CAT SEC Filing News — Caterpillar Inc.

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). StrongBuyAnalytics provides navigation and brief excerpts or summaries; original filings remain at the SEC/source links and were authored by their filers, not StrongBuyAnalytics. Filing dates shown are source dates. Coverage and detection can be delayed or incomplete because of SEC availability, amendments, parsing, caching, or outages. Latest source filing date shown: 2026-10-01.

Caterpillar Inc. provides construction and mining equipment, off-highway diesel and natural gas engines, industrial gas turbines, and diesel-electric locomotives in the United States and internationally. The Construction Industries segment offers asphalt pavers, cold planers, compactors, forestry machines, material handlers, motor graders, pipelayers, road reclaimers, telehandlers, track-type tractors, and track and wheel excavators; backhoe, compact track, skid steer, track-type, and wheel load…
Sector: Industrials Industry: Farm & Heavy Construction Machinery Market Cap: $373.7B CIK: 18230
20
Total Filings
0
Bullish Classifications
2
Bearish Classifications
16
Insider Transactions
2
Material Events (8-K)
1
Periodic Reports
Rule-based classifications for CAT currently lean bearish. Of the 20 filing records displayed, 2 carry bearish classifications (such as insider sales or negative 8-K disclosures) versus 0 bullish. This does not necessarily signal fundamental deterioration — insiders sell for many reasons — but it is worth monitoring alongside the company's core financial metrics.
CAT Filing Activity Snapshot 2026-06-29 — 2026-10-01
Insider Transactions (Form 4)
0 buys vs 1 sell
Net insider selling in this period — insiders sell for many reasons beyond conviction.
Largest Form 144 Filing
$26.21M
Creed Joseph E (Chief Executive Officer) · 2026-09-01
32,401 shares · Form 4
Form 144 Notices
1
Proposed insider sale filed — Form 144 is a notice of intent, not a confirmed transaction. Actual sales are confirmed via Form 4.
Insider Transactions 16 · Forms 3, 4 and 5

A Form 4 is filed within two business days of a company insider — an officer, a director, or a holder of more than ten percent of the stock — changing their position in the shares. All 16 filings in this group are Form 4s for Caterpillar Inc.

The difficulty with reading these filings as a group is that a single form type covers transactions that mean entirely different things. An executive spending their own money to buy stock and an executive having shares withheld to pay tax on a vesting grant both appear as a Form 4. Every filing below is therefore tagged with the nature of the underlying transaction, taken from the transaction code reported on the form itself.

Across the 16 insider filings shown, the breakdown is 15 compensation award and 1 open-market sale. 1 of them involved a discretionary open-market trade; the rest are compensation and administrative mechanics.

What each transaction type means

Compensation award ×15
Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.
Open-market sale ×1
The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.
Form 4 Compensation award Tax / Compensation Filing 2026-10-01

CAT insider Form 4 filed for equity award, exercise, or tax withholding

GOOD LYNN J (Director) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code Nature Shares Price Value
A Compensation award derivative · Phantom Stock Units 30 $821.01 $24.6K
Filing: Form 4 (Insider Transaction) Insider: GOOD LYNN J (Director)
View on SEC EDGAR → Open Filing Document →
Form 4 Compensation award Tax / Compensation Filing 2026-10-01

CAT insider Form 4 filed for equity award, exercise, or tax withholding

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.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code Nature Shares Price Value
A Compensation award derivative · Phantom Stock Units 28 $821.01 $23.0K
Filing: Form 4 (Insider Transaction) Insider: MacLennan David (Director)
View on SEC EDGAR → Open Filing Document →
Form 4 Compensation award Tax / Compensation Filing 2026-09-28

CAT insider Form 4 filed for equity award, exercise, or tax withholding

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.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code Nature Shares Price Value
A Compensation award derivative · Phantom Stock Units 11 $821.58 $9.0K
Filing: Form 4 (Insider Transaction) Insider: Kaiser Jason (Group President)
View on SEC EDGAR → Open Filing Document →
Form 4 Compensation award Tax / Compensation Filing 2026-09-28

CAT insider Form 4 filed for equity award, exercise, or tax withholding

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.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code Nature Shares Price Value
A Compensation award derivative · Phantom Stock Units 11 $821.58 $9.0K
A Compensation award derivative · Phantom Stock Units 7 $821.58 $5.8K
Filing: Form 4 (Insider Transaction) Insider: Epley Kyle Joseph (Chief Financial Officer)
View on SEC EDGAR → Open Filing Document →
Form 4 Compensation award Tax / Compensation Filing 2026-09-28

