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. Group President Denise C. Johnson reported an intra-plan transfer of phantom stock units tied to Caterpillar common stock. On 02/04/2026, she moved 10,946 phantom stock units within the company's Supplemental Deferred Compensation Plan at a reported derivative price of $691.82 per unit. According to the plan terms, each unit generally tracks one share of Caterpillar common stock economically and will be settled 100% in cash upon her retirement or separation from service, rather than in actual shares.
Caterpillar Group President Bob De Lange reported multiple equity transactions in company stock. On February 4, 2026, he exercised 20,000 employee stock options at an exercise price of $138.35 per share, acquiring the same number of Caterpillar common shares.
He then disposed of 3,930 shares in an F-coded transaction at $704.04 per share and reported S-coded sales of 9,223 shares at $704.42, 6,817 shares at $705.70, and 30 shares at $706.28, with some trades executed in multiple lots at prices within stated ranges. After these transactions, he directly owned 79,953 shares of common stock and 28,034 employee stock options.
Caterpillar Group President Denise C. Johnson reported multiple stock transactions dated February 2, 2026. She exercised employee stock options covering 11,810 shares at $196.70 and 45,291 shares at $219.76, converting them into Caterpillar common stock.
To cover tax obligations, she had 3,399 and 14,564 shares withheld at $683.39 per share. She also completed several open-market sales of Caterpillar common stock in separate blocks, including 7,411 shares at a weighted average price of $680.11 and 20,145 shares at $680.76. After these transactions, she directly owned 43,350 shares of Caterpillar common stock and 23,978 employee stock options.
Caterpillar executive Bob De Lange has filed a notice to sell 16,070 shares of Caterpillar common stock under Rule 144. The shares are to be sold through Morgan Stanley Smith Barney LLC on or about 02/04/2026 on the NYSE, with an indicated aggregate market value of 11328798.80.
The filing shows these 16,070 shares were acquired on 02/04/2026 via a stock option exercise paid in cash. Over the prior three months, De Lange reported additional sales of 14,638 shares on 11/05/2025 for gross proceeds of 8231847.64 and 15,977 shares on 02/02/2026 for gross proceeds of 10912128.03.
Caterpillar Inc. Group President Anthony D. Fassino reported several transactions in company stock on February 2, 2026. He exercised 15,000 employee stock options at an exercise price of $196.70 per share, receiving an equal number of common shares.
On the same date, 4,329 shares of common stock were disposed of at $681.45 per share in a transaction coded "F", typically used for shares withheld to cover taxes. He also sold 10,671 shares at a weighted average price of $680.45 per share in a transaction coded "S".
After these transactions, Fassino directly held 41,151 shares of Caterpillar common stock and had 8,228 stock options remaining. In addition, 1,499 shares were held indirectly through a 401(k) plan, based on a statement dated as of December 31, 2025.
Caterpillar Inc. Group President Bob De Lange reported multiple stock transactions on February 2, 2026. He exercised 20,512 employee stock options at $151.12
To cover taxes, 4,535 shares were withheld in a transaction coded “F” at a weighted price of $683.41sold 15,977 shares of common stock in an open-market sale at a weighted average price of $682.99$682.93 and $683.49. After these transactions, De Lange directly owned 79,953 shares of Caterpillar common stock.
A shareholder has filed a notice of proposed sale under Rule 144 for 39,138 shares of common stock, to be sold through Morgan Stanley Smith Barney LLC Executive Financial Services on or about 02/02/2026 on the NYSE. The filing lists an aggregate market value of 26655893.78 for the planned sale, compared with 467979596 shares of the same class shown as outstanding.
The shares to be sold were acquired on 02/02/2026 through a stock option exercise from the issuer, for which 39,138 securities were obtained and paid for in cash on the same date. The seller certifies that they are not aware of any undisclosed material adverse information about the issuer’s current or prospective operations.
Caterpillar shareholder Bob De Lange has filed notice to sell 15,977 shares of Caterpillar common stock. The shares were acquired through a stock option exercise on 02/02/2026, paid in cash, and are to be sold on the NYSE through Morgan Stanley Smith Barney LLC.
The filing also reports that Bob De Lange sold 14,638 Caterpillar common shares on 11/05/2025 for gross proceeds of $8,231,847.64. Caterpillar had 467,979,596 common shares outstanding at the time of the planned sale, providing scale for the disclosed transactions.
A shareholder of CAT, identified as Anthony Fassino, has filed to sell 10,671 shares of common stock under Rule 144. The planned sale, to be executed on the NYSE through Morgan Stanley Smith Barney LLC, has an aggregate market value of $7,261,060.61.
The shares to be sold were acquired on 02/02/2026 through a stock option exercise, with the purchase price paid in cash the same day. Over the prior three months, the same seller disposed of 8,184 additional common shares on 11/10/2025 for gross proceeds of $4,666,353.12.
Caterpillar Inc. filed a current report to share its latest financial and operating updates. The company issued a press release with financial results for the quarter ended December 31, 2025, which is included as Exhibit 99.1. This gives investors an overview of how the business performed in the most recent quarter.
Caterpillar is also providing detailed supplemental information on retail sales. Exhibit 99.2 covers retail sales of machines to end users and retail sales of power systems – including reciprocating and turbine engines and locomotives – to end users and Original Equipment Manufacturers. These materials are furnished under Regulation FD to ensure broad, equal access to information.