Caterpillar exec gifts 294 company shares
CATERPILLAR INC Group President Jason Kaiser reported a gift of company stock.
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Form Type
4
Rhea-AI Filing Summary
CATERPILLAR INC Group President Jason Kaiser reported a gift of company stock. He made a bona fide gift transfer of 294 shares of Caterpillar common stock at a stated price of $0.00 per share, which represents a donation to a Donor Advised Fund.
After this gift, Kaiser directly holds 9,300 shares of Caterpillar common stock. He also has an indirect holding of 368 shares through a 401(k) plan, based on a plan statement dated as of April 30, 2026.
Insider Trade Summary
294 shares gifted
Gift
2 txns
Insider
Kaiser Jason
Role
Group President
| Type | Security | Shares | Price | Value |
|---|---|---|---|---|
| Gift | Common Stock | 294 | $0.00 | $0.00 |
| holding | Common Stock | -- | -- | -- |
Holdings After Transaction:
Common Stock — 9,300 shares (Direct);
Common Stock — 368 shares (Indirect, Held by 401(k) plan)
Footnotes (2)
- F1. Represents a donation of ordinary shares to a Donor Advised Fund.
- F2. The information in this report is based on a 401(k) plan statement dated as of April 30, 2026.
Key Figures
Shares gifted: 294 shares
Direct holdings after gift: 9,300 shares
401(k) plan holdings: 368 shares
+3 more
6 metrics
Shares gifted
294 shares
Bona fide gift of Caterpillar common stock
Direct holdings after gift
9,300 shares
Common stock held directly following transaction
401(k) plan holdings
368 shares
Indirect holdings in 401(k) plan as of April 30, 2026
Gift price per share
$0.00 per share
Reported value for bona fide gift transfer
Gift transactions
1 transaction
TransactionSummary giftCount for this Form 4
Gifted share count (summary)
294 shares
TransactionSummary giftShares total
Key Terms
bona fide gift, Donor Advised Fund, 401(k) plan, Common Stock
4 terms
bona fide gift financial
"transaction_code_description: "Bona fide gift" for the 294-share transfer"
A bona fide gift is a genuine, voluntary transfer of money, property, or benefits from one party to another made without expectation of repayment, services, or hidden conditions. Investors care because such gifts can affect company disclosures, related‑party transaction rules, tax treatment, and perceived conflicts of interest; think of it like someone giving you a present with no strings attached — but on a corporate scale, auditors and regulators need to verify it really is unconditional.
Donor Advised Fund financial
"Footnote states the shares were donated to a Donor Advised Fund"
A donor advised fund is a charitable savings account you fund with cash or assets (including stocks) that lets you take an immediate tax benefit while recommending when and which charities receive grants over time. Think of it like a dedicated piggy bank for giving: you get tax relief when you put money in, can avoid selling appreciated securities and triggering capital gains, and still control the timing and recipients of donations, which affects tax planning, portfolio decisions, and public giving signals.
401(k) plan financial
"Nature of ownership notes shares are "Held by 401(k) plan""
A 401(k) plan is a workplace retirement account that lets employees set aside part of their pay into a tax-advantaged savings pot, often with employers adding matching contributions — like a workplace piggy bank for future income. It matters to investors because the amount people save and how employers fund these plans influence consumer spending, corporate payroll costs and the flow of money into financial markets, which can affect stock prices and company valuations.
Common Stock financial
"security_title is listed as "Common Stock" for the transactions"
Common stock represents ownership shares in a company, giving investors a stake in its success and a say in important decisions through voting rights. It is the most common type of stock traded on markets and can provide income through dividends, as well as potential for value growth. For investors, holding common stock means sharing in the company’s profits and risks.
FAQ
AI-generated questions and answers. How Rhea-AI works. Not financial advice.
What insider transaction did Jason Kaiser report for CATERPILLAR INC (CAT)?
Jason Kaiser reported a bona fide gift of 294 shares of Caterpillar common stock. The filing describes this as a donation of ordinary shares to a Donor Advised Fund, rather than an open-market sale or purchase transaction affecting trading volume.
Was the CATERPILLAR INC (CAT) insider transaction a sale or a gift?
The transaction was a bona fide gift, not a sale. The Form 4 lists transaction code G and describes it as a bona fide gift, with 294 shares transferred at a price of $0.00 per share as a donation to a Donor Advised Fund.
What does the 401(k) plan entry mean in Jason Kaiser’s CATERPILLAR INC (CAT) filing?
The 401(k) entry reflects 368 Caterpillar shares held indirectly in a retirement plan. The filing notes that this information is based on a 401(k) plan statement dated April 30, 2026, indicating updated plan holdings rather than a new market transaction in the company’s stock.
AI-generated analysis. How Rhea-AI works. Not financial advice.
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