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 Inc. CEO Joseph E. Creed reported equity compensation and related tax withholding transactions. On March 2, 2026, he received a grant of 13,803 employee stock options and 4,950 shares of common stock at no cost, as awards under the 2023 Long Term Incentive Plan.
Footnotes state the options vest in equal one-third installments on the first, second and third anniversaries of the grant date. On March 3, 2026, 676 common shares valued at $719.13 per share were withheld to cover tax obligations from restricted stock units vesting. The filing also updates indirect holdings in a 401(k) plan based on a statement dated February 28, 2026.
Caterpillar Group President Rodney Michael Shurman reported option exercises and share sales in company stock. On the derivative side, he exercised 2,278 employee stock options at $253.98 per share, leaving 5,639 options held directly. This exercise delivered 2,278 shares of Caterpillar common stock, increasing his direct common holdings to 3,721 shares before any sales.
On the same date, he sold 2,278 shares of common stock in an open-market transaction at a weighted average price of $759.61 per share in multiple trades, reducing his direct common stock position to 1,443 shares. In addition, 6,748 shares are held indirectly in a 401(k) plan as of a statement dated January 31, 2026, which includes dividends accrued. The stock options were granted under the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 6, 2023 and vest in three equal annual installments.
Rodney M. Shurman proposes sale of 2,278 shares of Common stock. The filing lists the method as a Stock Option Exercise to be effected on 02/23/2026 for cash. The form also discloses prior sales of 1,764 shares on 02/17/2026 with proceeds of $1,346,611.14. The intermediary listed is Morgan Stanley Smith Barney LLC Executive Financial Services at 1 New York Plaza, New York, NY.
Caterpillar Inc. Group President Rodney Michael Shurman sold 1,764 shares of common stock in an open-market transaction. The sale occurred on February 17, 2026 at a price of $763.39 per share. After this transaction, he directly owns 1,440 Caterpillar shares.
In addition to his direct holdings, Shurman has an indirect interest in 6,748 shares held through a 401(k) plan, based on a plan statement dated as of January 31, 2026. This filing highlights a net decrease of 1,764 shares in his directly held Caterpillar stake.
Caterpillar Inc.'s Chief Accounting Officer, William E. Schaupp, sold 972 shares of common stock in an open-market transaction at a weighted average price of $764.20 per share. After this sale, he directly owned 824 shares of Caterpillar common stock.
A shareholder of Caterpillar Inc. (common stock) has filed a notice of proposed sale under Rule 144. The filing covers the planned sale of 972 common shares through Morgan Stanley Smith Barney LLC Executive Financial Services on the NYSE, with an aggregate market value of $742,802.30 as listed.
The securities to be sold were acquired from the issuer as performance shares, including 472 shares acquired on 02/10/2026 and 500 shares acquired on 12/31/2024, with payment noted as not applicable. The signer represents that they do not know of any undisclosed material adverse information about Caterpillar’s operations.
A person associated with Caterpillar Inc. (CAT) filed a notice of proposed sale of restricted and performance-based shares under Rule 144. The filing covers the planned sale of 1,764 shares of common stock, with an aggregate market value of 1,346,611.14, through Morgan Stanley Smith Barney LLC Executive Financial Services on or around 02/17/2026 on the NYSE. The issuer had 465,287,332 shares outstanding of common stock at the time referenced. The shares to be sold were acquired as 183 restricted stock shares on 03/04/2025 and 1,581 performance shares on 02/10/2026, both from the issuer as non-cash awards.
Caterpillar Inc. Group President Anthony D. Fassino reported multiple share transactions on February 13, 2026. He exercised 11,000 employee stock options at $219.76 per share, receiving the same number of Caterpillar common shares.
On the same day, he disposed of 3,109 shares to cover taxes at $777.41 per share and completed an open-market sale of 7,891 shares at a weighted average price of $776.90, with individual trades ranging from $776.69 to $777.13. After these transactions, he directly owned 46,643 common shares and indirectly held 1,502 shares through a 401(k) plan as of a statement dated January 31, 2026.
Anthony Fassino filed a Rule 144 notice covering a proposed sale of 7,891 shares of CAT common stock through Morgan Stanley Smith Barney LLC, with an aggregate market value of 6130507.64. The shares relate to a stock option exercise on 02/13/2026, paid in cash.
The filing notes that CAT had 465,287,332 shares of common stock outstanding. It also lists earlier sales for Fassino over the prior three months, including 6,033 shares on 02/06/2026 and 10,671 shares on 02/02/2026, with disclosed gross proceeds for each transaction.
Caterpillar Group President Bob De Lange reported several equity transactions in Caterpillar Inc. common stock. On February 11, 2026, he exercised 15,000 employee stock options at an exercise price of $127.60 per share, converting them into an equal number of common shares. To cover taxes related to the transaction, 2,493 shares of common stock were disposed of at a price reported as $767.64 per share. He also completed an open-market sale of 12,507 shares at a weighted average price of $767.08 per share, with individual trades ranging from $766.95 to $767.66. Following these transactions, De Lange directly held 84,997 shares of Caterpillar common stock and 56,210 employee stock options.