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.
D. James Umpleby III reported a sale of 17,168 shares of Caterpillar Inc. (CAT) on 09/02/2025 at a weighted average price of $412.87, executed as multiple trades. After the sale the reporting person beneficially owns 482,505 shares directly. The filing discloses indirect holdings of 59,000 shares held by an irrevocable trust for descendants, 36,040 shares held by a children\'s irrevocable trust, and 1,028 shares held via a 401(k) plan (401(k) info dated August 31, 2025). The form indicates the transaction was made pursuant to a 10b5-1 plan and is signed by a POA on 09/03/2025.
Caterpillar Inc. filed an 8-K reporting entry into material definitive credit agreements and the creation of direct financial obligations. The filing references a 364-Day Credit Agreement and multi-year facilities, including a Fourth Amended and Restated Credit Agreement structured as a three-year facility and a five-year facility. Each facility includes local currency addenda for CIF and CIF LUX and Japan-specific addenda. The filing lists these agreements as exhibits and states the cover page is provided in Inline XBRL. The filing is signed by Derek Owens, Chief Legal Officer and General Counsel.
Caterpillar Inc. (CAT) Form 144 filed to notify a proposed sale of 17,168 common shares through Goldman Sachs & Co. LLC on the NYSE with an aggregate market value of $7,142,746.40. The shares represent a small fraction of the 468,478,923 shares outstanding and the planned sale date is 09/02/2025. The securities were acquired on 12/18/2023 as compensation through stock options and were exercised via a cashless exercise/same-day sale. No securities were reported sold by the filer in the past three months. The filer certifies they are not aware of undisclosed material adverse information.
Caterpillar Inc. is updating its outlook to reflect a larger expected hit from 2025 tariffs on its profitability. The company now expects the net impact from incremental tariffs introduced in 2025 to be approximately $500–$600 million for the third quarter and approximately $1.5–$1.8 billion for the full year. Including these tariffs, Caterpillar now expects its full-year adjusted operating profit margin to be near the bottom of its target margin range. The company states that this revised tariff impact is not expected to change the sales and revenue outlook it shared on its August 5, 2025 earnings call, and it notes that it is taking initial mitigating actions while trade and tariff negotiations remain fluid.
Joseph E. Creed, Chief Executive Officer of Caterpillar Inc. (CAT), reported receipt of 35 phantom stock units under the company non-qualified deferred compensation arrangements on 08/26/2025. Each unit is treated as the economic equivalent of one share of Caterpillar common stock and the transaction used a price of $431.26 per share for 18 credited shares; 17 additional shares were contributed for no consideration. The units are payable 100% in cash upon Creeds retirement or separation and the filing shows he beneficially owns 10,600 phantom stock units following the transaction. The filing was signed by a power of attorney on Creeds behalf.
Insider grant of phantom stock units to Caterpillar officer. The Form 4 reports that Jason Kaiser, Group President, was credited with 17 phantom stock units on 08/26/2025. The report shows a price per share of $431.26 relevant to 9 of those units; the remaining 8 units were contributed for no consideration. Following the transaction the reporting person is deemed to beneficially own 5,179 phantom stock units. The units represent economic equivalents of Caterpillar common shares and are settled 100% in cash upon retirement or separation from service. The units track an unfunded unitized company stock fund, so the reported unit count can vary with the fund composition.
Denise C. Johnson, a Group President and officer of Caterpillar Inc. (CAT), was credited with 23 phantom stock units under the company's non-qualified deferred compensation plan. The filing shows 12 units were credited at $431.26 per share and 11 units were contributed for no consideration, with the phantom units representing the economic equivalent of common stock. The units are payable 100% in cash upon retirement or separation from service, and the report states the reporting person is deemed to beneficially own 21,905 shares after the transaction, reflecting dividend adjustments and the unitized fund composition.
Caterpillar director David W. MacLennan acquired 500 shares of Caterpillar Inc. (CAT) on 08/18/2025 at a price of $407.76 per share. Following the purchase, Mr. MacLennan beneficially owned 7,641 shares directly. The Form 4 was signed by Nicole Puza as power of attorney on 08/19/2025. No derivative transactions or additional explanatory details are provided in the filing.
Susan C. Schwab, a director of Caterpillar Inc. (CAT), reported a sale of 2,324 shares of Common Stock on 08/15/2025 at a reported price of $410 per share. After the sale she beneficially owned 6,917 shares. The Form 4 was signed by a power of attorney on 08/19/2025. The filing indicates a routine insider disposition by a reporting director and lists ownership as direct.
Form 144 notice for Caterpillar Inc. (CAT) reports a proposed sale of 2,324 common shares through Charles Schwab & Co., Inc. on the NYSE, with an aggregate market value of $949,284 and the company showing 468,478,923 shares outstanding. The shares were granted as restricted stock units: 1,307 RSUs acquired 03/06/2017 (paid 03/06/2018) and 1,017 RSUs acquired 03/05/2018 (paid 03/05/2019), with payment described as equity compensation. The filer certifies no undisclosed material adverse information about the issuer and indicates no sales of issuer securities by the filer in the past three months.