Form 4 for CAT Caterpillar Inc.
Accepted 2026-02-09 00:00:00 ET · period of report 2026-02-06 · accession 0001104659-26-011941 · 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 | 2026-02-09 | 2026-02-06 | CAT | Fassino Anthony D. | Group Pres | S - Sale+OE | $722.15 | -6,033 | 41.2K | -13% | -$4.36M |
| D | 2026-02-09 | 2026-02-06 | CAT | Fassino Anthony D. | Group Pres | F - Tax | $722.80 | -2,255 | 47.2K | -5% | -$1.63M |
| D | 2026-02-09 | 2026-02-06 | CAT | Fassino Anthony D. | Group Pres | M - OptEx | $196.70 | +8,288 | 49.4K | +20% | +$1.63M |
| D | 2026-02-09 | 2026-02-06 | CAT | Fassino Anthony D. | Group Pres | M - OptEx | $196.70 | -8,288 | 0 | -100% | -$1.63M |
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 | 2026-02-06 | S | D | 6,033 | $722.15 | 41,151 | D | — | — | |
| 2 | Common | Common Stock | 2026-02-06 | F | D | 2,255 | $722.80 | 47,184 | D | — | — | |
| 3 | Common | Common Stock | 2026-02-06 | M | A | 8,288 | $196.70 | 49,439 | D | — | — | |
| 4 | Derivative | Employee Stock Options | 2026-02-06 | M | D | 8,288 | $196.70 | 0 | D | $196.70 · — to 2032-03-07 | 8,288 Common Stock | (F1) 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 thired anniversaries of the grant date. |