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.
Stock Titan layers AI-powered summaries on top of every 10-K, 10-Q, 8-K, and DEF 14A so you can move from 300 pages to the five metrics that matter. Need the next “Caterpillar quarterly earnings report 10-Q filing” minutes after it hits EDGAR? We post it in real time, then highlight warranty reserve changes and currency impacts. Curious about "Caterpillar insider trading Form 4 transactions"? Instant alerts surface each executive stock purchase, while “Caterpillar Form 4 insider transactions real-time” tables expose buying patterns. Our AI also breaks down pension obligations and R&D spending, turning complex footnotes into plain English you can reference when “understanding Caterpillar SEC documents with AI.”
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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.
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.
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