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's SEC filings reveal the financial mechanics behind the world's largest construction and mining equipment manufacturer. The company's 10-K annual reports break down performance across four distinct segments: Construction Industries, Resource Industries, Energy and Transportation, and Cat Financial. Each segment faces different demand drivers and margin profiles, making segment-level analysis essential for understanding Caterpillar's overall business health.
Quarterly 10-Q filings provide insight into equipment orders, dealer inventory levels, and machine utilization trends that serve as leading indicators for construction and mining activity globally. Caterpillar's management discussion sections explain how economic conditions, commodity prices, and infrastructure spending affect each business segment differently. Our AI summaries highlight these segment breakdowns and key operational metrics without requiring you to navigate hundreds of pages.
Form 4 insider transaction filings track when Caterpillar executives and directors buy or sell company shares. These transactions can signal insider confidence in company prospects or routine portfolio management. The 8-K material event filings disclose significant developments including major contract wins, acquisition agreements, and operational changes that could affect the stock.
Caterpillar's proxy statements (DEF 14A) detail executive compensation structures, board composition, and corporate governance practices. For a company of Caterpillar's scale and complexity, understanding how management incentives align with shareholder interests matters for long-term investment analysis. Access Caterpillar's complete SEC filing history with AI-powered explanations that translate regulatory disclosures into clear insights.
Caterpillar Inc. (CAT) reporting person Denise C. Johnson, Group President, filed a Form 4 disclosing an intra-plan transfer of 8,493 phantom stock units on 08/07/2025. Each phantom unit is stated to be the economic equivalent of one share of Caterpillar common stock and, per the filing, will be settled 100% in cash upon the reporting person’s separation from service. Following the reported transaction the filing shows 22,597 phantom units beneficially owned directly. The transaction was executed under the company’s Supplemental Deferred Compensation Plan and the form was signed by POA Nicole Puza on 08/08/2025.
Caterpillar (CAT) reported Q2 2025 results (three months ended 6/30/25) showing flat top-line but weaker profitability.
- Revenue: $16.57 bn, down 0.7% YoY. Machinery, Energy & Transportation (ME&T) sales dipped to $15.67 bn (-1.0%), while Financial Products revenue rose 5.4% to $895 m.
- Operating profit: $2.86 bn vs $3.48 bn, margin compressed 340 bp to 17.3% on higher cost of goods sold (+6.5%).
- Net profit: $2.18 bn (-18.7%); diluted EPS $4.62 (-15.7%).
- Six-month view: Revenue $30.82 bn (-5.1%), EPS $8.82 (-21.4%), underscoring a broad slowdown.
- Cash flow: Operating cash inflow of $4.41 bn (-13%), but free cash was negative after $1.27 bn capex and $608 m equipment leasing spend.
- Capital allocation: $4.49 bn spent on share buybacks YTD (10.2 m shares) and $1.34 bn in dividends ($2.92/sh). Treasury stock at cost rose to $48.0 bn; basic shares outstanding fell to 468.5 m.
- Balance sheet: Inventories climbed 10.5% YTD to $18.6 bn. ME&T long-term debt grew to $10.65 bn (+$2.09 bn), while cash declined to $5.44 bn from $6.89 bn.
- Equity & OCI: Shareholders’ equity slipped 4.3% to $18.66 bn despite $623 m favorable FX translation gains.
Management attributes results to normal recurring conditions; no material restatements or going-concern issues disclosed.
Caterpillar Group President Denise C. Johnson reported changes in beneficial ownership through phantom stock unit transactions on June 26, 2025. The insider acquired 26 phantom stock units under the company's non-qualified deferred compensation plan, with the following details:
- 13 shares credited at $381.88 per share
- 13 shares contributed at no cost per plan terms
- Total phantom stock units owned after transaction: 29,421 units
The phantom stock units are equivalent to Caterpillar common stock and will be settled 100% in cash upon retirement or separation. The units are part of an unfunded unitized company stock fund that includes both stock and cash components, with quantities subject to change based on fund composition and dividend adjustments.
Caterpillar Group President Jason Kaiser reported changes in beneficial ownership on June 26, 2025. The transaction involved the acquisition of phantom stock units under the company's non-qualified deferred compensation plan.
Key transaction details:
- Acquired 1 phantom stock unit at $381.88 per unit
- Total phantom stock units held after transaction: 4,984 units
- Units are economically equivalent to Caterpillar common stock
- Settlement terms: 100% cash upon retirement/separation
The phantom stock units represent interests in an unfunded unitized company stock fund comprising stock and cash. The number of units may fluctuate due to changes in cash/stock percentages and dividend adjustments. The filing was signed by Nicole Puza as power of attorney for Kaiser on June 27, 2025.
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