Form 4 for CAT Caterpillar Inc.
Accepted 2026-02-03 00:00:00 ET · period of report 2026-02-02 · accession 0001104659-26-009704 · 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 | 2026-02-03 | 2026-02-02 | CAT | De Lange Bob | Group Pres | M - OptEx | $151.12 | +20.5K | 100.5K | +26% | +$3.10M |
| D | 2026-02-03 | 2026-02-02 | CAT | De Lange Bob | Group Pres | S - Sale+OE | $682.99 | -16.0K | 80.0K | -17% | -$10.91M |
| D | 2026-02-03 | 2026-02-02 | CAT | De Lange Bob | Group Pres | F - Tax | $683.41 | -4,535 | 95.9K | -5% | -$3.10M |
| D | 2026-02-03 | 2026-02-02 | CAT | De Lange Bob | Group Pres | M - OptEx | $151.12 | -20.5K | 0 | -100% | -$3.10M |
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 | 2026-02-02 | M | A | 20,512 | $151.12 | 100,465 | D | — | — | |
| 2 | Common | Common Stock | 2026-02-02 | S | D | 15,977 | $682.99 | 79,953 | D | — | — | (F1) This transaction was executed in multiple trades at prices ranging from $682.93 to $683.49. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to 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 | 2026-02-02 | F | D | 4,535 | $683.41 | 95,930 | D | — | — | |
| 4 | Derivative | Employee Stock Options | 2026-02-02 | M | D | 20,512 | $151.12 | 0 | D | $151.12 · — to 2028-03-05 | 20,512 Common Stock | (F2) The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 5, 2018 and vest equally in 1/3 increments in the first, second and thired anniversaries of the grant date. |