Form 4 for CAT Caterpillar Inc.
Accepted 2026-05-14 14:47:44 ET · period of report 2026-05-13 · accession 0001104659-26-061036 · 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 | 2026-05-14 14:47 | 2026-05-13 | CAT | Johnson Denise C | Group Pres | M - OptEx | $196.70 | +7,900 | 57.7K | +16% | +$1.55M |
| D | 2026-05-14 14:47 | 2026-05-13 | CAT | Johnson Denise C | Group Pres | F - Tax | $911.61 | -1,704 | 56.0K | -3% | -$1.55M |
| DM | 2026-05-14 14:47 | 2026-05-13 | CAT | Johnson Denise C | Group Pres | S - Sale+OE | $909.79 | -6,196 | 49.8K | -11% | -$5.64M |
| D | 2026-05-14 14:47 | 2026-05-13 | CAT | Johnson Denise C | Group Pres | M - OptEx | $196.70 | -7,900 | 16.1K | -33% | -$1.55M |
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 | 2026-05-13 | M | A | 7,900 | $196.70 | 57,725 | D | — | — | |
| 2 | Common | Common Stock | 2026-05-13 | F | D | 1,704 | $911.61 | 56,021 | D | — | — | |
| 3 | Common | Common Stock | 2026-05-13 | S | D | 3,546 | $909.46 | 52,475 | D | — | — | (F1) This transaction was executed in multiple trades at prices ranging from $909.10 to $910.08. 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 | 2026-05-13 | S | D | 2,650 | $910.24 | 49,825 | D | — | — | (F2) This transaction was executed in multiple trades at prices ranging from $910.17 to $910.47. 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 | 2026-05-13 | M | D | 7,900 | $196.70 | 16,078 | D | $196.70 · — to 2032-03-07 | 7,900 Common Stock | (F3) The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 7, 2022 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. |