Form 4 for CAT Caterpillar Inc.
Accepted 2026-05-07 17:34:23 ET · period of report 2026-05-06 · accession 0001104659-26-057309 · 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 | 2026-05-07 17:34 | 2026-05-06 | CAT | BONFIELD ANDREW R J | CFO Emeritus | M - OptEx | $294.78 | +23.1K | 76.0K | +44% | +$6.80M |
| D | 2026-05-07 17:34 | 2026-05-06 | CAT | BONFIELD ANDREW R J | CFO Emeritus | F - Tax | $920.72 | -7,380 | 68.6K | -10% | -$6.79M |
| D | 2026-05-07 17:34 | 2026-05-06 | CAT | BONFIELD ANDREW R J | CFO Emeritus | S - Sale+OE | $918.71 | -15.7K | 52.9K | -23% | -$14.40M |
| DM | 2026-05-07 17:34 | 2026-05-06 | CAT | BONFIELD ANDREW R J | CFO Emeritus | M - OptEx | $294.78 | -23.1K | 7,450 | -76% | -$6.80M |
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 | 2026-05-06 | M | A | 11,655 | $253.98 | 64,590 | D | — | — | |
| 2 | Common | Common Stock | 2026-05-06 | M | A | 7,673 | $338.65 | 72,263 | D | — | — | |
| 3 | Common | Common Stock | 2026-05-06 | M | A | 3,726 | $332.04 | 75,989 | D | — | — | |
| 4 | Common | Common Stock | 2026-05-06 | F | D | 7,380 | $920.72 | 68,609 | D | — | — | |
| 5 | Common | Common Stock | 2026-05-06 | S | D | 15,674 | $918.71 | 52,935 | D | — | — | (F1) This transaction was executed in multiple trades at prices ranging from $918.50 to $919.33. 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. |
| 6 | Derivative | Employee Stock Options | 2026-05-06 | M | D | 11,655 | $253.98 | 0 | D | $253.98 · — to 2033-03-06 | 11,655 Common Stock | (F2) 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 on the first, second and third anniversaries of the grant date. |
| 7 | Derivative | Employee Stock Options | 2026-05-06 | M | D | 7,673 | $338.65 | 3,836 | D | $338.65 · — to 2024-03-04 | 7,673 Common Stock | (F3) The stock options were granted pursuant to the Caterpillar Inc. 2023 Long-Term Incentive Plan on March 4, 2024 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. |
| 8 | Derivative | Employee Stock Options | 2026-05-06 | M | D | 3,726 | $332.04 | 7,450 | D | $332.04 · — to 2035-03-03 | 3,726 Common Stock | (F4) The stock options were granted pursuant to the Caterpillar Inc. 2023 Long-Term Incentive Plan on March 3, 2025 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. |