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.
Jason Kaiser, Group President of Caterpillar Inc., filed a Form 4 disclosing transactions dated 08/11/2025. The filing shows an acquisition of 4,091 common shares tied to employee stock options with an exercise price of $196.70, and disposals of 1,930 and 2,161 common shares at $416.80 and $417.70, respectively. Table II records 4,091 employee stock options acquired on 08/11/2025 related to a grant under the Caterpillar 2014 Long Term Incentive Plan dated 03/07/2022, with vesting in three equal annual increments. The report also notes 368 shares held indirectly in a 401(k) plan and is signed by Nicole Puza, POA, on 08/13/2025.
Caterpillar Inc. is the subject of a Form 144 notice reporting a proposed sale of 4,091 shares of common stock through Morgan Stanley Smith Barney LLC, with an aggregate market value of $1,708,790.65. The company has 468,478,923 shares outstanding, so this block represents a very small fraction of total shares.
The shares were acquired on 08/11/2025 via a stock option exercise from the issuer and payment was made in cash on the same date. No securities sold by the same person in the past three months were reported. The filer affirms they are unaware of any undisclosed material adverse information regarding the issuer.
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.