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. (CAT) Form 144 filed to notify a proposed sale of 17,168 common shares through Goldman Sachs & Co. LLC on the NYSE with an aggregate market value of $7,142,746.40. The shares represent a small fraction of the 468,478,923 shares outstanding and the planned sale date is 09/02/2025. The securities were acquired on 12/18/2023 as compensation through stock options and were exercised via a cashless exercise/same-day sale. No securities were reported sold by the filer in the past three months. The filer certifies they are not aware of undisclosed material adverse information.
Joseph E. Creed, Chief Executive Officer of Caterpillar Inc. (CAT), reported receipt of 35 phantom stock units under the company non-qualified deferred compensation arrangements on 08/26/2025. Each unit is treated as the economic equivalent of one share of Caterpillar common stock and the transaction used a price of $431.26 per share for 18 credited shares; 17 additional shares were contributed for no consideration. The units are payable 100% in cash upon Creeds retirement or separation and the filing shows he beneficially owns 10,600 phantom stock units following the transaction. The filing was signed by a power of attorney on Creeds behalf.
Insider grant of phantom stock units to Caterpillar officer. The Form 4 reports that Jason Kaiser, Group President, was credited with 17 phantom stock units on 08/26/2025. The report shows a price per share of $431.26 relevant to 9 of those units; the remaining 8 units were contributed for no consideration. Following the transaction the reporting person is deemed to beneficially own 5,179 phantom stock units. The units represent economic equivalents of Caterpillar common shares and are settled 100% in cash upon retirement or separation from service. The units track an unfunded unitized company stock fund, so the reported unit count can vary with the fund composition.
Denise C. Johnson, a Group President and officer of Caterpillar Inc. (CAT), was credited with 23 phantom stock units under the company's non-qualified deferred compensation plan. The filing shows 12 units were credited at $431.26 per share and 11 units were contributed for no consideration, with the phantom units representing the economic equivalent of common stock. The units are payable 100% in cash upon retirement or separation from service, and the report states the reporting person is deemed to beneficially own 21,905 shares after the transaction, reflecting dividend adjustments and the unitized fund composition.
Caterpillar director David W. MacLennan acquired 500 shares of Caterpillar Inc. (CAT) on 08/18/2025 at a price of $407.76 per share. Following the purchase, Mr. MacLennan beneficially owned 7,641 shares directly. The Form 4 was signed by Nicole Puza as power of attorney on 08/19/2025. No derivative transactions or additional explanatory details are provided in the filing.
Susan C. Schwab, a director of Caterpillar Inc. (CAT), reported a sale of 2,324 shares of Common Stock on 08/15/2025 at a reported price of $410 per share. After the sale she beneficially owned 6,917 shares. The Form 4 was signed by a power of attorney on 08/19/2025. The filing indicates a routine insider disposition by a reporting director and lists ownership as direct.
Form 144 notice for Caterpillar Inc. (CAT) reports a proposed sale of 2,324 common shares through Charles Schwab & Co., Inc. on the NYSE, with an aggregate market value of $949,284 and the company showing 468,478,923 shares outstanding. The shares were granted as restricted stock units: 1,307 RSUs acquired 03/06/2017 (paid 03/06/2018) and 1,017 RSUs acquired 03/05/2018 (paid 03/05/2019), with payment described as equity compensation. The filer certifies no undisclosed material adverse information about the issuer and indicates no sales of issuer securities by the filer in the past three months.
Jason Kaiser, Group President of Caterpillar Inc., filed a Form 4 disclosing transactions dated 08/11/2025. The filing shows an acquisition of 4,091 common shares tied to employee stock options with an exercise price of $196.70, and disposals of 1,930 and 2,161 common shares at $416.80 and $417.70, respectively. Table II records 4,091 employee stock options acquired on 08/11/2025 related to a grant under the Caterpillar 2014 Long Term Incentive Plan dated 03/07/2022, with vesting in three equal annual increments. The report also notes 368 shares held indirectly in a 401(k) plan and is signed by Nicole Puza, POA, on 08/13/2025.
Caterpillar Inc. is the subject of a Form 144 notice reporting a proposed sale of 4,091 shares of common stock through Morgan Stanley Smith Barney LLC, with an aggregate market value of $1,708,790.65. The company has 468,478,923 shares outstanding, so this block represents a very small fraction of total shares.
The shares were acquired on 08/11/2025 via a stock option exercise from the issuer and payment was made in cash on the same date. No securities sold by the same person in the past three months were reported. The filer affirms they are unaware of any undisclosed material adverse information regarding the issuer.
FAQ
What is the current stock price of Caterpillar (CAT)?
What is the market cap of Caterpillar (CAT)?
