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. director James Fish Jr. reported a charitable stock transfer of company shares. On 12/19/2025, he made a gift of 1,000 shares of Caterpillar common stock, recorded at a price of $0 per share, reflecting that it was a donation rather than a sale, to a Donor Advised Fund.
After this transaction, he beneficially owns 3,475 shares of Caterpillar common stock directly, and an additional 250 shares held indirectly by The Nicole M. Fish GST Trust and 250 shares held indirectly by The Stephanie M. Fish GST Trust.
Caterpillar Inc.'s Chief Financial Officer reported multiple open-market sales of company common stock. On 12/01/2025, the officer sold several blocks of shares at weighted average prices ranging from $568.57 to $574.52, with underlying trade prices spanning from $567.93 to $575.13. Each line represents a separate sale, including transactions such as 1,378 shares at $568.57 and 2,360 shares at $569.35, all classified as dispositions. Following these sales, the officer beneficially owned 55,460 shares of Caterpillar common stock directly, reflecting adjustments for accrued dividends where noted.
Caterpillar Inc.'s Executive Chairman Donald J. Umpleby III reported a charitable transfer of company stock. On 11/28/2025, he donated 2,350 shares of Caterpillar common stock to The Ayco Charitable Foundation, described as a Donor Advised Fund. The shares were transferred at a reported price of $0, reflecting the nature of the donation rather than a market sale.
After this transaction, Umpleby reported 445,879 shares of Caterpillar common stock held directly, plus indirect holdings of 59,000 shares in an irrevocable trust for descendants, 36,040 shares in a children's irrevocable trust, and 1,030 shares held through a 401(k) plan based on information dated as of November 30, 2025.
Caterpillar Inc. (CAT) has a Rule 144 notice covering the planned sale of 20,000 shares of its common stock through J.P. Morgan Securities LLC on the NYSE, with an approximate aggregate market value of $11,515,200. The sale is targeted around 12/01/2025 and is a secondary sale by an existing holder, not a new issue of shares by the company.
The notice states that 467,979,596 shares of common stock were outstanding, providing context for the size of the planned sale. The seller acquired the shares over time through company compensation-related transactions such as net exercises and performance-based restricted stock unit vests between 2021 and 2024.
Caterpillar Inc. officer Jason E. Kaiser, a Group President, reported a deferred compensation transaction involving phantom stock units tied to Caterpillar common stock. On 11/26/2025, he acquired 13 phantom stock units under the company’s non-qualified deferred compensation plan, at a referenced price of $573.73 per share for 7 of those units, with 6 additional units contributed for no consideration under plan terms. Each phantom unit is generally the economic equivalent of one share of Caterpillar common stock but will be settled 100% in cash upon his retirement or separation from service. Following this transaction, Kaiser beneficially owned 5,132 phantom stock units, which are held in an unfunded unitized company stock fund where the number of units can change over time due to dividends and shifts between stock and cash in the fund.
Caterpillar Inc. reported an insider equity transaction involving its Chief Executive Officer, Joseph E. Creed. On 11/26/2025, Creed acquired 26 phantom stock units under Caterpillar’s non-qualified deferred compensation plan at a reference price of $573.73 per unit. Each phantom unit is generally the economic equivalent of one share of Caterpillar common stock.
The 26 units include 13 units credited at $573.73 and 13 units contributed under the plan for no consideration. After this transaction, Creed beneficially holds 10,503 phantom stock units, which will be settled 100% in cash upon his retirement or separation from service. The total also reflects adjustments for dividends accrued and changes in the mix of stock and cash in the underlying unitized company stock fund.
Caterpillar Inc. director David W. MacLennan reported a Form 4 transaction involving phantom stock units under the company’s Director's Deferred Compensation Plan.
On 11/25/2025, 72 phantom stock units, each equivalent to one share of Caterpillar common stock, were acquired at a reference price of $557.34, bringing his beneficially owned phantom stock units to 389. These units were acquired under the Director's Deferred Compensation Plan, are to be settled 100% in cash upon his retirement or separation from service, and include adjustments for dividends accrued.
Caterpillar Inc. (CAT) director reports charitable stock donation
A Caterpillar Inc. director reported a transaction involving the company’s common stock on a Form 4. On 11/19/2025, the reporting person donated 990 shares of Caterpillar common stock to a 501(c)(3) foundation account, with the transaction coded as a gift and a reported price of $0 per share. After this donation, the director beneficially owns 5,948 shares of Caterpillar common stock, and this balance includes dividends that have accrued. The filing is made as an individual Form 4 for one reporting person in their capacity as a director of Caterpillar.
Caterpillar Inc. (CAT) filed a Form 4 reporting an intra‑plan transfer by Group President Denise C. Johnson on 11/12/2025. The transaction, coded “J,” involved phantom stock units in the company’s non‑qualified deferred compensation plan, which are generally the economic equivalent of one share of Caterpillar common stock and are settled 100% in cash upon retirement or separation.
Following the reported transaction, Johnson beneficially owned 10,752 phantom stock units. The filing lists an amount of 10,944 underlying shares and a stated price of $573.02 per derivative security. Units may adjust over time for accrued dividends and the fund’s cash/stock mix.
Caterpillar (CAT) Group President Jason E. Kaiser reported insider transactions on 11/11/2025. He exercised 8,881 employee stock options at $219.76 and 8,000 options at $196.70, acquiring common stock.
On the same day, he executed multiple open‑market sales in tranches, with weighted average sale prices ranging from $561.29 to $568.65 (per footnotes, comprised of multiple trades). The filing also shows share withholding for taxes (Code F) of 3,418 and 2,756 shares at $570.85. Following the transactions, he directly owned 8,649 shares and indirectly owned 368 shares held in a 401(k) plan, based on a plan statement dated October 31, 2025.