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.
Kaiser Jason reported acquisition or exercise transactions in this Form 4 filing.
Caterpillar Inc. Group President Jason Kaiser received an award of 106 phantom stock units on Caterpillar common stock under the company’s non-qualified deferred compensation plan. The units are generally the economic equivalent of one share of Caterpillar stock each and increase his directly held phantom units to 5,520.
The phantom stock units will be settled 100% in cash when Kaiser retires or separates from service. They include accrued dividends and represent interests in an unfunded unitized company stock fund made up of both stock and cash, so the reported unit count may change over time as that mix shifts.
Caterpillar Inc. Chief Executive Officer Joseph E. Creed reported an acquisition of 214 phantom stock units on March 6, 2026 under the company’s non-qualified deferred compensation plan. Following this grant, he holds 11,293 phantom stock units directly.
Each phantom stock unit is generally the economic equivalent of one share of Caterpillar common stock and will be settled 100% in cash upon his retirement or separation from service. The footnotes explain that these units include accrued dividends and represent interests in an unfunded unitized company stock fund, so the number of units deemed owned can change over time as the mix of stock and cash in the fund shifts.
Caterpillar Inc. Executive Chairman Donald J. Umpleby III reported a tax-withholding share disposition tied to equity compensation. On March 4, 2026, 1,546 shares of common stock were withheld at $738.42 per share to satisfy taxes from restricted stock units granted March 4, 2024. After this, he directly owned 464,199 shares, with additional indirect holdings through descendant and children’s irrevocable trusts and a 401(k) plan.
Caterpillar Inc. group president Rodney Michael Shurman reported a small tax-related share disposition. On March 4, 2026, 117 shares of Caterpillar common stock were withheld at $738.42 per share to cover taxes from restricted stock units that vested from a grant dated March 4, 2024.
After this withholding, Shurman held 2,546 Caterpillar shares directly. He also had 6,745 shares held indirectly through a 401(k) plan, based on a plan statement as of February 28, 2026. The filing does not reflect an open-market purchase or sale, but primarily an administrative tax-withholding event related to equity compensation.
Caterpillar Inc. chief accounting officer William E. Schaupp reported a small share disposition tied to equity compensation taxes. On March 4, 2026, 19 shares of Caterpillar common stock at a value of $738.42 per share were withheld to satisfy tax obligations arising from the vesting of restricted stock units originally granted on March 4, 2024.
After this tax-withholding disposition, Schaupp directly owns 890 shares of Caterpillar common stock. The transaction was reported as a disposition for tax payment rather than an open-market sale.
Caterpillar Inc. Chief Legal Officer Derek Owens reported a disposition of company common stock tied to equity compensation. On the vesting of restricted stock units granted on March 4, 2024, 338 shares were withheld to satisfy his tax obligation at a price of $738.42 per share. After this tax-withholding transaction, Owens directly owned 8,203 shares of Caterpillar common stock.
Caterpillar Inc. Chief Executive Officer Joseph E. Creed reported selling a total of 2,500 shares of Caterpillar common stock in open-market transactions on March 5, 2026. The sales were executed in several trades at reported weighted average prices of $717.01, $718.44, $719.39, $720.10, and $721.00 per share. After these sales, his directly held stake was 35,083 shares.
On March 4, 2026, 696 shares were disposed of at $738.42 per share to satisfy tax obligations from vesting restricted stock units granted on March 4, 2024. In addition to his direct holdings, he had 11,765 shares held indirectly through a 401(k) plan, based on a statement dated February 28, 2026.
Caterpillar Inc. Group President Jason Kaiser reported a tax-related share disposition tied to restricted stock units. On March 4, 2026, 368 shares of Caterpillar common stock were withheld at $738.42 per share to cover tax obligations from RSUs that vested on March 4, 2024.
After this withholding, Kaiser directly owned 9,594 Caterpillar shares. He also had an indirect holding of 368 shares through a 401(k) plan, based on a statement as of February 28, 2026.
Caterpillar Inc. Group President Anthony D. Fassino reported a tax-related share withholding tied to vesting equity awards. On March 4, 2026, 346 shares of Caterpillar common stock were disposed of at $738.42 per share to satisfy tax obligations from restricted stock units that vested from a March 4, 2024 grant.
After this withholding transaction, Fassino directly held 46,041 shares of Caterpillar common stock. The filing also notes an additional 1,501 shares held indirectly through a 401(k) plan based on a statement dated February 28, 2026.
Caterpillar Inc. Group President Denise C. Johnson reported a tax-withholding share disposition related to equity compensation. On March 4, 2026, 346 shares of Caterpillar common stock were withheld at a price of $738.42 per share to satisfy tax obligations from the vesting of restricted stock units granted on March 4, 2024. After this withholding transaction, Johnson directly held 49,825 shares of Caterpillar common stock.