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.
MacLennan David reported acquisition or exercise transactions in this Form 4 filing.
Caterpillar Inc. director David MacLennan received a grant of 33 Phantom Stock Units on Caterpillar common stock equivalents. The award price is $690.44 per unit, bringing his total phantom stock units to 453. These units are granted under Caterpillar’s Director's Deferred Compensation Plan and are generally the economic equivalent of one share of common stock per unit. They will be settled 100% in cash upon his retirement or separation from service, so there was no open‑market purchase or sale of Caterpillar common shares in this transaction.
Creed Joseph E reported acquisition or exercise transactions in this Form 4 filing.
Caterpillar Inc. Chief Executive Officer Joseph E. Creed received a grant of 3 phantom stock units on March 26, 2026 under a non-qualified deferred compensation plan. Each unit is generally the economic equivalent of one share of Caterpillar common stock but will be settled 100% in cash at retirement or separation from service.
Following this grant and related plan activity, Creed is credited with 11,583 phantom stock units. The footnotes explain that the total includes 2 units credited at a price of $703.19 per unit and 1 unit contributed to his account for no consideration, and that unit counts can change over time due to dividend accruals and the mix of cash and stock in the underlying unitized fund.
Caterpillar Inc. has updated how it reports its business segments after moving its Rail division from the Power & Energy segment into Resource Industries, effective January 1, 2026. This change is meant to better match how the CEO evaluates performance and allocates resources.
To help investors compare periods consistently, Caterpillar furnished unaudited, recast segment data for each quarter of 2024 and 2025 and for the full years. Total sales and revenues were $67,589 million in 2025 and $64,809 million in 2024, while total assets were $98,585 million at year-end 2025.
The company emphasizes that these changes affect only segment presentation and do not change previously reported consolidated financial statements. It also clarifies how prior forward‑looking comments about Rail would map into the new structure and plans to provide updated segment-level assumptions on April 30, 2026.
Caterpillar Inc: The Vanguard Group filed Amendment No. 13 to a Schedule 13G/A reporting that, after an internal realignment effective January 12, 2026, certain Vanguard subsidiaries will report beneficial ownership separately. The filing states amount beneficially owned: 0 and percent of class: 0%.
The filing lists Vanguard's address and cites SEC Release No. 34-39538 as the basis for disaggregation. The form is signed by Ashley Grim, Head of Global Fund Administration, dated 03/26/2026. No proceeds, transactions, or holdings are reported for Vanguard in this excerpt.
Creed Joseph E reported acquisition or exercise transactions in this Form 4 filing.
Caterpillar Inc. reported a compensation-related transaction for Chief Executive Officer Joseph E. Creed. He received a grant of 428 phantom stock units under a non-qualified deferred compensation plan, each generally equivalent in value to one share of Caterpillar common stock.
The award combined 214 units credited at a price of $693.99 per unit and 214 units contributed under the plan for no consideration. These phantom units are cash-settled upon retirement or separation and now total 11,433 units in his account, reflecting deferred, cash-based incentive compensation rather than open-market trading.
Kaiser Jason reported acquisition or exercise transactions in this Form 4 filing.
Caterpillar Inc. Group President Jason Kaiser received a grant of 186 phantom stock units tied to Caterpillar common stock. These units were credited under the company’s non-qualified deferred compensation plan, with 93 units priced at $693.99 per unit and 93 units contributed for no consideration.
Each phantom stock unit is generally the economic equivalent of one share of Caterpillar common stock but will be settled 100% in cash when Kaiser retires or leaves the company, rather than in actual shares. After this award, Kaiser holds a total of 5,564 phantom stock units, which include accrued dividends and may fluctuate over time based on the mix of stock and cash in the underlying unitized fund.
Kaiser Jason reported acquisition or exercise transactions in this Form 4 filing.
Caterpillar Inc. Group President Jason Kaiser received an award of 106 phantom stock units on Caterpillar common stock under the company’s non-qualified deferred compensation plan. The units are generally the economic equivalent of one share of Caterpillar stock each and increase his directly held phantom units to 5,520.
The phantom stock units will be settled 100% in cash when Kaiser retires or separates from service. They include accrued dividends and represent interests in an unfunded unitized company stock fund made up of both stock and cash, so the reported unit count may change over time as that mix shifts.
Caterpillar Inc. Chief Executive Officer Joseph E. Creed reported an acquisition of 214 phantom stock units on March 6, 2026 under the company’s non-qualified deferred compensation plan. Following this grant, he holds 11,293 phantom stock units directly.
Each phantom stock unit is generally the economic equivalent of one share of Caterpillar common stock and will be settled 100% in cash upon his retirement or separation from service. The footnotes explain that these units include accrued dividends and represent interests in an unfunded unitized company stock fund, so the number of units deemed owned can change over time as the mix of stock and cash in the fund shifts.
Caterpillar Inc. Executive Chairman Donald J. Umpleby III reported a tax-withholding share disposition tied to equity compensation. On March 4, 2026, 1,546 shares of common stock were withheld at $738.42 per share to satisfy taxes from restricted stock units granted March 4, 2024. After this, he directly owned 464,199 shares, with additional indirect holdings through descendant and children’s irrevocable trusts and a 401(k) plan.
Caterpillar Inc. group president Rodney Michael Shurman reported a small tax-related share disposition. On March 4, 2026, 117 shares of Caterpillar common stock were withheld at $738.42 per share to cover taxes from restricted stock units that vested from a grant dated March 4, 2024.
After this withholding, Shurman held 2,546 Caterpillar shares directly. He also had 6,745 shares held indirectly through a 401(k) plan, based on a plan statement as of February 28, 2026. The filing does not reflect an open-market purchase or sale, but primarily an administrative tax-withholding event related to equity compensation.