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.
KEENE NAZZIC S reported acquisition or exercise transactions in this Form 4 filing.
Caterpillar Inc. director Nazzic S. Keene received a grant of 211 shares of Caterpillar common stock, recorded at a price of $0.00 per share as a compensation-related award. Following this Form 4 transaction, Keene directly holds 728 shares of Caterpillar common stock, including adjustments for dividends accrued.
Caterpillar Inc. director Gerald Johnson received a grant of 211 shares of Common Stock on June 10, 2026, classified as a “grant, award, or other acquisition” with no purchase price. Following this award, he directly holds 3,907 shares. The position includes adjustments for dividends accrued.
Fish James C Jr reported acquisition or exercise transactions in this Form 4 filing.
Caterpillar Inc. director James C. Fish Jr. reported a compensation-related equity award rather than an open-market trade. He received 211 shares of Caterpillar common stock with a per-share price of $0.00 under a grant or award, bringing his direct holdings to 3,687 shares.
The filing also shows indirect holdings of 250 shares in The Stephanie M. Fish GST Trust and 250 shares in The Nicole M. Fish GST Trust, both referenced as trust-held common stock. A footnote notes these figures include adjustments for dividends accrued.
Creed Joseph E reported acquisition or exercise transactions in this Form 4 filing.
Caterpillar Inc. CEO Joseph E. Creed reported a compensation-related award of 18 phantom stock units tied to Caterpillar common stock. The grant, recorded at a reference price of $908.55 per unit, increased his phantom stock unit balance to 11,001 units.
The filing notes that 9 units were credited under Caterpillar's Supplemental Deferred Compensation Plan at $908.55 per unit and 9 additional units were contributed under the plan for no cash consideration. Each phantom unit generally tracks the value of one share of Caterpillar common stock and will be settled 100% in cash upon his retirement or separation from service.
Epley Kyle Joseph reported acquisition or exercise transactions in this Form 4 filing.
Caterpillar Inc. Chief Financial Officer Kyle Joseph Epley received a compensation-related award of phantom stock units. On this Form 4, he was granted 6 phantom stock units under a non-qualified deferred compensation plan, each generally the economic equivalent of one share of Caterpillar common stock.
Following this award, Epley is credited with a total of 5,711 phantom stock units. These units are settled 100% in cash upon retirement or separation from service and represent interests in an unfunded unitized company stock fund comprised of stock and cash, so unit counts may fluctuate as the fund’s cash-stock mix changes.
Caterpillar Inc. Group President Denise C. Johnson reported a set of option-related and open-market transactions in Caterpillar common stock. She exercised employee stock options covering 16,078 shares at $196.70 per share, with 3,473 shares disposed of to cover tax obligations. The remaining 12,605 shares from the exercise were sold in open-market trades at weighted-average prices generally between about $904 and $912 per share, executed in multiple smaller trades. After these transactions, Johnson directly owned 49,825 shares of Caterpillar common stock.
Denise C Johnson reported a sale of 6,196 shares of Common stock of the issuer under a stock option exercise, with the transaction dated 05/13/2026 and the Form 144 filing dated 05/14/2026. The filing lists cash as the consideration and records proceeds of $5,637,063.18.
Caterpillar Group President Denise C. Johnson exercised employee stock options and sold shares in the company on May 13, 2026. She exercised 7,900 Employee Stock Options at $196.70 per share to acquire the same number of Caterpillar common shares. To cover tax obligations, 1,704 shares were disposed of through a tax-withholding transaction at $911.61 per share, which is not an open-market sale. Johnson then completed open-market sales of 3,546 shares at $909.46 and 2,650 shares at $910.24, totaling 6,196 shares sold. After these transactions, she directly owned 49,825 shares of common stock and held 16,078 employee stock options under the company’s long-term incentive plan.
Caterpillar Inc. Chief Accounting Officer William E. Schaupp sold 360 shares of Caterpillar common stock in an open-market transaction on May 13, 2026 at a price of $906 per share. Following this sale, he directly holds 530 shares of Caterpillar common stock.