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.
A person associated with Caterpillar Inc. (CAT) filed a notice of proposed sale of restricted and performance-based shares under Rule 144. The filing covers the planned sale of 1,764 shares of common stock, with an aggregate market value of 1,346,611.14, through Morgan Stanley Smith Barney LLC Executive Financial Services on or around 02/17/2026 on the NYSE. The issuer had 465,287,332 shares outstanding of common stock at the time referenced. The shares to be sold were acquired as 183 restricted stock shares on 03/04/2025 and 1,581 performance shares on 02/10/2026, both from the issuer as non-cash awards.
Caterpillar Inc. Group President Anthony D. Fassino reported multiple share transactions on February 13, 2026. He exercised 11,000 employee stock options at $219.76 per share, receiving the same number of Caterpillar common shares.
On the same day, he disposed of 3,109 shares to cover taxes at $777.41 per share and completed an open-market sale of 7,891 shares at a weighted average price of $776.90, with individual trades ranging from $776.69 to $777.13. After these transactions, he directly owned 46,643 common shares and indirectly held 1,502 shares through a 401(k) plan as of a statement dated January 31, 2026.
Anthony Fassino filed a Rule 144 notice covering a proposed sale of 7,891 shares of CAT common stock through Morgan Stanley Smith Barney LLC, with an aggregate market value of 6130507.64. The shares relate to a stock option exercise on 02/13/2026, paid in cash.
The filing notes that CAT had 465,287,332 shares of common stock outstanding. It also lists earlier sales for Fassino over the prior three months, including 6,033 shares on 02/06/2026 and 10,671 shares on 02/02/2026, with disclosed gross proceeds for each transaction.
Caterpillar Group President Bob De Lange reported several equity transactions in Caterpillar Inc. common stock. On February 11, 2026, he exercised 15,000 employee stock options at an exercise price of $127.60 per share, converting them into an equal number of common shares. To cover taxes related to the transaction, 2,493 shares of common stock were disposed of at a price reported as $767.64 per share. He also completed an open-market sale of 12,507 shares at a weighted average price of $767.08 per share, with individual trades ranging from $766.95 to $767.66. Following these transactions, De Lange directly held 84,997 shares of Caterpillar common stock and 56,210 employee stock options.
Caterpillar Group President Jason Kaiser reported an open-market sale of company stock. On February 12, 2026, he sold 1,690 shares of Caterpillar common stock at a price of $776.70 per share.
After this transaction, Kaiser directly owned 8,661 shares of Caterpillar common stock. He also had an additional 368 shares held indirectly through a 401(k) plan, with that information based on a statement dated January 31, 2026.
Caterpillar Inc. reported 2025 sales and revenues of $67.589 billion, reinforcing its position in construction, mining, energy and rail equipment. The company operates through Machinery, Power & Energy and Financial Products, supported by a large independent dealer and financing network.
Caterpillar’s order backlog reached $51.2 billion at December 31, 2025, up from $30.0 billion a year earlier, with $19.3 billion expected beyond 2026. The workforce grew to 118,000 full‑time employees, and the recordable injury rate improved to 0.41 from 0.43, highlighting ongoing safety efforts.
Caterpillar Inc. group president Bob De Lange reported equity compensation activity in company common stock. On February 10, 2026, he acquired 9,055 shares at $0 per share through a grant or award. The same day, 4,011 shares were disposed of at $744.83 per share to satisfy tax obligations from vesting performance-based restricted stock units granted March 6, 2023. After these transactions, he directly owned 84,997 Caterpillar common shares.
Caterpillar Inc. Group President Denise C. Johnson reported stock transactions involving company common shares. On February 10, 2026, she acquired 9,055 shares of Caterpillar common stock in a grant or award at a stated price of $0 per share, increasing her direct holdings.
On the same date, 3,563 shares were disposed of at $744.83 per share, representing shares withheld to satisfy tax obligations from the vesting of performance-based restricted stock units granted March 6, 2023. After these transactions, she directly owned 48,842 common shares of Caterpillar.
Caterpillar Inc. Chief Executive Officer Joseph E. Creed reported equity compensation and related tax withholding transactions. On February 10, 2026, he acquired 9,055 shares of common stock at $0 per share as a grant or award, increasing his directly held shares to 37,346, including adjustments for dividends accrued.
On the same date, 3,366 shares were disposed of at $744.83 per share to satisfy tax obligations arising from the vesting of performance-based restricted stock units granted March 6, 2023, leaving 33,980 directly owned shares. He also has 11,758 shares held indirectly through a 401(k) plan based on a statement dated January 31, 2026.