Form 4 for CAT Caterpillar Inc.
Accepted 2026-05-07 17:34:59 ET · period of report 2026-05-06 · accession 0001104659-26-057311 · 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 | 2026-05-07 17:34 | 2026-05-06 | CAT | Fassino Anthony D. | Group Pres | M - OptEx | $219.76 | +12.0K | 58.0K | +26% | +$2.64M |
| D | 2026-05-07 17:34 | 2026-05-06 | CAT | Fassino Anthony D. | Group Pres | F - Tax | $925.74 | -2,848 | 55.2K | -5% | -$2.64M |
| DM | 2026-05-07 17:34 | 2026-05-06 | CAT | Fassino Anthony D. | Group Pres | S - Sale+OE | $926.25 | -9,152 | 46.0K | -17% | -$8.48M |
| D | 2026-05-07 17:34 | 2026-05-06 | CAT | Fassino Anthony D. | Group Pres | M - OptEx | $219.76 | -12.0K | 21.4K | -36% | -$2.64M |
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 | 12,000 | $219.76 | 58,041 | D | — | — | |
| 2 | Common | Common Stock | 2026-05-06 | F | D | 2,848 | $925.74 | 55,193 | D | — | — | |
| 3 | Common | Common Stock | 2026-05-06 | S | D | 8,802 | $926.23 | 46,391 | D | — | — | (F1) This transaction was executed in multiple trades at prices ranging from $925.67 to $926.56. 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 | 2026-05-06 | S | D | 350 | $926.83 | 46,041 | D | — | — | (F2) This transaction was executed in multiple trades at prices ranging from $926.67 to $926.85. 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 | Derivative | Employee Stock Options | 2026-05-06 | M | D | 12,000 | $219.76 | 21,403 | D | $219.76 · — to 2031-03-01 | 12,000 Common Stock | (F4) 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 on the first, second and third anniversaries of the grant date. |