Form 4 for CAT Caterpillar Inc.
Accepted 2026-05-15 17:29:05 ET · period of report 2026-05-14 · accession 0001104659-26-062809 · 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 | 2026-05-15 17:29 | 2026-05-14 | CAT | Johnson Denise C | Group Pres | M - OptEx | $196.70 | +16.1K | 65.9K | +32% | +$3.16M |
| D | 2026-05-15 17:29 | 2026-05-14 | CAT | Johnson Denise C | Group Pres | F - Tax | $910.55 | -3,473 | 62.4K | -5% | -$3.16M |
| DM | 2026-05-15 17:29 | 2026-05-14 | CAT | Johnson Denise C | Group Pres | S - Sale+OE | $907.91 | -12.6K | 49.8K | -20% | -$11.44M |
| D | 2026-05-15 17:29 | 2026-05-14 | CAT | Johnson Denise C | Group Pres | M - OptEx | $196.70 | -16.1K | 0 | -100% | -$3.16M |
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 | 2026-05-14 | M | A | 16,078 | $196.70 | 65,903 | D | — | — | |
| 2 | Common | Common Stock | 2026-05-14 | F | D | 3,473 | $910.55 | 62,430 | D | — | — | |
| 3 | Common | Common Stock | 2026-05-14 | S | D | 1,787 | $904.70 | 60,643 | D | — | — | (F1) This transaction was executed in multiple trades at prices ranging from $904.25 to $905.22. 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 | 2026-05-14 | S | D | 2,259 | $905.73 | 58,384 | D | — | — | (F2) This transaction was executed in multiple trades at prices ranging from $905.25 to $906.20. 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 | Common | Common Stock | 2026-05-14 | S | D | 1,491 | $906.73 | 56,893 | D | — | — | (F3) This transaction was executed in multiple trades at prices ranging from $906.25 to $907.22. 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 | Common | Common Stock | 2026-05-14 | S | D | 1,191 | $907.98 | 55,702 | D | — | — | (F4) This transaction was executed in multiple trades at prices ranging from $907.26 to $908.24. 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 |
| 7 | Common | Common Stock | 2026-05-14 | S | D | 2,302 | $908.76 | 53,400 | D | — | — | (F5) This transaction was executed in multiple trades at prices ranging from $908.27 to $909.25. 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 |
| 8 | Common | Common Stock | 2026-05-14 | S | D | 1,568 | $909.70 | 51,832 | D | — | — | (F6) This transaction was executed in multiple trades at prices ranging from $909.46 to $910.45. 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 |
| 9 | Common | Common Stock | 2026-05-14 | S | D | 402 | $910.65 | 51,430 | D | — | — | (F7) This transaction was executed in multiple trades at prices ranging from $910.62 to $910.89. 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 |
| 10 | Common | Common Stock | 2026-05-14 | S | D | 1,605 | $911.92 | 49,825 | D | — | — | (F8) This transaction was executed in multiple trades at prices ranging from $911.76 to $911.96. 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 |
| 11 | Derivative | Employee Stock Options | 2026-05-14 | M | D | 16,078 | $196.70 | 0 | D | $196.70 · — to 2032-03-07 | 16,078 Common Stock | (F9) 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. |