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. Group President Anthony D. Fassino reported multiple transactions in company common stock. He exercised 21,403 employee stock options at $219.76 per share to acquire the same number of Caterpillar shares and had 5,120 shares withheld to cover tax obligations.
He then completed open-market sales of 15,440 shares at $916.75 per share and 843 shares at $917.73 per share, both executed in multiple trades at weighted-average prices. Following one reported sale, he held 46,041 shares directly, and a separate entry shows 1,508 shares held indirectly in a 401(k) plan based on a statement dated April 30, 2026.
Caterpillar Inc. Chief Financial Officer Kyle Joseph Epley reported routine equity compensation awards. He received a grant of 515 shares of common stock, bringing his direct holdings to 17,705 shares. He was also granted 1,394 employee stock options with an exercise price of $897.45 per share, expiring on May 8, 2036.
The stock options were granted under the Caterpillar Inc. 2023 Long-Term Incentive Plan and vest in three equal installments: one-third on the first anniversary of the grant date, one-third on March 2, 2028, and one-third on March 2, 2029. In addition, Epley reported indirect ownership of 3,186 common shares held in a 401(k) plan based on a statement dated as of April 30, 2026.
CAT notice: a Form 144 filing reports a proposed sale of 16,283 shares of Common Stock associated with a stock option exercise dated 05/11/2026, to be processed in cash. The filing lists prior sales by Anthony Fassino of 9,152 and 7,891 shares on 05/06/2026 and 02/13/2026, respectively, with the reported cash amounts for those transactions.
Caterpillar Group President Bob De Lange exercised employee stock options and sold shares in the company. He exercised 28,105 stock options at $127.60 per share, converting them into an equal number of Caterpillar common shares. Of these, 3,883 shares were disposed of to cover tax obligations. He then executed two open-market sales totaling 24,222 common shares at weighted average prices of $923.47 and $922.55 per share, across multiple trades. After these transactions, De Lange directly holds 86,029 Caterpillar shares, indicating he retains a substantial equity position following this exercise-and-sell sequence.
Caterpillar Inc. Group President Anthony D. Fassino executed a combined option exercise, tax withholding, and share sale in Caterpillar common stock. He exercised 12,000 employee stock options at $219.76 per share granted under the Caterpillar Inc. 2014 Long-Term Incentive Plan and received the underlying common shares.
To cover taxes, 2,848 shares were disposed of as a tax-withholding transaction at $925.74 per share. He then completed open-market sales of 8,802 shares at a weighted average price of $926.23 and 350 shares at a weighted average price of $926.83, each executed in multiple trades within the price ranges specified in the footnotes. After these transactions, Fassino directly owns 46,041 shares of Caterpillar common stock and indirectly holds 1,508 shares through a 401(k) plan as of an April 30, 2026 statement.
Caterpillar Inc. CFO Emeritus Andrew R. J. Bonfield reported option exercises, a share sale, and tax withholding-related dispositions in company stock. He exercised employee stock options for 23,054 shares of common stock at strike prices of $253.98, $332.04 and $338.65 per share.
On the same date, he sold 15,674 shares of Caterpillar common stock in an open-market transaction at a weighted average price of $918.71 per share, with individual trades ranging from $918.50 to $919.33. An additional 7,380 shares were disposed of to satisfy tax obligations. After these transactions, he directly holds 52,935 shares of Caterpillar common stock.
CATERPILLAR INC Group President Jason Kaiser reported a gift of company stock. He made a bona fide gift transfer of 294 shares of Caterpillar common stock at a stated price of $0.00 per share, which represents a donation to a Donor Advised Fund.
After this gift, Kaiser directly holds 9,300 shares of Caterpillar common stock. He also has an indirect holding of 368 shares through a 401(k) plan, based on a plan statement dated as of April 30, 2026.
Caterpillar Inc. group president Rodney Michael Shurman reported an option exercise paired with same-day stock sales. On May 5, 2026, he exercised 5,639 employee stock options at $253.98 per share into common stock, then sold 487 shares at a weighted average price of $903.55 and 5,152 shares at $903.14 in open-market transactions executed in multiple trades. He also reported indirectly held common stock in a 401(k) plan, based on a statement dated April 30, 2026.
Caterpillar (CAT) submitted a Form 144 notice related to the proposed sale of 24,222 shares of Common Stock through a stock option exercise on 05/06/2026. The filing records a prior sale of 12,507 shares on 02/11/2026 by Bob De Lange.
Anthony Fassino files a Form 144 to sell 9,152 shares of Common Stock by stock option exercise on 05/06/2026. The notice lists a prior sale of 7,891 shares on 02/13/2026 with an aggregate amount of $6,130,507.64. The sale is reported through Morgan Stanley Smith Barney LLC and identified as an issuer-related stock option exercise for cash.