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. (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.
Caterpillar Inc. (CAT) filed a Form 4 reporting an intra‑plan transfer by Group President Denise C. Johnson on 11/12/2025. The transaction, coded “J,” involved phantom stock units in the company’s non‑qualified deferred compensation plan, which are generally the economic equivalent of one share of Caterpillar common stock and are settled 100% in cash upon retirement or separation.
Following the reported transaction, Johnson beneficially owned 10,752 phantom stock units. The filing lists an amount of 10,944 underlying shares and a stated price of $573.02 per derivative security. Units may adjust over time for accrued dividends and the fund’s cash/stock mix.
Caterpillar (CAT) Group President Jason E. Kaiser reported insider transactions on 11/11/2025. He exercised 8,881 employee stock options at $219.76 and 8,000 options at $196.70, acquiring common stock.
On the same day, he executed multiple open‑market sales in tranches, with weighted average sale prices ranging from $561.29 to $568.65 (per footnotes, comprised of multiple trades). The filing also shows share withholding for taxes (Code F) of 3,418 and 2,756 shares at $570.85. Following the transactions, he directly owned 8,649 shares and indirectly owned 368 shares held in a 401(k) plan, based on a plan statement dated October 31, 2025.
Caterpillar (CAT) Group President Anthony D. Fassino reported insider transactions on 11/10/2025. He exercised 12,500 stock options at an exercise price of $196.70 per share, acquired the underlying common stock, and then executed related transactions.
The filing shows a tax withholding transaction of 4,316 shares at $569.56 and an open-market sale of 8,184 shares at an average price of $570.18. Following these transactions, he directly held 41,512 Caterpillar shares, plus 1,499 shares held indirectly in a 401(k) plan based on a statement dated October 31, 2025. Derivative holdings listed include 23,288 stock options remaining after the exercise.
The options exercised were granted on March 7, 2022 under the 2014 Long-Term Incentive Plan, vesting in equal one-third increments on each of the first three anniversaries, and have an expiration date of 03/07/2032.
Caterpillar Inc. (CAT) received a Form 144 notice for a proposed sale of 10,707 common shares. The shares are listed for sale through Morgan Stanley Smith Barney LLC on the NYSE, with an aggregate market value of $6,034,453.03. The notice indicates an approximate sale date of 11/11/2025.
The securities were acquired via a stock option exercise on 11/11/2025, paid in cash, for the same 10,707 shares. As context, 467,979,596 shares of Caterpillar common stock were outstanding.
Caterpillar (CAT): Form 144 notice of proposed sale
A holder filed a notice under Rule 144 to sell up to 8,184 shares of Caterpillar common stock. The filing lists an aggregate market value of $4,666,353.12 for the proposed sale and an approximate date of sale of 11/10/2025. The shares were acquired on 11/10/2025 via a stock option exercise from the issuer, with payment in cash. The designated broker is Morgan Stanley Smith Barney LLC Executive Financial Services, and the securities are listed on the NYSE.
Caterpillar Inc. (CAT) executive Bob De Lange filed a Form 4 reporting equity transactions. On 11/05/2025, he exercised 20,000 employee stock options at an exercise price of $151.12 per share. He then reported a sale of 14,638 shares of common stock at a weighted average price of $562.36, with trades executed between $562.32 and $562.75. The filing also shows 5,362 shares disposed to cover taxes at a price of $563.66.
Following these transactions, De Lange beneficially owned 80,209 shares of Caterpillar common stock directly. He also reported 20,512 derivative securities (stock options) beneficially owned after the transactions. The exercised options were granted under the Caterpillar Inc. 2014 Long‑Term Incentive Plan on March 5, 2018 and vest in equal thirds on the first three anniversaries of the grant date.
Caterpillar Inc. (CAT) disclosed a Form 4 for Director David W. MacLennan. He purchased 300 shares of common stock on November 6, 2025 at $568.86 per share (transaction code P).
After this transaction, he beneficially owns 7,947 shares directly. The filing notes that this total includes adjustments for dividends accrued.
Caterpillar Inc. (CAT) reported an insider transaction by its Chief Accounting Officer, William E. Schaupp. On 11/05/2025, he sold 1,200 shares of common stock at a price of $572.22 per share (transaction code S). After the sale, he beneficially owns 1,323 shares directly. The filing notes that the remaining share figure includes adjustments for dividends accrued.
Caterpillar Inc. (CAT) reported a planned sale under Rule 144. A holder filed notice to sell 1,200 shares of common stock with an aggregate market value of $686,658, using Morgan Stanley Smith Barney LLC as broker. The filing lists an approximate sale date of 11/05/2025 on the NYSE.
The shares were originally acquired as restricted stock from the issuer: 759 shares on 09/01/2023 and 441 shares on 09/01/2022. Shares outstanding were 467,979,596; this is a baseline figure, not the amount being sold.