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.
The Caterpillar Inc. (NYSE: CAT) SEC filings page on Stock Titan provides access to the company’s regulatory disclosures filed with the U.S. Securities and Exchange Commission. These documents include current reports on Form 8-K, annual and quarterly reports when available, and other materials that describe key events, financial results, capital structure and governance changes for Caterpillar.
Form 8-K filings for Caterpillar often report material events such as leadership transitions, updates to bylaws, results of operations and financial condition, and significant financing arrangements. For example, recent 8-K reports have described a board leadership transition in which the Chief Executive Officer is scheduled to assume the role of Chairman of the Board, amendments to the company’s bylaws regarding the Lead Independent Director title, and new or amended revolving credit facilities and related covenants.
Other 8-K filings referenced by Caterpillar cover quarterly financial results, supplemental information on retail sales of machines and power systems, and updates on the estimated impact of tariffs on operating margins. These filings can help readers understand how external factors and financing decisions affect Caterpillar’s Construction Industries, Resource Industries, Power & Energy and Financial Products segments.
On Stock Titan, users can review Caterpillar’s filings in sequence and use AI-powered summaries to interpret complex documents. AI summaries highlight key sections of lengthy reports, explain technical terms and point out notable items such as changes in board composition, new credit agreements, or commentary on tariffs and other business conditions. The filings page also surfaces information related to securities registered under Section 12(b), including Caterpillar’s common stock (CAT) and 5.3% debentures due September 15, 2035 (CAT35).
By combining real-time updates from EDGAR with AI-generated insights, this page helps investors, analysts and researchers quickly locate and understand the Caterpillar disclosures most relevant to their interests, whether they are focused on governance, financing arrangements, operating performance or segment-level developments.
Caterpillar Inc. (CAT) reporting person Denise C. Johnson, Group President, filed a Form 4 disclosing an intra-plan transfer of 8,493 phantom stock units on 08/07/2025. Each phantom unit is stated to be the economic equivalent of one share of Caterpillar common stock and, per the filing, will be settled 100% in cash upon the reporting person’s separation from service. Following the reported transaction the filing shows 22,597 phantom units beneficially owned directly. The transaction was executed under the company’s Supplemental Deferred Compensation Plan and the form was signed by POA Nicole Puza on 08/08/2025.
Caterpillar (CAT) reported Q2 2025 results (three months ended 6/30/25) showing flat top-line but weaker profitability.
- Revenue: $16.57 bn, down 0.7% YoY. Machinery, Energy & Transportation (ME&T) sales dipped to $15.67 bn (-1.0%), while Financial Products revenue rose 5.4% to $895 m.
- Operating profit: $2.86 bn vs $3.48 bn, margin compressed 340 bp to 17.3% on higher cost of goods sold (+6.5%).
- Net profit: $2.18 bn (-18.7%); diluted EPS $4.62 (-15.7%).
- Six-month view: Revenue $30.82 bn (-5.1%), EPS $8.82 (-21.4%), underscoring a broad slowdown.
- Cash flow: Operating cash inflow of $4.41 bn (-13%), but free cash was negative after $1.27 bn capex and $608 m equipment leasing spend.
- Capital allocation: $4.49 bn spent on share buybacks YTD (10.2 m shares) and $1.34 bn in dividends ($2.92/sh). Treasury stock at cost rose to $48.0 bn; basic shares outstanding fell to 468.5 m.
- Balance sheet: Inventories climbed 10.5% YTD to $18.6 bn. ME&T long-term debt grew to $10.65 bn (+$2.09 bn), while cash declined to $5.44 bn from $6.89 bn.
- Equity & OCI: Shareholders’ equity slipped 4.3% to $18.66 bn despite $623 m favorable FX translation gains.
Management attributes results to normal recurring conditions; no material restatements or going-concern issues disclosed.
Caterpillar Group President Denise C. Johnson reported changes in beneficial ownership through phantom stock unit transactions on June 26, 2025. The insider acquired 26 phantom stock units under the company's non-qualified deferred compensation plan, with the following details:
- 13 shares credited at $381.88 per share
- 13 shares contributed at no cost per plan terms
- Total phantom stock units owned after transaction: 29,421 units
The phantom stock units are equivalent to Caterpillar common stock and will be settled 100% in cash upon retirement or separation. The units are part of an unfunded unitized company stock fund that includes both stock and cash components, with quantities subject to change based on fund composition and dividend adjustments.
Caterpillar Group President Jason Kaiser reported changes in beneficial ownership on June 26, 2025. The transaction involved the acquisition of phantom stock units under the company's non-qualified deferred compensation plan.
Key transaction details:
- Acquired 1 phantom stock unit at $381.88 per unit
- Total phantom stock units held after transaction: 4,984 units
- Units are economically equivalent to Caterpillar common stock
- Settlement terms: 100% cash upon retirement/separation
The phantom stock units represent interests in an unfunded unitized company stock fund comprising stock and cash. The number of units may fluctuate due to changes in cash/stock percentages and dividend adjustments. The filing was signed by Nicole Puza as power of attorney for Kaiser on June 27, 2025.