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 Bob De Lange reported a tax-related share disposition. On the vesting of restricted stock units granted on March 4, 2024, 393 shares of Caterpillar common stock were withheld to cover associated tax obligations, at a price of $738.42 per share. After this withholding, De Lange directly owned 86,029 shares of Caterpillar common stock.
Caterpillar Inc. Chief Financial Officer Andrew R. J. Bonfield reported a tax-related share disposition. On March 4, 2026, 449 shares of Caterpillar common stock were withheld at $738.42 per share to satisfy tax obligations from restricted stock units that vested from a grant made on March 4, 2024. After this withholding, Bonfield directly owned 52,935 shares of Caterpillar common stock.
Caterpillar Inc ownership update: The Vanguard Group reports 46,835,122 shares beneficially owned, equal to 10.06% of common stock. The filing states shared voting power 4,600,054 and shared dispositive power 46,835,122. The filer notes it went through an internal realignment on January 12, 2026 that will lead certain subsidiaries to report separately.
Caterpillar Executive Chairman Donald J. Umpleby III reported a tax-related share disposition. On this Form 4, 1,591 shares of Caterpillar common stock were withheld at $719.13 per share to cover tax obligations from restricted stock units that vested from a grant dated March 3, 2025.
After this tax-withholding disposition, he directly owned 465,745 Caterpillar shares. He also reported indirect holdings, including shares held by irrevocable trusts for descendants and children and by a 401(k) plan.
Caterpillar Inc. Chief Accounting Officer William E. Schaupp reported routine equity compensation and related tax withholding transactions. On March 2, 2026, he acquired 285 employee stock options and 102 shares of common stock at a price per share of $0.0000 as grant/award acquisitions. The stock options were granted under the Caterpillar Inc. 2023 Long Term Incentive Plan and vest in equal one-third increments on each of the first, second and third anniversaries of the grant date.
On March 3, 2026, 18 shares of common stock at $719.13 per share were disposed of through a tax-withholding transaction to satisfy obligations arising from the vesting of restricted stock units granted on March 3, 2025. After these transactions, he directly holds 909 shares of common stock and 285 employee stock options.
Caterpillar Inc. Group President Rodney Michael Shurman reported equity compensation changes. On March 2, 2026, he received a grant of 1,320 shares of common stock and 3,681 employee stock options under the 2023 Long Term Incentive Plan. On March 3, 2026, 100 shares of common stock were withheld to cover taxes from previously granted restricted stock units.
Pambianchi Christine M reported acquisition or exercise transactions in this Form 4 filing.
Caterpillar Inc. awarded Chief Human Resources Officer Christine M. Pambianchi 3,221 employee stock options on March 2, 2026. The options were granted under the Caterpillar Inc. 2023 Long Term Incentive Plan.
She also received a grant of 1,155 shares of common stock, which includes an adjustment for dividends accrued. The stock options vest in equal one-third installments on the first, second, and third anniversaries of the grant date.
Caterpillar Inc. CLO & General Counsel Derek Owens reported equity compensation changes. On March 2, 2026, he received 1,386 shares of common stock and 3,865 employee stock options at $0.00 per share, described as grant or award acquisitions.
The options were granted under the Caterpillar Inc. 2023 Long Term Incentive Plan and vest in three equal installments on the first, second and third anniversaries of the grant date. On March 3, 2026, 310 common shares valued at $719.13 per share were withheld to cover tax obligations from previously granted restricted stock units, leaving Owens with 8,541 common shares held directly.
Caterpillar Inc. Group President Denise C. Johnson reported routine equity compensation activity. On March 2, she received 4,601 employee stock options and 1,650 shares of common stock as grants at a stated price of $0.00 per share. The options were granted under the Caterpillar Inc. 2023 Long Term Incentive Plan and vest in equal one-third increments on the first, second and third anniversaries of the grant date. On March 3, 337 common shares at $719.13 per share were withheld to cover tax obligations from the vesting of restricted stock units granted March 3, 2025. After these transactions, she directly held 50,171 shares of common stock and 4,601 stock options.