shares of Caterpillar common stock, and this balance includes dividends that have accrued. The filing is made as an individual Form 4 for one reporting person in their capacity as a director of Caterpillar.