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’s equipment powers construction sites, mines, and energy projects on six continents—and its SEC filings map the financial engine behind those machines. From fluctuating dealer inventories to segment margins in Resource Industries, the disclosures track every bolt that moves global infrastructure spending. If you have ever searched for “Caterpillar SEC filings explained simply” or wondered how dealer backlog shifts affect cash flow, this page is built for you.
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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.
Caterpillar (CAT): Notice of proposed sale under Rule 144. A holder filed to sell up to 14,638 shares of Caterpillar common stock, reflecting an aggregate market value of $8,231,847.64. The planned sales would be executed through Morgan Stanley Smith Barney LLC on the NYSE, with an approximate sale date of 11/05/2025.
The shares to be sold were acquired from the issuer via a stock option exercise on 11/05/2025, paid in cash on the same date. Shares outstanding were 467,979,596; this is a baseline figure, not the amount being offered.
Caterpillar Inc. reported third‑quarter 2025 results. Total sales and revenues were $17,638 million versus $16,106 million a year ago. Operating profit was $3,052 million compared to $3,147 million. Diluted profit per share was $4.88, down from $5.06.
For the first nine months of 2025, total sales and revenues were $48,456 million versus $48,594 million in 2024. Profit attributable to common shareholders was $6,482 million, with diluted profit per share of $13.69 versus $16.27 a year earlier. Operating cash flow for the nine months was $8,148 million.
The company returned capital through dividends of $1,374 million year‑to‑date and repurchased 11,029,455 shares for $3,950 million. Shares outstanding were 467,979,596 as of September 30, 2025.
Caterpillar Inc. filed an 8-K announcing it issued a press release with financial results for the quarter ended September 30, 2025. The company also furnished supplemental data on retail sales of machines and power systems to end users and OEMs. The press release is attached as Exhibit 99.1, and the retail statistics are provided as Exhibit 99.2. The filing lists the company’s NYSE-listed securities: common stock (CAT) and 5.3% Debentures due September 15, 2035 (CAT35).
Caterpillar (CAT) reported an insider equity change by its Chief Executive Officer, Joseph E. Creed, on a Form 4. On 10/24/2025, the CEO acquired 29 phantom stock units (Transaction Code: A). These units are the economic equivalent of Caterpillar common stock and are designed to be settled 100% in cash upon retirement or separation from service.
The filing notes that 15 units were credited at a price per unit of $522.73 and 14 units were contributed pursuant to plan terms for no consideration. Following the transaction, the CEO beneficially owns 10,599 phantom stock units, with amounts subject to adjustments for dividends and the unitized fund’s stock/cash mix.
Caterpillar Inc. (CAT) reported an insider equity change: a Group President filed a Form 4 showing the acquisition of 14 phantom stock units on 10/24/2025 under the company’s non-qualified deferred compensation plan. The filing lists a price of $522.73 per unit.
The total reflects two components: 7 units credited to the account at $522.73 per unit and 7 units contributed pursuant to plan terms for no consideration. Following this activity, the reporting person beneficially owns 5,178 phantom stock units, held directly.
Each phantom stock unit is generally the economic equivalent of one share of Caterpillar common stock and, per the plan, will be settled 100% in cash upon retirement or separation from service. The filing notes that the number of units may change over time due to dividend accrual adjustments and the unitized fund’s mix of stock and cash.
Caterpillar Inc. (CAT) insider transaction: Group President Denise C. Johnson reported acquiring 19 phantom stock units on 10/24/2025 under a non-qualified deferred compensation plan. The filing shows 10 units credited at a price per share of $522.73 and 9 units contributed for no consideration.
Following this transaction, she holds 21,817 derivative securities in the form of phantom stock units. These units are generally the economic equivalent of one share of Caterpillar common stock and are to be settled 100% in cash upon retirement or separation from service, with balances adjusted for accrued dividends within a unitized stock fund.
Caterpillar (CAT) Executive Chairman D. James Umpleby III reported an open-market sale of 17,166 shares of common stock on 10/10/2025. The weighted average sale price was $505.29, with individual trades executed between $501.40 and $506.98, as noted in the filing’s explanation.
Following the transaction, Umpleby directly holds 448,173 shares. He also reports indirect holdings of 59,000 shares held by an Irrevocable Trust for Descendants, 36,040 shares held by a Children’s Irrevocable Trust, and 1,029 shares held by a 401(k) plan based on a statement dated as of September 30, 2025.
Caterpillar Inc. filed a Form 144 notifying the proposed sale of 17,166 common shares through Goldman Sachs & Co. LLC with an aggregate market value of
The filing discloses prior related sales during the past three months: 17,168 shares sold on
Reporting person: Jason Kaiser, Group President of Caterpillar Inc. This Form 4 shows a non-derivative/derivative reporting of phantom stock units under the companys non-qualified deferred compensation plans. On 09/26/2025 the reporting person was credited with 16 phantom stock units, treated as the economic equivalent of 16 shares of Caterpillar common stock at a stated price of $465.76 per share. The filing explains 8 of the units were credited at that price and 8 were contributed for no consideration. The phantom units will be settled 100% in cash upon retirement or separation and include dividend accrual adjustments, with the unit count varying with the funds cash/stock composition.
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