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 Inc. Group President Denise C. Johnson reported a set of option-related and open-market transactions in Caterpillar common stock. She exercised employee stock options covering 16,078 shares at $196.70 per share, with 3,473 shares disposed of to cover tax obligations. The remaining 12,605 shares from the exercise were sold in open-market trades at weighted-average prices generally between about $904 and $912 per share, executed in multiple smaller trades. After these transactions, Johnson directly owned 49,825 shares of Caterpillar common stock.
Denise C Johnson reported a sale of 6,196 shares of Common stock of the issuer under a stock option exercise, with the transaction dated 05/13/2026 and the Form 144 filing dated 05/14/2026. The filing lists cash as the consideration and records proceeds of $5,637,063.18.
Caterpillar Group President Denise C. Johnson exercised employee stock options and sold shares in the company on May 13, 2026. She exercised 7,900 Employee Stock Options at $196.70 per share to acquire the same number of Caterpillar common shares. To cover tax obligations, 1,704 shares were disposed of through a tax-withholding transaction at $911.61 per share, which is not an open-market sale. Johnson then completed open-market sales of 3,546 shares at $909.46 and 2,650 shares at $910.24, totaling 6,196 shares sold. After these transactions, she directly owned 49,825 shares of common stock and held 16,078 employee stock options under the company’s long-term incentive plan.
Caterpillar Inc. Chief Accounting Officer William E. Schaupp sold 360 shares of Caterpillar common stock in an open-market transaction on May 13, 2026 at a price of $906 per share. Following this sale, he directly holds 530 shares of Caterpillar common stock.
Morgan Stanley Smith Barney LLC reported the sale of 972 shares of Common Stock of Caterpillar (CAT) on 02/17/2026 for $742,802.30 via Form 144. The filing lists prior award categories including 234 Restricted Stock (09/01/2022) and 126 Performance Shares (12/31/2024).
Caterpillar Inc. Chief Executive Officer Joseph E. Creed reported routine share updates in a Form 4. On May 11, 2026, 574 shares of common stock were withheld at $912.03 per share to cover tax obligations from the vesting of restricted stock units granted on May 9, 2025. This withholding is a tax-related disposition, not an open-market sale.
After this event, Creed directly held 34,507 shares of Caterpillar common stock. He also had 11,804 shares held indirectly through a 401(k) plan, based on a plan statement dated as of April 30, 2026.
Caterpillar Inc.’s Chief Human Resources Officer, Christine M. Pambianchi, had shares withheld to cover taxes on equity compensation. On the tax-withholding date, 224 shares of Common Stock valued at $912.03 per share were withheld to satisfy tax obligations from restricted stock units that vested on May 9, 2025.
After this withholding, she directly holds 3,083 shares of Caterpillar common stock. This was a compensation-related, non-market transaction rather than an open-market purchase or sale.
Caterpillar Inc. Group President Anthony D. Fassino reported multiple transactions in company common stock. He exercised 21,403 employee stock options at $219.76 per share to acquire the same number of Caterpillar shares and had 5,120 shares withheld to cover tax obligations.
He then completed open-market sales of 15,440 shares at $916.75 per share and 843 shares at $917.73 per share, both executed in multiple trades at weighted-average prices. Following one reported sale, he held 46,041 shares directly, and a separate entry shows 1,508 shares held indirectly in a 401(k) plan based on a statement dated April 30, 2026.
Caterpillar Inc. Chief Financial Officer Kyle Joseph Epley reported routine equity compensation awards. He received a grant of 515 shares of common stock, bringing his direct holdings to 17,705 shares. He was also granted 1,394 employee stock options with an exercise price of $897.45 per share, expiring on May 8, 2036.
The stock options were granted under the Caterpillar Inc. 2023 Long-Term Incentive Plan and vest in three equal installments: one-third on the first anniversary of the grant date, one-third on March 2, 2028, and one-third on March 2, 2029. In addition, Epley reported indirect ownership of 3,186 common shares held in a 401(k) plan based on a statement dated as of April 30, 2026.