Form 4 for CAT Caterpillar Inc.
Accepted 2026-02-05 00:00:00 ET · period of report 2026-02-04 · accession 0001104659-26-010849 · 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 | 2026-02-05 | 2026-02-04 | CAT | De Lange Bob | Group Pres | S - Sale+OE | $704.97 | -16.1K | 80.0K | -17% | -$11.33M |
| D | 2026-02-05 | 2026-02-04 | CAT | De Lange Bob | Group Pres | M - OptEx | $138.35 | +20.0K | 100.0K | +25% | +$2.77M |
| D | 2026-02-05 | 2026-02-04 | CAT | De Lange Bob | Group Pres | F - Tax | $704.04 | -3,930 | 96.0K | -4% | -$2.77M |
| D | 2026-02-05 | 2026-02-04 | CAT | De Lange Bob | Group Pres | M - OptEx | $138.35 | -20.0K | 28.0K | -42% | -$2.77M |
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 | 2026-02-04 | S | D | 9,223 | $704.42 | 86,800 | D | — | — | (F1) This transaction was executed in multiple trades at prices ranging from $704.22 to $705.21. 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. |
| 2 | Common | Common Stock | 2026-02-04 | S | D | 30 | $706.28 | 79,953 | D | — | — | (F3) This transaction was executed in a trade at a price of $706.28. 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 | 2026-02-04 | M | A | 20,000 | $138.35 | 99,953 | D | — | — | |
| 4 | Common | Common Stock | 2026-02-04 | F | D | 3,930 | $704.04 | 96,023 | D | — | — | |
| 5 | Common | Common Stock | 2026-02-04 | S | D | 6,817 | $705.70 | 79,983 | D | — | — | (F2) This transaction was executed in multiple trades at prices ranging from $705.26 to $706.24. 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. |
| 6 | Derivative | Employee Stock Options | 2026-02-04 | M | D | 20,000 | $138.35 | 28,034 | D | $138.35 · — to 2029-03-04 | 20,000 Common Stock | (F4) The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 4, 2019 and vest equally in 1/3 increments in the first, second and third anniversaries of the grant date. |