CAT insider Form 4 filed for equity award, exercise, or tax withholding

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.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code Nature Shares Price Value
A Compensation award derivative · Phantom Stock Units 19 $821.58 $15.6K
Filing: Form 4 (Insider Transaction) Insider: Creed Joseph E (Chief Executive Officer)
View on SEC EDGAR → Open Filing Document →
Form 4 Open-market sale Insider Selling 2026-09-01

CAT insider Creed Joseph E (Chief Executive Officer) sold 32,401 shares (~$26.21M)

Creed Joseph E, listed as Chief Executive Officer at CATERPILLAR INC, reported an open-market sale of 32,401 CAT shares in a Form 4 filing. This is a confirmed insider sale, not just a proposed sale notice.

The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.

Transactions reported on this filing
Code Nature Shares Price Value
M Option exercise 44,403 $219.76 $9.76M
F Tax withholding on vested shares 12,002 $812.98 $9.76M
S Open-market sale 480 $800.19 $384.1K
S Open-market sale 540 $801.10 $432.6K
S Open-market sale 280 $802.10 $224.6K
S Open-market sale 750 $803.39 $602.5K
S Open-market sale 520 $803.86 $418.0K
S Open-market sale 1,351 $805.36 $1.09M
S Open-market sale 3,382 $806.31 $2.73M
S Open-market sale 6,135 $807.41 $4.95M
S Open-market sale 2,639 $808.20 $2.13M
S Open-market sale 2,137 $809.08 $1.73M
S Open-market sale 3,041 $810.31 $2.46M
S Open-market sale 5,035 $811.31 $4.08M
S Open-market sale 1,280 $812.09 $1.04M
S Open-market sale 4,831 $813.72 $3.93M
M Option exercise derivative · Employee Stock options 44,403 $219.76 $9.76M
Filing: Form 4 (Insider Transaction) Insider: Creed Joseph E (Chief Executive Officer) Shares: 32,401 Est. Value: $26.21M
View on SEC EDGAR → Open Filing Document →
Form 4 Compensation award Tax / Compensation Filing 2026-08-27

CAT insider Form 4 filed for equity award, exercise, or tax withholding

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.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code Nature Shares Price Value
A Compensation award derivative · Phantom Stock Units 11 $821.93 $9.0K
A Compensation award derivative · Phantom Stock Units 7 $821.93 $5.8K
Filing: Form 4 (Insider Transaction) Insider: Epley Kyle Joseph (Chief Financial Officer)
View on SEC EDGAR → Open Filing Document →
Form 4 Compensation award Tax / Compensation Filing 2026-08-27

CAT insider Form 4 filed for equity award, exercise, or tax withholding

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.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code Nature Shares Price Value
A Compensation award derivative · Phantom Stock Units 11 $821.93 $9.0K
Filing: Form 4 (Insider Transaction) Insider: Kaiser Jason (Group President)
View on SEC EDGAR → Open Filing Document →
Form 4 Compensation award Tax / Compensation Filing 2026-08-27

CAT insider Form 4 filed for equity award, exercise, or tax withholding

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.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code Nature Shares Price Value
A Compensation award derivative · Phantom Stock Units 19 $821.93 $15.6K
Filing: Form 4 (Insider Transaction) Insider: Creed Joseph E (Chief Executive Officer)
View on SEC EDGAR → Open Filing Document →
Form 4 Compensation award Tax / Compensation Filing 2026-07-27

CAT insider Form 4 filed for equity award, exercise, or tax withholding

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.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code Nature Shares Price Value
A Compensation award derivative · Phantom Stock Units 5 $888.73 $4.4K
A Compensation award derivative · Phantom Stock Units 7 $888.73 $6.2K
Filing: Form 4 (Insider Transaction) Insider: Epley Kyle Joseph (Chief Financial Officer)
View on SEC EDGAR → Open Filing Document →
Form 4 Compensation award Tax / Compensation Filing 2026-07-27

CAT insider Form 4 filed for equity award, exercise, or tax withholding

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.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code Nature Shares Price Value
A Compensation award derivative · Phantom Stock Units 10 $888.73 $8.9K
Filing: Form 4 (Insider Transaction) Insider: Kaiser Jason (Group President)
View on SEC EDGAR → Open Filing Document →
Form 4 Compensation award Tax / Compensation Filing 2026-07-27

