Form 4 for CAT Caterpillar Inc.
Accepted 2026-02-03 00:00:00 ET · period of report 2026-02-02 · accession 0001104659-26-009707 · 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 | Fassino Anthony D. | Group Pres | M - OptEx | $196.70 | +15.0K | 56.2K | +36% | +$2.95M |
| D | 2026-02-03 | 2026-02-02 | CAT | Fassino Anthony D. | Group Pres | F - Tax | $681.45 | -4,329 | 51.8K | -8% | -$2.95M |
| D | 2026-02-03 | 2026-02-02 | CAT | Fassino Anthony D. | Group Pres | S - Sale+OE | $680.45 | -10.7K | 41.2K | -21% | -$7.26M |
| D | 2026-02-03 | 2026-02-02 | CAT | Fassino Anthony D. | Group Pres | M - OptEx | $196.70 | -15.0K | 8,228 | -65% | -$2.95M |
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 | 15,000 | $196.70 | 56,151 | D | — | — | |
| 2 | Common | Common Stock | 2026-02-02 | F | D | 4,329 | $681.45 | 51,822 | D | — | — | |
| 3 | Common | Common Stock | 2026-02-02 | S | D | 10,671 | $680.45 | 41,151 | D | — | — | (F1) The transaction was executed in multiple trades at prices ranging from $680.16 to $681.09. 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. |
| 4 | Derivative | Employee Stock options | 2026-02-02 | M | D | 15,000 | $196.70 | 8,228 | D | $196.70 · — to 2032-03-07 | 15,000 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 in the first, second and third anniversaries of the grant date. |