Form 4 for CAT Caterpillar Inc.
Accepted 2026-02-04 00:00:00 ET · period of report 2026-02-02 · accession 0001104659-26-010372 · 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 | 2026-02-04 | 2026-02-02 | CAT | Johnson Denise C | Group Pres | M - OptEx | $214.99 | +57.1K | 86.6K | +193% | +$12.28M |
| DM | 2026-02-04 | 2026-02-02 | CAT | Johnson Denise C | Group Pres | F - Tax | $683.39 | -18.0K | 74.1K | -20% | -$12.28M |
| DM | 2026-02-04 | 2026-02-02 | CAT | Johnson Denise C | Group Pres | S - Sale+OE | $681.08 | -39.1K | 44.5K | -47% | -$26.66M |
| DM | 2026-02-04 | 2026-02-02 | CAT | Johnson Denise C | Group Pres | M - OptEx | $214.99 | -57.1K | 24.0K | -70% | -$12.28M |
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 | 11,810 | $196.70 | 55,160 | D | — | — | |
| 2 | Common | Common Stock | 2026-02-02 | F | D | 3,399 | $683.39 | 51,761 | D | — | — | |
| 3 | Common | Common Stock | 2026-02-02 | S | D | 1,000 | $678.52 | 50,761 | D | — | — | (F1) This transaction was executed in multiple trades at prices ranging from $678.25 to $678.82. 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 | Common | Common Stock | 2026-02-02 | S | D | 7,411 | $680.11 | 43,350 | D | — | — | (F2) This transaction was executed in multiple trades at prices ranging from $679.35 to $680.32. 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. |
| 5 | Common | Common Stock | 2026-02-02 | M | A | 45,291 | $219.76 | 86,641 | D | — | — | |
| 6 | Common | Common Stock | 2026-02-02 | S | D | 1,138 | $684.93 | 43,350 | D | — | — | (F7) This transaction was executed in a trade at a price of $684.93. 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. |
| 7 | Common | Common Stock | 2026-02-02 | S | D | 1,431 | $680.11 | 72,646 | D | — | — | (F2) This transaction was executed in multiple trades at prices ranging from $679.35 to $680.32. 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. |
| 8 | Common | Common Stock | 2026-02-02 | S | D | 20,145 | $680.76 | 52,501 | D | — | — | (F3) This transaction was executed in multiple trades at prices ranging from $680.35 to $681.29. 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. |
| 9 | Common | Common Stock | 2026-02-02 | S | D | 2,994 | $681.69 | 49,507 | D | — | — | (F4) This transaction was executed in multiple trades at prices ranging from $681.35 to $682.33. 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. |
| 10 | Common | Common Stock | 2026-02-02 | S | D | 2,761 | $682.84 | 46,746 | D | — | — | (F5) This transaction was executed in multiple trades at prices ranging from $682.38 to $683.36. 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. |
| 11 | Common | Common Stock | 2026-02-02 | S | D | 2,258 | $683.90 | 44,488 | D | — | — | (F6) This transaction was executed in multiple trades at prices ranging from $683.37 to $684.33. 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. |
| 12 | Common | Common Stock | 2026-02-02 | F | D | 14,564 | $683.39 | 74,077 | D | — | — | |
| 13 | Derivative | Employee Stock Options | 2026-02-02 | M | D | 45,291 | $219.76 | 0 | D | $219.76 · — to 2031-03-01 | 45,291 Common Stock | (F9) 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 in the first, second and third anniversaries of the grant date. |
| 14 | Derivative | Employee Stock Options | 2026-02-02 | M | D | 11,810 | $196.70 | 23,978 | D | $196.70 · — to 2032-03-07 | 11,810 Common Stock | (F8) 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. |