CAT insider Form 4 filed for equity award, exercise, or tax withholding

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.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code Nature Shares Price Value
A Compensation award derivative · Phantom Stock Units 18 $888.73 $16.0K
Filing: Form 4 (Insider Transaction) Insider: Creed Joseph E (Chief Executive Officer)
View on SEC EDGAR → Open Filing Document →
Form 4 Compensation award Tax / Compensation Filing 2026-07-01

CAT insider Form 4 filed for equity award, exercise, or tax withholding

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.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code Nature Shares Price Value
A Compensation award derivative · Phantom Stock Units 22 $1,055.33 $23.2K
Filing: Form 4 (Insider Transaction) Insider: MacLennan David (Director)
View on SEC EDGAR → Open Filing Document →
Form 4 Compensation award Tax / Compensation Filing 2026-06-29

CAT insider Form 4 filed for equity award, exercise, or tax withholding

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.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code Nature Shares Price Value
A Compensation award derivative · Phantom Stock Units 5 $997.47 $5.0K
Filing: Form 4 (Insider Transaction) Insider: Kaiser Jason (Group President)
View on SEC EDGAR → Open Filing Document →
Form 4 Compensation award Tax / Compensation Filing 2026-06-29

CAT insider Form 4 filed for equity award, exercise, or tax withholding

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.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code Nature Shares Price Value
A Compensation award derivative · Phantom Stock Units 16 $997.47 $16.0K
Filing: Form 4 (Insider Transaction) Insider: Creed Joseph E (Chief Executive Officer)
View on SEC EDGAR → Open Filing Document →
Form 4 Compensation award Tax / Compensation Filing 2026-06-29

CAT insider Form 4 filed for equity award, exercise, or tax withholding

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.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code Nature Shares Price Value
A Compensation award derivative · Phantom Stock Units 6 $997.47 $6.0K
Filing: Form 4 (Insider Transaction) Insider: Epley Kyle Joseph (Chief Financial Officer)
View on SEC EDGAR → Open Filing Document →
Proposed Insider Sales 1 · Form 144

A Form 144 is a notice of intent to sell restricted or control securities. It is not a record that anything was sold. Caterpillar Inc. has 1 such notice in this period.

The distinction matters because a Form 144 is frequently reported as though it were a completed insider sale. The filer may sell all of the shares covered, some of them, or none at all, and there is no obligation to update the notice either way. A sale that is actually executed by an officer or director shows up separately on a Form 4, which is the filing to check before treating a proposed sale as a real one.

Form 144 Large Proposed Insider Sale 2026-08-28

CAT Form 144 filed for proposed insider sale by JOSEPH E CREED (32,401 shares) ~$26.21M

JOSEPH E CREED 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.

Filing: Form 144 (Proposed Sale Notice) Insider: JOSEPH E CREED Shares: 32,401 Est. Value: $26.21M
View on SEC EDGAR → Open Filing Document →
Material Events 2 · Form 8-K

An 8-K reports a material event in the window between scheduled reports. There are 2 in this period for Caterpillar Inc. Each 8-K names the item number it is filed under, and that number is the fastest way to tell a routine disclosure from a consequential one.

Item 2.02 is an earnings release, Item 5.02 is a change of directors or officers, and Item 1.01 or 2.01 covers a material agreement or a completed acquisition. Item 7.01 and Item 8.01 are the general-purpose disclosure items and carry no fixed meaning on their own.

Form 8-K Material Company Update 2026-09-01

CAT filed 8-K — material company event

CATERPILLAR INC filed an 8-K with the SEC reporting a material event. Summary unavailable — view the original SEC filing for the full text.

Filing: 8-K (Material Event)
View on SEC EDGAR → Open Filing Document →
Form 8-K Material Company Update 2026-08-04

CAT filed 8-K — material company event

CATERPILLAR INC filed an 8-K with the SEC reporting a material event. Summary unavailable — view the original SEC filing for the full text.

Filing: 8-K (Material Event)
View on SEC EDGAR → Open Filing Document →
Periodic Reports 1 · Forms 10-K and 10-Q

The periodic reports are where the audited and reviewed financial statements live. This period contains 1 quarterly report (10-Q) for Caterpillar Inc.

