Form 4 for CAT Caterpillar Inc.
Accepted 2026-05-07 17:35:43 ET · period of report 2026-05-06 · accession 0001104659-26-057313 · 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 17:35 | 2026-05-06 | CAT | De Lange Bob | Group Pres | M - OptEx | $127.60 | +28.1K | 114.1K | +33% | +$3.59M |
| D | 2026-05-07 17:35 | 2026-05-06 | CAT | De Lange Bob | Group Pres | F - Tax | $923.38 | -3,883 | 110.3K | -3% | -$3.59M |
| DM | 2026-05-07 17:35 | 2026-05-06 | CAT | De Lange Bob | Group Pres | S - Sale+OE | $922.92 | -24.2K | 86.0K | -22% | -$22.35M |
| D | 2026-05-07 17:35 | 2026-05-06 | CAT | De Lange Bob | Group Pres | M - OptEx | $127.60 | -28.1K | 28.1K | -50% | -$3.59M |
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 | 28,105 | $127.60 | 114,134 | D | — | — | |
| 2 | Common | Common Stock | 2026-05-06 | F | D | 3,883 | $923.38 | 110,251 | D | — | — | |
| 3 | Common | Common Stock | 2026-05-06 | S | D | 14,470 | $922.55 | 95,781 | D | — | — | (F1) This transaction was executed in multiple trades at prices ranging from $922.08 to $923.07. 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 | 9,752 | $923.47 | 86,029 | D | — | — | (F2) This transaction was executed in multiple trades at prices ranging from $923.08 to $924.02. 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 | 28,105 | $127.60 | 28,105 | D | $127.60 · — to 2030-03-02 | 28,105 Common Stock | (F3) The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 2, 2020 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. |