Form 4 for CAT Caterpillar Inc.
Accepted 2025-11-13 00:00:00 ET · period of report 2025-11-11 · accession 0001104659-25-111091 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2025-11-13 | 2025-11-11 | CAT | Kaiser Jason | Group Pres | M - OptEx | $208.83 | +16.9K | 16.6K | New | +$3.53M |
| DM | 2025-11-13 | 2025-11-11 | CAT | Kaiser Jason | Group Pres | S - Sale+OE | $563.60 | -10.7K | 11.7K | -48% | -$6.03M |
| DM | 2025-11-13 | 2025-11-11 | CAT | Kaiser Jason | Group Pres | F - Tax | $570.85 | -6,174 | 14.1K | -30% | -$3.52M |
| DM | 2025-11-13 | 2025-11-11 | CAT | Kaiser Jason | Group Pres | M - OptEx | $208.83 | -16.9K | 0 | -100% | -$3.53M |
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 | 2025-11-11 | M | A | 8,881 | $219.76 | 17,530 | D | — | — | (F1) Includes adjustments for dividends accrued. |
| 2 | Common | Common Stock | 2025-11-11 | S | D | 380 | $567.35 | 9,281 | D | — | — | (F13) This transaction was entered as multiple trades, as prices ranging from $566.87 to $567.71. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. |
| 3 | Common | Common Stock | 2025-11-11 | S | D | 460 | $564.09 | 9,661 | D | — | — | (F12) This transaction was entered as multiple trades, as prices ranging from $563.70 to $564.50. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. |
| 4 | Common | Common Stock | 2025-11-11 | S | D | 1,480 | $563.22 | 10,121 | D | — | — | (F11) This transaction was entered as multiple trades, as prices ranging from $562.81 to $563.65. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. |
| 5 | Common | Common Stock | 2025-11-11 | S | D | 1,260 | $562.15 | 11,601 | D | — | — | (F10) This transaction was entered as multiple trades, as prices ranging from $561.77 to $562.70. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. |
| 6 | Common | Common Stock | 2025-11-11 | S | D | 1,032 | $561.29 | 12,861 | D | — | — | (F9) This transaction was entered as multiple trades, as prices ranging from $560.79 to $561.73. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. |
| 7 | Common | Common Stock | 2025-11-11 | F | D | 2,756 | $570.85 | 13,893 | D | — | — | |
| 8 | Common | Common Stock | 2025-11-11 | M | A | 8,000 | $196.70 | 16,649 | D | — | — | |
| 9 | Common | Common Stock | 2025-11-11 | S | D | 653 | $568.60 | 8,649 | D | — | — | (F8) This transaction was entered as multiple trades, as prices ranging from $568.07 to $568.72. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. |
| 10 | Common | Common Stock | 2025-11-11 | S | D | 400 | $567.26 | 9,302 | D | — | — | (F7) This transaction was entered as multiple trades, as prices ranging from $566.87 to $567.71. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. |
| 11 | Common | Common Stock | 2025-11-11 | S | D | 37 | $565.06 | 9,702 | D | — | — | (F6) This transaction was entered as multiple trades at $565.06. The reporting person hereby undertakes to provide upon request of the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. |
| 12 | Common | Common Stock | 2025-11-11 | S | D | 280 | $563.88 | 9,739 | D | — | — | (F5) This transaction was entered as multiple trades, as prices ranging from $563.87 to $563.79. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. |
| 13 | Common | Common Stock | 2025-11-11 | S | D | 1,640 | $563.22 | 10,019 | D | — | — | (F4) This transaction was entered as multiple trades, as prices ranging from $562.81 to $563.79. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. |
| 14 | Common | Common Stock | 2025-11-11 | S | D | 632 | $568.65 | 8,649 | D | — | — | (F14) This transaction was entered as multiple trades, as prices ranging from $568.03 to $569.41. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. |
| 15 | Common | Common Stock | 2025-11-11 | F | D | 3,418 | $570.85 | 14,112 | D | — | — | |
| 16 | Common | Common Stock | 2025-11-11 | S | D | 1,040 | $561.29 | 13,072 | D | — | — | (F2) This transaction was entered as multiple trades, as prices ranging from $560.79 to $561.73. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. |
| 17 | Common | Common Stock | 2025-11-11 | S | D | 1,413 | $562.27 | 11,659 | D | — | — | (F3) This transaction was entered as multiple trades, as prices ranging from $561.77 to $562.76. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. |
| 18 | Derivative | Employee Stock Options | 2025-11-11 | M | D | 8,881 | $219.76 | 0 | D | $219.76 · — to 2031-03-01 | 8,881 Common Stock | (F16) The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 1, 2021 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. |
| 19 | Derivative | Employee Stock Options | 2025-11-11 | M | D | 8,000 | $196.70 | 0 | D | $196.70 · — to 2032-03-07 | 8,000 Common Stock | (F17) 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. |