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.
°ä²¹³Ù±ð°ù±è¾±±ô±ô²¹°ù’s equipment powers construction sites, mines, and energy projects on six continents—and its SEC filings map the financial engine behind those machines. From fluctuating dealer inventories to segment margins in Resource Industries, the disclosures track every bolt that moves global infrastructure spending. If you have ever searched for “Caterpillar SEC filings explained simplyâ€� or wondered how dealer backlog shifts affect cash flow, this page is built for you.
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Caterpillar (CAT) reported Q2 2025 results (three months ended 6/30/25) showing flat top-line but weaker profitability.
- Revenue: $16.57 bn, down 0.7% YoY. Machinery, Energy & Transportation (ME&T) sales dipped to $15.67 bn (-1.0%), while Financial Products revenue rose 5.4% to $895 m.
- Operating profit: $2.86 bn vs $3.48 bn, margin compressed 340 bp to 17.3% on higher cost of goods sold (+6.5%).
- Net profit: $2.18 bn (-18.7%); diluted EPS $4.62 (-15.7%).
- Six-month view: Revenue $30.82 bn (-5.1%), EPS $8.82 (-21.4%), underscoring a broad slowdown.
- Cash flow: Operating cash inflow of $4.41 bn (-13%), but free cash was negative after $1.27 bn capex and $608 m equipment leasing spend.
- Capital allocation: $4.49 bn spent on share buybacks YTD (10.2 m shares) and $1.34 bn in dividends ($2.92/sh). Treasury stock at cost rose to $48.0 bn; basic shares outstanding fell to 468.5 m.
- Balance sheet: Inventories climbed 10.5% YTD to $18.6 bn. ME&T long-term debt grew to $10.65 bn (+$2.09 bn), while cash declined to $5.44 bn from $6.89 bn.
- Equity & OCI: Shareholders� equity slipped 4.3% to $18.66 bn despite $623 m favorable FX translation gains.
Management attributes results to normal recurring conditions; no material restatements or going-concern issues disclosed.
Energy Vault (NRGV) filed an 8-K disclosing that its subsidiary, Cross Trails Energy Storage Project, LLC, entered into a $17.8 million senior secured term-loan with Wilmington Trust and a lending syndicate on 23 Jul 2025. The single-draw facility was fully funded at closing and will be used to cover project capex, operating costs, required reserves and permitted sponsor distributions for the Cross Trails battery-storage project.
The loan bears interest at 5.0% (ABR) or 6.0% (SOFR), subject to 200 bp step-ups/step-downs, amortises on a pre-agreed schedule and matures 23 Jul 2032. It is secured by a first-priority lien on substantially all project assets and membership interests. Covenants include restrictions on additional debt, liens and distributions, plus a minimum DSCR of 1.10×. Voluntary prepayment is allowed with make-whole premium; mandatory prepayment events cover insurance proceeds, asset sales, non-permitted debt/equity and other customary triggers. The company issued a press release on 24 Jul 2025 announcing the transaction (Exhibit 99.1).
Form 144 filed for Edwards Lifesciences (EW) discloses a planned insider sale of 4,114 common shares—acquired via equity compensation on 17-Feb-2023—through broker Charles Schwab. The shares represent <0.001% of the company’s ~586.6 million shares outstanding and carry an estimated market value of $326,900. The filer intends to execute the trade on or after 28-Jul-2025 on the NYSE.
The same insider, Daniel J. Lippis, previously sold 330 shares on 09-May-2025 for gross proceeds of $24,560. No other material information, earnings data, or corporate events are included in this notice.
Form 4 filing for Caterpillar Inc. (CAT) discloses that Chief Executive Officer Joseph E. Creed was credited with 35 phantom stock units on 07/25/2025 under the company’s Supplemental Deferred Compensation Plan (SDCP). Each unit is the economic equivalent of one CAT common share but will be settled 100 % in cash upon retirement or separation rather than converted to actual equity.
