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.'s Chief Legal Officer Derek Owens reported routine equity compensation activity. On February 10, 2026, he acquired 514 shares of common stock at $0 per share as a grant, increasing his direct holdings to 7,590 shares. On the same day, 134 shares were withheld at $744.83 per share to cover taxes tied to vesting performance-based restricted stock units granted March 6, 2023, leaving him with 7,457 shares held directly.
Caterpillar Inc. Group President Jason Kaiser reported equity-related transactions in company stock. On 02/10/2026, he acquired 2,469 shares of common stock at $0 through a grant or award. On the same date, 779 shares were withheld at $744.83 per share to cover tax obligations from the vesting of performance-based restricted stock units granted March 6, 2023.
After these transactions, Kaiser directly beneficially owned 10,351 shares of Caterpillar common stock and indirectly held 368 shares through a 401(k) plan based on a statement dated as of January 31, 2026.
Caterpillar Group President Anthony D. Fassino reported equity compensation activity involving the company’s common stock. On February 10, 2026, he acquired 9,055 shares of Caterpillar common stock as a grant or award at $0 per share. On the same date, 3,563 shares were disposed of at $744.83 per share to satisfy tax obligations arising from the vesting of performance-based restricted stock units granted March 6, 2023. After these transactions, Fassino directly beneficially owned 46,643 shares of Caterpillar common stock and indirectly held 1,502 shares through a 401(k) plan based on a plan statement dated January 31, 2026.
A holder of CAT common stock filed a notice of proposed sale under Rule 144. The filing covers 1,691 shares of common stock with an aggregate market value of 1,313,400.71, to be sold through Morgan Stanley Smith Barney LLC on the NYSE around 02/12/2026.
The shares were acquired as performance shares on 02/10/2026 directly from the issuer, in the same amount of 1,691 shares. The filing notes that common shares outstanding were 467,979,596, providing context for the size of the planned sale.
Bob De Lange has filed a notice under Rule 144 indicating an intention to sell 12,507 shares of CAT common stock. These shares were acquired on 02/11/2026 through a stock option exercise paid in cash, with Morgan Stanley Smith Barney LLC listed as broker and the shares traded on the NYSE.
The notice also lists prior sales of CAT common shares during the previous three months, including 22,656 shares sold on 02/06/2026, 16,070 shares on 02/04/2026, and 15,977 shares on 02/02/2026, with associated gross proceeds for each sale.
Caterpillar Inc. Group President Bob De Lange reported several equity transactions involving company stock. On February 6, 2026, he exercised 28,034 employee stock options at $138.35 per share, receiving the same number of Caterpillar common shares.
On the same day, De Lange had 5,378 shares withheld in a transaction coded "F" at a price of $721.12 per share, typically used to cover taxes on equity awards. He also sold 22,656 shares of common stock in a market transaction coded "S" at a weighted average price of $720.11 per share, with individual trades ranging from $720.02 to $721.01. After these transactions, he directly owned 79,953 Caterpillar shares.
Caterpillar Inc. Group President Anthony D. Fassino reported several share transactions dated February 6, 2026. He exercised employee stock options for 8,288 shares of common stock at $196.7 per share, increasing his directly held common stock before subsequent transactions.
On the same date, he disposed of 2,255 shares in a transaction coded “F” at $722.8 per share and separately sold 6,033 shares in a transaction coded “S” at $722.15 per share, leaving 41,151 common shares held directly. He also has 1,502 shares held indirectly through a 401(k) plan based on a statement dated January 31, 2026. Following the option exercise, the reported employee stock option position is 0 derivatives remaining.
Caterpillar insider Bob De Lange filed a notice to sell 22656 shares of Caterpillar common stock through Morgan Stanley Smith Barney on the NYSE. The filing shows an aggregate market value of 16314834.82 and 467979596 shares of common stock outstanding.
The 22656 shares were acquired on 02/06/2026 via a stock option exercise from the issuer, paid in cash on the same date. During the past three months, Bob De Lange previously sold 16070 and 15977 Caterpillar common shares on 02/04/2026 and 02/02/2026, with gross proceeds of 11328798.80 and 10912128.03.
Caterpillar executive Anthony Fassino has filed a Form 144 notice to sell 6,033 shares of Caterpillar common stock. The shares are to be sold on the NYSE through Morgan Stanley Smith Barney, with an aggregate market value of $4,356,711.64 and 467,979,596 shares outstanding.
The securities were acquired via a stock option exercise on 02/06/2026 and paid for in cash the same day. The filing also lists prior sales over the past three months, including 10,671 shares sold on 02/02/2026 for $7,261,060.61 and 8,184 shares sold on 11/10/2025 for $4,666,353.12.
Caterpillar Inc. Group President Rodney Michael Shurman filed a Form 3 reporting his beneficial ownership in Caterpillar common stock and stock options. He holds 183 common shares directly and 6,727 common shares indirectly through a 401(k) plan, based on a statement dated as of December 31, 2025.
He also holds employee stock options for 7,917 shares at $253.98 expiring 03/06/2033, 2,997 shares at $338.65 expiring 03/04/2034, and 2,509 shares at $332.04 expiring 03/03/2035. Each grant vests in equal one‑third installments on the first, second, and third anniversaries of its grant date.