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 (CAT): Form 144 notice of proposed sale
A holder filed a notice under Rule 144 to sell up to 8,184 shares of Caterpillar common stock. The filing lists an aggregate market value of $4,666,353.12 for the proposed sale and an approximate date of sale of 11/10/2025. The shares were acquired on 11/10/2025 via a stock option exercise from the issuer, with payment in cash. The designated broker is Morgan Stanley Smith Barney LLC Executive Financial Services, and the securities are listed on the NYSE.
Caterpillar Inc. (CAT) executive Bob De Lange filed a Form 4 reporting equity transactions. On 11/05/2025, he exercised 20,000 employee stock options at an exercise price of $151.12 per share. He then reported a sale of 14,638 shares of common stock at a weighted average price of $562.36, with trades executed between $562.32 and $562.75. The filing also shows 5,362 shares disposed to cover taxes at a price of $563.66.
Following these transactions, De Lange beneficially owned 80,209 shares of Caterpillar common stock directly. He also reported 20,512 derivative securities (stock options) beneficially owned after the transactions. The exercised options were granted under the Caterpillar Inc. 2014 Long‑Term Incentive Plan on March 5, 2018 and vest in equal thirds on the first three anniversaries of the grant date.
Caterpillar Inc. (CAT) disclosed a Form 4 for Director David W. MacLennan. He purchased 300 shares of common stock on November 6, 2025 at $568.86 per share (transaction code P).
After this transaction, he beneficially owns 7,947 shares directly. The filing notes that this total includes adjustments for dividends accrued.
Caterpillar Inc. (CAT) reported an insider transaction by its Chief Accounting Officer, William E. Schaupp. On 11/05/2025, he sold 1,200 shares of common stock at a price of $572.22 per share (transaction code S). After the sale, he beneficially owns 1,323 shares directly. The filing notes that the remaining share figure includes adjustments for dividends accrued.
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.
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