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 Group President Jason Kaiser reported new equity awards and a small tax-related share withholding. On March 2, 2026, he received 4,601 employee stock options and 1,650 shares of common stock at no cost as grants. The options were issued under Caterpillar’s 2023 Long Term Incentive Plan and vest in equal one-third portions on each of the first three anniversaries of the grant date. On March 3, 2026, 358 shares of common stock were withheld to cover taxes from the vesting of restricted stock units originally granted March 3, 2025, leaving him with 9,962 directly held shares, plus 401(k) holdings reported separately.
Caterpillar Group President Anthony D. Fassino reported a tax-related share disposition. On March 3, 2026, 337 shares of Caterpillar common stock were withheld at $719.13 per share to cover taxes from vesting restricted stock units granted March 3, 2025. After this tax-withholding disposition, he directly owned 46,387 shares, and indirectly held 1,501 shares through a 401(k) plan based on a statement as of February 28, 2026.
Caterpillar Inc. Group President Bob De Lange reported routine equity compensation activity. He received a grant of 4,601 employee stock options at an exercise price of $0.0000 per share, which vest in equal one-third installments on the first, second and third anniversaries of the grant date under the 2023 Long Term Incentive Plan.
He also acquired 1,650 shares of common stock as a grant or award, at a stated price of $0.0000 per share, with the position including an adjustment for dividends accrued. To cover tax obligations from the vesting of restricted stock units granted on March 3, 2025, 382 common shares were withheld and disposed of at $719.13 per share. After these transactions, he directly holds 86,422 shares of Caterpillar common stock and 4,601 stock options.
Caterpillar Inc. Chief Financial Officer Andrew R. J. Bonfield reported equity-related transactions in company securities. He received a grant of 4,877 employee stock options and 1,749 shares of common stock, both at a stated price of $0.0000 per share, as awards dated March 2, 2026.
The stock options were granted under the Caterpillar Inc. 2023 Long Term Incentive Plan and vest in equal one-third installments on the first, second, and third anniversaries of the grant date. On March 3, 2026, 445 shares of common stock were disposed of in a tax-withholding transaction at $719.13 per share to satisfy tax obligations from the vesting of restricted stock units. Following these transactions, he directly owned 53,384 shares of common stock and 4,877 stock options.
Caterpillar Inc. CEO Joseph E. Creed reported equity compensation and related tax withholding transactions. On March 2, 2026, he received a grant of 13,803 employee stock options and 4,950 shares of common stock at no cost, as awards under the 2023 Long Term Incentive Plan.
Footnotes state the options vest in equal one-third installments on the first, second and third anniversaries of the grant date. On March 3, 2026, 676 common shares valued at $719.13 per share were withheld to cover tax obligations from restricted stock units vesting. The filing also updates indirect holdings in a 401(k) plan based on a statement dated February 28, 2026.
Caterpillar Group President Rodney Michael Shurman reported option exercises and share sales in company stock. On the derivative side, he exercised 2,278 employee stock options at $253.98 per share, leaving 5,639 options held directly. This exercise delivered 2,278 shares of Caterpillar common stock, increasing his direct common holdings to 3,721 shares before any sales.
On the same date, he sold 2,278 shares of common stock in an open-market transaction at a weighted average price of $759.61 per share in multiple trades, reducing his direct common stock position to 1,443 shares. In addition, 6,748 shares are held indirectly in a 401(k) plan as of a statement dated January 31, 2026, which includes dividends accrued. The stock options were granted under the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 6, 2023 and vest in three equal annual installments.
Rodney M. Shurman proposes sale of 2,278 shares of Common stock. The filing lists the method as a Stock Option Exercise to be effected on 02/23/2026 for cash. The form also discloses prior sales of 1,764 shares on 02/17/2026 with proceeds of $1,346,611.14. The intermediary listed is Morgan Stanley Smith Barney LLC Executive Financial Services at 1 New York Plaza, New York, NY.
Caterpillar Inc. Group President Rodney Michael Shurman sold 1,764 shares of common stock in an open-market transaction. The sale occurred on February 17, 2026 at a price of $763.39 per share. After this transaction, he directly owns 1,440 Caterpillar shares.
In addition to his direct holdings, Shurman has an indirect interest in 6,748 shares held through a 401(k) plan, based on a plan statement dated as of January 31, 2026. This filing highlights a net decrease of 1,764 shares in his directly held Caterpillar stake.
Caterpillar Inc.'s Chief Accounting Officer, William E. Schaupp, sold 972 shares of common stock in an open-market transaction at a weighted average price of $764.20 per share. After this sale, he directly owned 824 shares of Caterpillar common stock.
A shareholder of Caterpillar Inc. (common stock) has filed a notice of proposed sale under Rule 144. The filing covers the planned sale of 972 common shares through Morgan Stanley Smith Barney LLC Executive Financial Services on the NYSE, with an aggregate market value of $742,802.30 as listed.
The securities to be sold were acquired from the issuer as performance shares, including 472 shares acquired on 02/10/2026 and 500 shares acquired on 12/31/2024, with payment noted as not applicable. The signer represents that they do not know of any undisclosed material adverse information about Caterpillar’s operations.