Form 4 for CAT Caterpillar Inc.
Accepted 2025-11-12 00:00:00 ET · period of report 2025-11-10 · accession 0001104659-25-110257 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2025-11-12 | 2025-11-10 | CAT | Fassino Anthony D. | Group Pres | F - Tax | $569.56 | -4,316 | 49.7K | -8% | -$2.46M |
| D | 2025-11-12 | 2025-11-10 | CAT | Fassino Anthony D. | Group Pres | M - OptEx | $196.70 | +12.5K | 54.0K | +30% | +$2.46M |
| D | 2025-11-12 | 2025-11-10 | CAT | Fassino Anthony D. | Group Pres | S - Sale+OE | $570.18 | -8,184 | 41.5K | -16% | -$4.67M |
| D | 2025-11-12 | 2025-11-10 | CAT | Fassino Anthony D. | Group Pres | M - OptEx | $196.70 | -12.5K | 23.3K | -35% | -$2.46M |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2025-11-10 | F | D | 4,316 | $569.56 | 49,696 | D | — | — | |
| 2 | Common | Common Stock | 2025-11-10 | M | A | 12,500 | $196.70 | 54,012 | D | — | — | (F1) Includes adjustments for dividends accrued. |
| 3 | Common | Common Stock | 2025-11-10 | S | D | 8,184 | $570.18 | 41,512 | D | — | — | |
| 4 | Derivative | Employee Stock Options | 2025-11-10 | M | D | 12,500 | $196.70 | 23,288 | D | $196.70 · — to 2032-03-07 | 12,500 Common Stock | (F3) The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 7, 2022 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. |