Form 4 for CAT Caterpillar Inc.
Accepted 2026-09-01 12:32:37 ET · period of report 2026-08-28 · accession 0001104659-26-104202 · 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 | 2026-09-01 12:32 | 2026-08-28 | CAT | Creed Joseph E | CEO | M - OptEx | $219.76 | +44.4K | 79.0K | +128% | +$9.76M |
| D | 2026-09-01 12:32 | 2026-08-28 | CAT | Creed Joseph E | CEO | F - Tax | $812.98 | -12.0K | 67.0K | -15% | -$9.76M |
| DM | 2026-09-01 12:32 | 2026-08-28 | CAT | Creed Joseph E | CEO | S - Sale+OE | $808.98 | -32.4K | 34.6K | -48% | -$26.21M |
| D | 2026-09-01 12:32 | 2026-08-28 | CAT | Creed Joseph E | CEO | M - OptEx | $219.76 | -44.4K | 0 | -100% | -$9.76M |
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 | 2026-08-28 | M | A | 44,403 | $219.76 | 78,958 | D | — | — | (F1) This transaction includes dividends accrued. |
| 2 | Common | Common Stock | 2026-08-28 | F | D | 12,002 | $812.98 | 66,956 | D | — | — | |
| 3 | Common | Common Stock | 2026-08-28 | S | D | 480 | $800.19 | 66,476 | D | — | — | (F2) The transaction was executed in multiple trades at prices ranging from $799.67 to $800.63. 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 | 2026-08-28 | S | D | 540 | $801.10 | 65,936 | D | — | — | (F3) The transaction was executed in multiple trades at prices ranging from $800.68 to $801.53. 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 | 2026-08-28 | S | D | 280 | $802.10 | 65,656 | D | — | — | (F4) The transaction was executed in multiple trades at prices ranging from $801.68 to $802.25. 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. |
| 6 | Common | Common Stock | 2026-08-28 | S | D | 750 | $803.39 | 64,906 | D | — | — | (F5) The transaction was executed in multiple trades at prices ranging from $802.72 to $803.66. 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 | 2026-08-28 | S | D | 520 | $803.86 | 64,386 | D | — | — | (F6) The transaction was executed in multiple trades at prices ranging from $803.73 to $804.19. 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 | 2026-08-28 | S | D | 1,351 | $805.36 | 63,035 | D | — | — | (F7) The transaction was executed in multiple trades at prices ranging from $804.78 to $805.75. 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 | 2026-08-28 | S | D | 3,382 | $806.31 | 59,653 | D | — | — | (F8) The transaction was executed in multiple trades at prices ranging from $805.80 to $806.79. 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. |
| 10 | Common | Common Stock | 2026-08-28 | S | D | 6,135 | $807.41 | 53,518 | D | — | — | (F9) The transaction was executed in multiple trades at prices ranging from $806.85 to $807.83. 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 | Common | Common Stock | 2026-08-28 | S | D | 2,639 | $808.20 | 50,879 | D | — | — | (F10) The transaction was executed in multiple trades at prices ranging from $807.87 to $808.76. 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. |
| 12 | Common | Common Stock | 2026-08-28 | S | D | 2,137 | $809.08 | 48,742 | D | — | — | (F11) The transaction was executed in multiple trades at prices ranging from $808.81 to $809.59. 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. |
| 13 | Common | Common Stock | 2026-08-28 | S | D | 3,041 | $810.31 | 45,701 | D | — | — | (F12) The transaction was executed in multiple trades at prices ranging from $809.81 to $810.79. 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. |
| 14 | Common | Common Stock | 2026-08-28 | S | D | 5,035 | $811.31 | 40,666 | D | — | — | (F13) The transaction was executed in multiple trades at prices ranging from $810.81 to $811.73. 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. |
| 15 | Common | Common Stock | 2026-08-28 | S | D | 1,280 | $812.09 | 39,386 | D | — | — | (F14) The transaction was executed in multiple trades at prices ranging from $811.82 to $812.49. 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. |
| 16 | Common | Common Stock | 2026-08-28 | S | D | 4,831 | $813.72 | 34,555 | D | — | — | (F15) The transaction was executed in multiple trades at prices ranging from $813.23 to $813.86. 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. |
| 17 | Derivative | Employee Stock options | 2026-08-28 | M | D | 44,403 | $219.76 | 0 | D | $219.76 · — to 2031-03-01 | 44,403 Common Stock | (F17) 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 in the first, second and third anniversaries of the grant date. |