Form 4 for CAT Caterpillar Inc.
Accepted 2026-05-06 18:27:06 ET · period of report 2026-05-05 · accession 0001104659-26-056435 · 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 | 2026-05-06 18:27 | 2026-05-05 | CAT | Shurman Rodney Michael | Group Pres | M - OptEx | $253.98 | +5,639 | 8,185 | +221% | +$1.43M |
| DM | 2026-05-06 18:27 | 2026-05-05 | CAT | Shurman Rodney Michael | Group Pres | S - Sale+OE | $903.18 | -5,639 | 2,546 | -69% | -$5.09M |
| D | 2026-05-06 18:27 | 2026-05-05 | CAT | Shurman Rodney Michael | Group Pres | M - OptEx | $253.98 | -5,639 | 0 | -100% | -$1.43M |
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 | 2026-05-05 | M | A | 5,639 | $253.98 | 8,185 | D | — | — | |
| 2 | Common | Common Stock | 2026-05-05 | S | D | 5,152 | $903.14 | 3,033 | D | — | — | (F1) This transaction was executed in multiple trades at prices ranging from $902.44 to $903.42. 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 | 2026-05-05 | S | D | 487 | $903.55 | 2,546 | D | — | — | (F2) This transaction was executed in multiple trades at prices ranging from $903.44 to $903.59. 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 | 2026-05-05 | M | D | 5,639 | $253.98 | 0 | D | $253.98 · — to 2033-03-06 | 5,639 Common Stock | (F4) The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 6, 2023 and vest equally in 1/3 increments in the first, second and third anniversaries of the grant date. |