Latest SEC filings for Caterpillar, Inc. (CAT) explained in plain English. Covers insider buying and selling (Form 4), proposed insider sales (Form 144), material company events (8-K), and quarterly & annual reports (10-Q / 10-K). All data sourced directly from SEC EDGAR — last updated 2026-07-27.
Epley Kyle Joseph (Chief Financial Officer) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.
Kaiser Jason (Group President) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.
Creed Joseph E (Chief Executive Officer) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.
MacLennan David (Director) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.
Kaiser Jason (Group President) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.
Creed Joseph E (Chief Executive Officer) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.
Epley Kyle Joseph (Chief Financial Officer) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.
CATERPILLAR INC filed an 8-K with the SEC reporting a material event. Filing excerpt: XBRL Viewer
WILKINS RAYFORD JR (Director) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.
SCHWAB SUSAN C (Director) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.
REED DEBRA L (Director) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.
Marks Judith Fran (Director) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.
MacLennan David (Director) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.
KEENE NAZZIC S (Director) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.
Johnson Gerald (Director) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.
Fish James C Jr (Director) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.
Creed Joseph E (Chief Executive Officer) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.
Epley Kyle Joseph (Chief Financial Officer) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.
Johnson Denise C, listed as Group President at CATERPILLAR INC, reported an open-market sale of 12,605 CAT shares in a Form 4 filing. This is a confirmed insider sale, not just a proposed sale notice.
DENISE C JOHNSON filed a Form 144 with the SEC indicating intent to sell CAT (CATERPILLAR INC) shares. Form 144 reflects a proposed sale, not a completed transaction. The actual execution, if any, would typically appear later in a Form 4. The proposed dollar value is large enough to merit attention.
Executives, directors, and large shareholders must report any purchase or sale of CAT shares within two business days. Consistent buying by multiple insiders is often read as a confidence signal; large sales may reflect diversification or liquidity needs rather than negative conviction.
Filed when a company affiliate intends to sell restricted or control shares. A Form 144 is a notice of intent, not confirmation — the actual sale is later confirmed via Form 4. It gives investors advance visibility into planned insider selling activity.
The 8-K is an event-driven filing that Caterpillar, Inc. must submit within four business days of a significant development — including earnings results, mergers, executive changes, credit facility updates, or regulatory actions. Each 8-K item code maps to a specific event type.
The 10-Q (quarterly) and 10-K (annual) are comprehensive reports covering Caterpillar, Inc.'s financial results, risk factors, management discussion, and business operations. The 10-K includes audited financials and is the most complete public disclosure the company makes each year.
View valuation, growth metrics, AI Strong Buy score, demand zones, peer comparison, and more — all on the CAT stock analysis page.