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.
Vanguard Capital Management reports beneficial ownership of 34,776,099 shares of Caterpillar Inc. The filing states Vanguard holds 34,776,099 shares (7.47%) of Common Stock with 4,541,646 shares of sole voting power and 34,776,099 shares of sole dispositive power, reported as of 03/31/2026. The Schedule 13G lists Vanguard funds and affiliated investment divisions as the basis for the reporting aggregation. The filing is signed on 04/29/2026 by Vanguard's Head of Global Fund Administration.
Creed Joseph E reported acquisition or exercise transactions in this Form 4 filing.
Caterpillar Inc. Chief Executive Officer Joseph E. Creed received 19 Phantom Stock Units as a compensation award. The units are tied to Caterpillar common stock under the company’s non-qualified deferred compensation plan and are economically equivalent to 19 shares of common stock.
Footnotes state that 10 units were credited to his Supplemental Deferred Compensation Plan account at a price of $830.79 per share and 9 units were contributed for no consideration. Following this grant, his total Phantom Stock Unit balance in the plan is 11,409 units, which will be settled 100% in cash upon retirement or separation from service.
Caterpillar Inc. announced that its board of directors has determined to nominate Lynn Good as a director nominee for election at the Company’s 2026 Annual Meeting of Shareholders. If elected, her appointment to the board will be effective on August 1, 2026.
Caterpillar Inc. is implementing a planned chief financial officer transition. The Board appointed longtime executive Kyle Epley as CFO effective May 1, 2026, succeeding Andrew R.J. Bonfield, who will retire on October 1, 2026 after eight years with the company. Bonfield will remain CFO until May 1 and then serve in an advisory role through his retirement to support a smooth handover.
The company highlights that Bonfield’s tenure coincided with record financial performance, including the highest full-year 2025 sales and revenues of $67.6 billion and a single-quarter record of $19.1 billion in the fourth quarter of 2025. Epley, currently senior vice president of Global Finance Services and a Caterpillar employee since 1996, brings broad experience across corporate finance, divisional CFO roles and the controller function to lead the finance organization.
MacLennan David reported acquisition or exercise transactions in this Form 4 filing.
Caterpillar Inc. director David MacLennan received a grant of 33 Phantom Stock Units on Caterpillar common stock equivalents. The award price is $690.44 per unit, bringing his total phantom stock units to 453. These units are granted under Caterpillar’s Director's Deferred Compensation Plan and are generally the economic equivalent of one share of common stock per unit. They will be settled 100% in cash upon his retirement or separation from service, so there was no open‑market purchase or sale of Caterpillar common shares in this transaction.
Creed Joseph E reported acquisition or exercise transactions in this Form 4 filing.
Caterpillar Inc. Chief Executive Officer Joseph E. Creed received a grant of 3 phantom stock units on March 26, 2026 under a non-qualified deferred compensation plan. Each unit is generally the economic equivalent of one share of Caterpillar common stock but will be settled 100% in cash at retirement or separation from service.
Following this grant and related plan activity, Creed is credited with 11,583 phantom stock units. The footnotes explain that the total includes 2 units credited at a price of $703.19 per unit and 1 unit contributed to his account for no consideration, and that unit counts can change over time due to dividend accruals and the mix of cash and stock in the underlying unitized fund.
Caterpillar Inc. has updated how it reports its business segments after moving its Rail division from the Power & Energy segment into Resource Industries, effective January 1, 2026. This change is meant to better match how the CEO evaluates performance and allocates resources.
To help investors compare periods consistently, Caterpillar furnished unaudited, recast segment data for each quarter of 2024 and 2025 and for the full years. Total sales and revenues were $67,589 million in 2025 and $64,809 million in 2024, while total assets were $98,585 million at year-end 2025.
The company emphasizes that these changes affect only segment presentation and do not change previously reported consolidated financial statements. It also clarifies how prior forward‑looking comments about Rail would map into the new structure and plans to provide updated segment-level assumptions on April 30, 2026.
Caterpillar Inc: The Vanguard Group filed Amendment No. 13 to a Schedule 13G/A reporting that, after an internal realignment effective January 12, 2026, certain Vanguard subsidiaries will report beneficial ownership separately. The filing states amount beneficially owned: 0 and percent of class: 0%.
The filing lists Vanguard's address and cites SEC Release No. 34-39538 as the basis for disaggregation. The form is signed by Ashley Grim, Head of Global Fund Administration, dated 03/26/2026. No proceeds, transactions, or holdings are reported for Vanguard in this excerpt.
Creed Joseph E reported acquisition or exercise transactions in this Form 4 filing.
Caterpillar Inc. reported a compensation-related transaction for Chief Executive Officer Joseph E. Creed. He received a grant of 428 phantom stock units under a non-qualified deferred compensation plan, each generally equivalent in value to one share of Caterpillar common stock.
The award combined 214 units credited at a price of $693.99 per unit and 214 units contributed under the plan for no consideration. These phantom units are cash-settled upon retirement or separation and now total 11,433 units in his account, reflecting deferred, cash-based incentive compensation rather than open-market trading.
Kaiser Jason reported acquisition or exercise transactions in this Form 4 filing.
Caterpillar Inc. Group President Jason Kaiser received a grant of 186 phantom stock units tied to Caterpillar common stock. These units were credited under the company’s non-qualified deferred compensation plan, with 93 units priced at $693.99 per unit and 93 units contributed for no consideration.
Each phantom stock unit is generally the economic equivalent of one share of Caterpillar common stock but will be settled 100% in cash when Kaiser retires or leaves the company, rather than in actual shares. After this award, Kaiser holds a total of 5,564 phantom stock units, which include accrued dividends and may fluctuate over time based on the mix of stock and cash in the underlying unitized fund.