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.
The Caterpillar Inc. (NYSE: CAT) SEC filings page on Stock Titan provides access to the company’s regulatory disclosures filed with the U.S. Securities and Exchange Commission. These documents include current reports on Form 8-K, annual and quarterly reports when available, and other materials that describe key events, financial results, capital structure and governance changes for Caterpillar.
Form 8-K filings for Caterpillar often report material events such as leadership transitions, updates to bylaws, results of operations and financial condition, and significant financing arrangements. For example, recent 8-K reports have described a board leadership transition in which the Chief Executive Officer is scheduled to assume the role of Chairman of the Board, amendments to the company’s bylaws regarding the Lead Independent Director title, and new or amended revolving credit facilities and related covenants.
Other 8-K filings referenced by Caterpillar cover quarterly financial results, supplemental information on retail sales of machines and power systems, and updates on the estimated impact of tariffs on operating margins. These filings can help readers understand how external factors and financing decisions affect Caterpillar’s Construction Industries, Resource Industries, Power & Energy and Financial Products segments.
On Stock Titan, users can review Caterpillar’s filings in sequence and use AI-powered summaries to interpret complex documents. AI summaries highlight key sections of lengthy reports, explain technical terms and point out notable items such as changes in board composition, new credit agreements, or commentary on tariffs and other business conditions. The filings page also surfaces information related to securities registered under Section 12(b), including Caterpillar’s common stock (CAT) and 5.3% debentures due September 15, 2035 (CAT35).
By combining real-time updates from EDGAR with AI-generated insights, this page helps investors, analysts and researchers quickly locate and understand the Caterpillar disclosures most relevant to their interests, whether they are focused on governance, financing arrangements, operating performance or segment-level developments.
Caterpillar Executive Chairman Donald J. Umpleby III reported a tax-related share disposition. On this Form 4, 1,591 shares of Caterpillar common stock were withheld at $719.13 per share to cover tax obligations from restricted stock units that vested from a grant dated March 3, 2025.
After this tax-withholding disposition, he directly owned 465,745 Caterpillar shares. He also reported indirect holdings, including shares held by irrevocable trusts for descendants and children and by a 401(k) plan.
Caterpillar Inc. Chief Accounting Officer William E. Schaupp reported routine equity compensation and related tax withholding transactions. On March 2, 2026, he acquired 285 employee stock options and 102 shares of common stock at a price per share of $0.0000 as grant/award acquisitions. The stock options were granted under the Caterpillar Inc. 2023 Long Term Incentive Plan and vest in equal one-third increments on each of the first, second and third anniversaries of the grant date.
On March 3, 2026, 18 shares of common stock at $719.13 per share were disposed of through a tax-withholding transaction to satisfy obligations arising from the vesting of restricted stock units granted on March 3, 2025. After these transactions, he directly holds 909 shares of common stock and 285 employee stock options.
Caterpillar Inc. Group President Rodney Michael Shurman reported equity compensation changes. On March 2, 2026, he received a grant of 1,320 shares of common stock and 3,681 employee stock options under the 2023 Long Term Incentive Plan. On March 3, 2026, 100 shares of common stock were withheld to cover taxes from previously granted restricted stock units.
Pambianchi Christine M reported acquisition or exercise transactions in this Form 4 filing.
Caterpillar Inc. awarded Chief Human Resources Officer Christine M. Pambianchi 3,221 employee stock options on March 2, 2026. The options were granted under the Caterpillar Inc. 2023 Long Term Incentive Plan.
She also received a grant of 1,155 shares of common stock, which includes an adjustment for dividends accrued. The stock options vest in equal one-third installments on the first, second, and third anniversaries of the grant date.
Caterpillar Inc. CLO & General Counsel Derek Owens reported equity compensation changes. On March 2, 2026, he received 1,386 shares of common stock and 3,865 employee stock options at $0.00 per share, described as grant or award acquisitions.
The options were granted under the Caterpillar Inc. 2023 Long Term Incentive Plan and vest in three equal installments on the first, second and third anniversaries of the grant date. On March 3, 2026, 310 common shares valued at $719.13 per share were withheld to cover tax obligations from previously granted restricted stock units, leaving Owens with 8,541 common shares held directly.
Caterpillar Inc. Group President Denise C. Johnson reported routine equity compensation activity. On March 2, she received 4,601 employee stock options and 1,650 shares of common stock as grants at a stated price of $0.00 per share. The options were granted under the Caterpillar Inc. 2023 Long Term Incentive Plan and vest in equal one-third increments on the first, second and third anniversaries of the grant date. On March 3, 337 common shares at $719.13 per share were withheld to cover tax obligations from the vesting of restricted stock units granted March 3, 2025. After these transactions, she directly held 50,171 shares of common stock and 4,601 stock options.
Caterpillar Group President Jason Kaiser reported new equity awards and a small tax-related share withholding. On March 2, 2026, he received 4,601 employee stock options and 1,650 shares of common stock at no cost as grants. The options were issued under Caterpillar’s 2023 Long Term Incentive Plan and vest in equal one-third portions on each of the first three anniversaries of the grant date. On March 3, 2026, 358 shares of common stock were withheld to cover taxes from the vesting of restricted stock units originally granted March 3, 2025, leaving him with 9,962 directly held shares, plus 401(k) holdings reported separately.
Caterpillar Group President Anthony D. Fassino reported a tax-related share disposition. On March 3, 2026, 337 shares of Caterpillar common stock were withheld at $719.13 per share to cover taxes from vesting restricted stock units granted March 3, 2025. After this tax-withholding disposition, he directly owned 46,387 shares, and indirectly held 1,501 shares through a 401(k) plan based on a statement as of February 28, 2026.
Caterpillar Inc. Group President Bob De Lange reported routine equity compensation activity. He received a grant of 4,601 employee stock options at an exercise price of $0.0000 per share, which vest in equal one-third installments on the first, second and third anniversaries of the grant date under the 2023 Long Term Incentive Plan.
He also acquired 1,650 shares of common stock as a grant or award, at a stated price of $0.0000 per share, with the position including an adjustment for dividends accrued. To cover tax obligations from the vesting of restricted stock units granted on March 3, 2025, 382 common shares were withheld and disposed of at $719.13 per share. After these transactions, he directly holds 86,422 shares of Caterpillar common stock and 4,601 stock options.
Caterpillar Inc. Chief Financial Officer Andrew R. J. Bonfield reported equity-related transactions in company securities. He received a grant of 4,877 employee stock options and 1,749 shares of common stock, both at a stated price of $0.0000 per share, as awards dated March 2, 2026.
The stock options were granted under the Caterpillar Inc. 2023 Long Term Incentive Plan and vest in equal one-third installments on the first, second, and third anniversaries of the grant date. On March 3, 2026, 445 shares of common stock were disposed of in a tax-withholding transaction at $719.13 per share to satisfy tax obligations from the vesting of restricted stock units. Following these transactions, he directly owned 53,384 shares of common stock and 4,877 stock options.