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.
Caterpillar Inc. reported results of its 2026 virtual Annual Shareholders Meeting and announced a higher quarterly dividend. Shareholders elected all nominated directors to one-year terms and approved the ratification of PricewaterhouseCoopers LLP as independent registered public accounting firm for 2026. They also approved, on an advisory basis, the company’s executive compensation. A shareholder proposal to allow shareholder action by written consent did not pass.
The Board of Directors declared a quarterly cash dividend of $1.63 per share, payable on August 19, 2026 to shareholders of record on July 20, 2026. This represents a $0.12 increase from the prior quarterly dividend of $1.51 per share, described as an eight percent increase. The company highlighted its long history of annual dividend increases and its intention to return substantially all Machinery, Power & Energy free cash flow to shareholders over time through dividends and share repurchases.
WILKINS RAYFORD JR reported acquisition or exercise transactions in this Form 4 filing.
Caterpillar Inc. director Rayford Wilkins Jr reported a stock award of 211 shares of Caterpillar common stock. The shares were granted at a price of $0.00 per share, indicating a compensation-related award rather than an open-market purchase. Following this grant, his directly held position increased to 8,416 shares. A footnote notes that this total includes adjustments for dividends that have accrued, which slightly alters the share count over time.
SCHWAB SUSAN C reported acquisition or exercise transactions in this Form 4 filing.
Caterpillar Inc. director Susan C. Schwab received a grant of 211 shares of Common Stock on June 10, 2026. The shares were awarded at $0.00 per share, reflecting a compensation-related grant rather than an open-market purchase. Following this award, she directly holds 6,197 Caterpillar shares, including adjustments for dividends accrued noted in the filing.
Caterpillar Inc. director Debra L. Reed received an award of 211 shares of Caterpillar common stock on June 10, 2026. This was a grant-type acquisition with no purchase price. After the award, she directly holds 13,204 shares, including adjustments for dividends accrued.
Caterpillar Inc. director Judith Fran Marks received an award of 211 shares of common stock on June 10, 2026 at no cash cost, as a grant or other acquisition. Following this award, she directly holds 1,938 Caterpillar shares, reflecting routine equity-based director compensation.
Caterpillar Inc. director David MacLennan received 211 shares of Common Stock as a grant or award on June 10, 2026. The shares were acquired at a stated price of $0.00 per share, bringing his directly held total to 8,420 shares, including adjustments for dividends accrued.
KEENE NAZZIC S reported acquisition or exercise transactions in this Form 4 filing.
Caterpillar Inc. director Nazzic S. Keene received a grant of 211 shares of Caterpillar common stock, recorded at a price of $0.00 per share as a compensation-related award. Following this Form 4 transaction, Keene directly holds 728 shares of Caterpillar common stock, including adjustments for dividends accrued.
Caterpillar Inc. director Gerald Johnson received a grant of 211 shares of Common Stock on June 10, 2026, classified as a “grant, award, or other acquisition” with no purchase price. Following this award, he directly holds 3,907 shares. The position includes adjustments for dividends accrued.
Fish James C Jr reported acquisition or exercise transactions in this Form 4 filing.
Caterpillar Inc. director James C. Fish Jr. reported a compensation-related equity award rather than an open-market trade. He received 211 shares of Caterpillar common stock with a per-share price of $0.00 under a grant or award, bringing his direct holdings to 3,687 shares.
The filing also shows indirect holdings of 250 shares in The Stephanie M. Fish GST Trust and 250 shares in The Nicole M. Fish GST Trust, both referenced as trust-held common stock. A footnote notes these figures include adjustments for dividends accrued.
Creed Joseph E reported acquisition or exercise transactions in this Form 4 filing.
Caterpillar Inc. CEO Joseph E. Creed reported a compensation-related award of 18 phantom stock units tied to Caterpillar common stock. The grant, recorded at a reference price of $908.55 per unit, increased his phantom stock unit balance to 11,001 units.
The filing notes that 9 units were credited under Caterpillar's Supplemental Deferred Compensation Plan at $908.55 per unit and 9 additional units were contributed under the plan for no cash consideration. Each phantom unit generally tracks the value of one share of Caterpillar common stock and will be settled 100% in cash upon his retirement or separation from service.