The units were added at an implied reference price of $433.75; 18 units reflect dividend-equivalent reinvestment and 17 units represent the company’s matching contribution. Following the transaction, Mr. Creed now beneficially owns 10,436 phantom stock units. No open-market purchase, sale, or direct ownership change in CAT common stock occurred, and all holdings remain direct (D) and entirely within the non-qualified deferred compensation structure.
Caterpillar (CAT) Form 4 � CFO Andrew R. J. Bonfield
On 07/17/2025 the CFO exercised two tranches of employee stock options, acquiring a total of 37,497 shares (14,186 at $196.70, exp. 03/07/2032; 23,311 at $253.98, exp. 03/06/2033). Simultaneously, he effected two F-code transactions—typically tax-related sales—disposing of 27,479 shares at $416.39 per share.
Post-transaction direct ownership stands at 65,422 CAT shares. One 2022 option grant is now fully exercised (zero remaining), while 11,655 options from the 2023 grant remain outstanding.
The filing results in a net increase of roughly 10,000 shares to the CFO’s direct stake, indicating ongoing alignment with shareholders, although the concurrent sales partially monetize gains at an all-time-high price level. Activity appears routine and does not alter control or capital structure.
Caterpillar Inc. (CAT) � Form 4 Insider Filing
Director David W. MacLennan reported the acquisition of 43 phantom stock units on 30 June 2025 under the company’s Director’s Deferred Compensation Plan. Each unit mirrors one share of Caterpillar common stock and is to be settled 100 % in cash when the director retires or leaves the board. The transaction, coded “A,� was executed at a reference price of $386.98 per underlying share, implying an incremental economic value of roughly $16.6 thousand. Following the award, MacLennan now beneficially owns 277 phantom stock units, all held directly. Because these units were granted in lieu of cash compensation, no open-market purchase or sale of Caterpillar equity occurred, and there is no immediate dilution or cash outflow for the company.
Caterpillar Group President Denise C. Johnson reported changes in beneficial ownership through phantom stock unit transactions on June 26, 2025. The insider acquired 26 phantom stock units under the company's non-qualified deferred compensation plan, with the following details:
- 13 shares credited at $381.88 per share
- 13 shares contributed at no cost per plan terms
- Total phantom stock units owned after transaction: 29,421 units
The phantom stock units are equivalent to Caterpillar common stock and will be settled 100% in cash upon retirement or separation. The units are part of an unfunded unitized company stock fund that includes both stock and cash components, with quantities subject to change based on fund composition and dividend adjustments.
Caterpillar Group President Jason Kaiser reported changes in beneficial ownership on June 26, 2025. The transaction involved the acquisition of phantom stock units under the company's non-qualified deferred compensation plan.
Key transaction details:
- Acquired 1 phantom stock unit at $381.88 per unit
- Total phantom stock units held after transaction: 4,984 units
- Units are economically equivalent to Caterpillar common stock
- Settlement terms: 100% cash upon retirement/separation
The phantom stock units represent interests in an unfunded unitized company stock fund comprising stock and cash. The number of units may fluctuate due to changes in cash/stock percentages and dividend adjustments. The filing was signed by Nicole Puza as power of attorney for Kaiser on June 27, 2025.
Caterpillar CEO Joseph E. Creed reported the acquisition of phantom stock units under the company's non-qualified deferred compensation plan on June 26, 2025. The transaction involved:
- Acquisition of 39 phantom stock units at $381.88 per unit
- 20 shares credited to account at $381.88 per share
- 19 shares contributed at no cost per plan terms
- Total beneficial ownership increased to 10,203 phantom stock units
The phantom stock units are equivalent to Caterpillar common stock and will be settled 100% in cash upon retirement or separation. The units are part of an unfunded unitized company stock fund that includes both stock and cash components, with quantities subject to change based on fund composition. The filing was signed by Nicole Puza as power of attorney for Creed on June 27, 2025.
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