The two are not equivalent in weight. A 10-K is audited by an external firm and includes the full risk factor disclosure, business description and management discussion; a 10-Q is unaudited, reviewed rather than examined, and much shorter. When a figure in a quarterly report is later revised, the annual report is usually where the correction appears.

An amended report — 10-K/A or 10-Q/A — restates or corrects something in the original filing, and is worth reading against the version it replaces.

Form 10-Q Quarterly Report 2026-08-05

CAT filed Quarterly Report (10-Q)

CATERPILLAR INC filed its quarterly report with the SEC. This report includes unaudited financial statements and management discussion for the quarter.

Filing: 10-Q (Quarterly Report)
View on SEC EDGAR → Open Filing Document →

How we classify Caterpillar Inc.'s filings

Straight from EDGAR

Each displayed record links to an original source document. StrongBuyAnalytics provides navigation and brief excerpts or summaries, not the filing itself. Parsing may omit context or contain errors, so read the original document in full.

Transaction codes, not guesswork

The nature shown on each insider filing comes from the transaction code the filer entered on the form itself — P for an open-market purchase, A for a compensation award, F for shares withheld to pay tax, M for an option exercise. Where one filing contains several codes, the transaction table lists them line by line.

Why the distinction matters

Insider activity is routinely summarised as buying or selling, which flattens together decisions that mean very different things. Shares withheld for tax on a vesting grant are an automatic administrative step; shares bought on the open market are someone committing their own money at the current price.

What this page does not tell you

A filing records what happened, not why. Form 4 does not always disclose whether a sale was executed under a pre-arranged Rule 10b5-1 plan, and no single filing is a basis for a decision on CAT. Read these alongside the fundamentals rather than in isolation.

Frequently Asked Questions — CAT SEC Filings

What SEC filings does Caterpillar Inc. submit to the SEC?

Caterpillar Inc. (CAT) submits several types of SEC filings including Form 4 (insider transactions), Form 144 (proposed insider sales), 8-K reports (material events such as earnings releases, acquisitions, leadership changes), and periodic reports — the 10-Q (quarterly) and 10-K (annual). All filings are publicly available through SEC EDGAR.

What does a Form 4 filing tell me about CAT?

A Form 4 for CAT discloses a transaction by a company insider — typically a director, officer, or 10%+ shareholder. It shows the source-reported date, number of shares, price, and updated ownership. These facts do not establish motive or predict future returns.

How do I interpret an 8-K filing from Caterpillar Inc.?

An 8-K signals a material event requiring prompt disclosure. Common triggers include earnings pre-announcements, acquisitions, leadership appointments or departures, credit changes, or regulatory actions. Read the item codes inside the filing to understand exactly what was disclosed before drawing conclusions.

What is the difference between a 10-K and 10-Q for CAT?

The 10-K is Caterpillar Inc.'s annual report with fully audited financial statements, comprehensive MD&A, and complete risk factor disclosures — filed 60–90 days after fiscal year-end. The 10-Q is a lighter quarterly report with unaudited financials filed for the first three quarters. Together they provide a continuous financial picture of the company.

Where can I see all CAT SEC filings directly on EDGAR?

You can view all historical Caterpillar Inc. filings on the SEC EDGAR company page for CAT. Each filing card on this page links directly to the original SEC document.

How often does Caterpillar Inc. file with the SEC?

Caterpillar Inc. files one 10-K per year and up to three 10-Qs per year. Form 4 insider transactions must be reported within two business days of each trade, so the frequency depends on how often insiders are buying or selling CAT shares. 8-K filings occur whenever a material event happens — which can be several times per quarter for an active company.

More Tools for CAT

CAT Full Stock Analysis CAT Live Chart Institutional Ownership Earnings Calendar Options Flow Scanner Semiconductor Demand Zone Tracker Sector Scanner Browse All Stocks

Want deeper CAT analysis?

View valuation, growth metrics, the rule-based stock-page score, demand zones, peer comparison, and more — all on the CAT stock analysis page.

CAT Full Analysis
Publisher, sources & limitations — September 15, 2026. StrongBuyAnalytics provides navigation and brief excerpts or summaries for educational use. Original filings remain at SEC EDGAR or other displayed source links; StrongBuyAnalytics does not author them. Filing dates are source dates, not publication dates for this page. Coverage can be delayed, incomplete, amended, or unavailable because of SEC/source availability, parsing, caching, or outages. Verify every material statement in the original filing.
Data Sources · Methodology · AI Disclosure · Corrections Policy · Disclaimer