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.
Our SEC filing database is enhanced with expert analysis from Rhea-AI, providing insights into the potential impact of each filing on CATERPILLAR's stock performance. Each filing includes a concise AI-generated summary, sentiment and impact scores, and end-of-day stock performance data showing the actual market reaction. Navigate easily through different filing types including 10-K annual reports, 10-Q quarterly reports, 8-K current reports, proxy statements (DEF 14A), and Form 4 insider trading disclosures.
Designed for fundamental investors and regulatory compliance professionals, our page simplifies access to critical SEC filings. By combining real-time EDGAR feed updates, Rhea-AI's analytical insights, and historical stock performance data, we provide comprehensive visibility into CATERPILLAR's regulatory disclosures and financial reporting.
Caterpillar Inc. Chief Legal Officer Derek Owens reported a disposition of company common stock tied to equity compensation. On the vesting of restricted stock units granted on March 4, 2024, 338 shares were withheld to satisfy his tax obligation at a price of $738.42 per share. After this tax-withholding transaction, Owens directly owned 8,203 shares of Caterpillar common stock.
Caterpillar Inc. Chief Executive Officer Joseph E. Creed reported selling a total of 2,500 shares of Caterpillar common stock in open-market transactions on March 5, 2026. The sales were executed in several trades at reported weighted average prices of $717.01, $718.44, $719.39, $720.10, and $721.00 per share. After these sales, his directly held stake was 35,083 shares.
On March 4, 2026, 696 shares were disposed of at $738.42 per share to satisfy tax obligations from vesting restricted stock units granted on March 4, 2024. In addition to his direct holdings, he had 11,765 shares held indirectly through a 401(k) plan, based on a statement dated February 28, 2026.
Caterpillar Inc. Group President Jason Kaiser reported a tax-related share disposition tied to restricted stock units. On March 4, 2026, 368 shares of Caterpillar common stock were withheld at $738.42 per share to cover tax obligations from RSUs that vested on March 4, 2024.
After this withholding, Kaiser directly owned 9,594 Caterpillar shares. He also had an indirect holding of 368 shares through a 401(k) plan, based on a statement as of February 28, 2026.
Caterpillar Inc. Group President Anthony D. Fassino reported a tax-related share withholding tied to vesting equity awards. On March 4, 2026, 346 shares of Caterpillar common stock were disposed of at $738.42 per share to satisfy tax obligations from restricted stock units that vested from a March 4, 2024 grant.
After this withholding transaction, Fassino directly held 46,041 shares of Caterpillar common stock. The filing also notes an additional 1,501 shares held indirectly through a 401(k) plan based on a statement dated February 28, 2026.
Caterpillar Inc. Group President Denise C. Johnson reported a tax-withholding share disposition related to equity compensation. On March 4, 2026, 346 shares of Caterpillar common stock were withheld at a price of $738.42 per share to satisfy tax obligations from the vesting of restricted stock units granted on March 4, 2024. After this withholding transaction, Johnson directly held 49,825 shares of Caterpillar common stock.
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.