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.
Caterpillar Inc. group president Rodney Michael Shurman reported an option exercise paired with same-day stock sales. On May 5, 2026, he exercised 5,639 employee stock options at $253.98 per share into common stock, then sold 487 shares at a weighted average price of $903.55 and 5,152 shares at $903.14 in open-market transactions executed in multiple trades. He also reported indirectly held common stock in a 401(k) plan, based on a statement dated April 30, 2026.
Caterpillar (CAT) submitted a Form 144 notice related to the proposed sale of 24,222 shares of Common Stock through a stock option exercise on 05/06/2026. The filing records a prior sale of 12,507 shares on 02/11/2026 by Bob De Lange.
Anthony Fassino files a Form 144 to sell 9,152 shares of Common Stock by stock option exercise on 05/06/2026. The notice lists a prior sale of 7,891 shares on 02/13/2026 with an aggregate amount of $6,130,507.64. The sale is reported through Morgan Stanley Smith Barney LLC and identified as an issuer-related stock option exercise for cash.
Caterpillar Inc. reported strong Q1 2026 results, with total sales and revenues of $17,415 million, up from $14,249 million a year earlier. Profit attributable to common shareholders rose to $2,549 million, compared with $2,003 million, as higher Machinery, Power & Energy sales drove operating profit.
Basic profit per common share increased to $5.50 from $4.22, while net cash provided by operating activities improved to $1,870 million. The company continued heavy capital returns, repurchasing 5.6 million shares for $3.7 billion and entering into $4.50 billion of accelerated share repurchase agreements.
Caterpillar Inc. Group President Jason Kaiser exercised employee stock options and sold shares of common stock. He exercised 7,917 options at $253.98 per share, then sold 5,642 shares in an open-market transaction at $883.03 per share and had 2,275 shares withheld to cover tax obligations.
After these transactions, Kaiser holds 9,594 shares of Caterpillar common stock directly and 368 shares indirectly through a 401(k) plan based on a statement dated April 30, 2026. No remaining derivative (option) position is shown in this filing.
Caterpillar (CAT) Form 144 notice: proposed resale of Common Stock via Morgan Stanley Smith Barney LLC. The filing lists multiple stock option exercises dated 05/05/2026 with line items of 361, 2,639, and 2,639 shares. The filing also discloses past sales by Rodney M. Shurman: 2,278 shares on 02/23/2026 for $1,730,402.06 and 1,764 shares on 02/17/2026 for $1,346,611.14.
Caterpillar Inc. director David MacLennan made an open-market purchase of the company’s common stock. He bought 250 shares at a price of $876.84 per share. After this transaction, his direct ownership increased to 8,206 shares, reflecting a relatively small, routine addition to his existing stake.
CAT proposes the sale of 5,642 shares of Common Stock via a stock option exercise dated 05/04/2026. The filing lists a prior sale of 1,691 shares on 02/12/2026 with proceeds of $1,313,400.71. The broker listed is Morgan Stanley Smith Barney LLC.
Caterpillar Inc.’s new Chief Financial Officer Kyle Joseph Epley reported his initial ownership in a Form 3 filing. He holds 15,973 shares of Caterpillar common stock directly and 3,186 shares indirectly through a 401(k) plan as of the reported dates.
Epley also holds 5,889 phantom stock units under a supplemental deferred compensation plan, which are generally equivalent to the same number of Caterpillar shares but will be settled entirely in cash at retirement or separation. In addition, he has multiple employee stock option grants covering tens of thousands of underlying shares with exercise prices ranging from $127.60 to $752.18 and expirations between 2030 and 2036, granted under the company’s long‑term incentive plans.