Form 4 for CAT Caterpillar Inc.
Accepted 2026-05-12 13:37:37 ET · period of report 2026-05-11 · accession 0001104659-26-059243 · 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 | 2026-05-12 13:37 | 2026-05-11 | CAT | Fassino Anthony D. | Group Pres | M - OptEx | $219.76 | +21.4K | 67.4K | +46% | +$4.70M |
| D | 2026-05-12 13:37 | 2026-05-11 | CAT | Fassino Anthony D. | Group Pres | F - Tax | $918.65 | -5,120 | 62.3K | -8% | -$4.70M |
| DM | 2026-05-12 13:37 | 2026-05-11 | CAT | Fassino Anthony D. | Group Pres | S - Sale+OE | $916.80 | -16.3K | 46.0K | -26% | -$14.93M |
| D | 2026-05-12 13:37 | 2026-05-11 | CAT | Fassino Anthony D. | Group Pres | M - OptEx | $219.76 | -21.4K | 0 | -100% | -$4.70M |
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 | 2026-05-11 | M | A | 21,403 | $219.76 | 67,444 | D | — | — | |
| 2 | Common | Common Stock | 2026-05-11 | F | D | 5,120 | $918.65 | 62,324 | D | — | — | |
| 3 | Common | Common Stock | 2026-05-11 | S | D | 15,440 | $916.75 | 46,884 | D | — | — | (F1) This transaction was executed in multiple trades at prices ranging from $916.39 to $917.31. 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 | 2026-05-11 | S | D | 843 | $917.73 | 46,041 | D | — | — | (F2) This transaction was executed in multiple trades at prices ranging from $917.40 to $917.79. 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 | 2026-05-11 | M | D | 21,403 | $219.76 | 0 | D | $219.76 · — to 2031-03-01 | 21,403 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. |