Caterpillar (NYSE: CAT) Chief Accounting Officer sells 360 shares at $906

Rhea-AI Filing Summary

Caterpillar Inc. Chief Accounting Officer William E. Schaupp sold 360 shares of Caterpillar common stock in an open-market transaction on May 13, 2026 at a price of $906 per share. Following this sale, he directly holds 530 shares of Caterpillar common stock.

Insider Trade Summary

Net Seller: 360 shares ($326,160)

Net Sell 1 txn

Insider Schaupp William E

Role Chief Accounting Officer

Sold 360 shs ($326K)

Type	Security	Shares	Price	Value
Sale	Common Stock	360	$906.00	$326K

Holdings After Transaction: Common Stock — 530 shares (Direct, null)

Footnotes (1)

Key Figures

Shares sold: 360 shares Sale price: $906 per share Shares held after sale: 530 shares

3 metrics

Shares sold 360 shares Open-market sale of Caterpillar common stock on May 13, 2026

Sale price $906 per share Transaction price per share for the May 13, 2026 sale

Shares held after sale 530 shares Total Caterpillar common shares directly owned after transaction

Key Terms

open-market sale, Common Stock, Chief Accounting Officer

3 terms

open-market sale financial

"described as an open-market sale of 360 shares of common stock"

An open-market sale is when a shareholder sells existing shares directly on a public exchange to any willing buyer, rather than through a private deal. Think of it like putting goods on a busy market stall where price is set by supply and demand; for investors it matters because such sales increase available supply, can put short-term downward pressure on the stock price, and signal changes in liquidity or investor confidence.

Common Stock financial

"security title for the transaction is listed as Common Stock"

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.

Chief Accounting Officer financial

"William E. Schaupp is identified as the Chief Accounting Officer"

A chief accounting officer is a senior executive responsible for overseeing a company's financial records and ensuring all accounting practices are accurate and compliant with regulations. They play a key role in preparing financial reports that help investors understand the company's financial health, much like a trusted navigator guiding a ship through complex waters. Their work ensures transparency and trust in the company's financial information.

Form 4 Insider Transactions: What Each Field Means →

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Schaupp William E

(Last) (First) (Middle)

5205 N. O'CONNOR BOULEVARD, SUITE 100

(Street)

IRVING TEXAS 75039

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
CATERPILLAR INC [ CAT ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	Chief Accounting Officer

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
05/13/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock	05/13/2026		S		360	D	$906	530	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

	/s/ Nicole Puza, POA for William Schaupp	05/14/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)

FAQ

What insider transaction did Caterpillar (CAT) report for William E. Schaupp?

Caterpillar reported that Chief Accounting Officer William E. Schaupp sold 360 shares of common stock in an open-market transaction on May 13, 2026, at a price of $906 per share.

At what price were the Caterpillar (CAT) shares sold in this Form 4 filing?

The 360 Caterpillar common shares were sold at a price of $906 per share. This price is explicitly disclosed as the transaction price per share for the May 13, 2026 open-market sale.

How many Caterpillar (CAT) shares does William E. Schaupp hold after the sale?

After the reported transaction, William E. Schaupp directly holds 530 shares of Caterpillar common stock. This post-transaction ownership figure is provided as the total shares following the sale.

What role does William E. Schaupp hold at Caterpillar (CAT) in this Form 4?

William E. Schaupp is identified as an officer of Caterpillar Inc., serving as the Chief Accounting Officer. The Form 4 lists this officer title alongside the reported open-market stock sale.

Was the Caterpillar (CAT) insider transaction a purchase or a sale?

The Caterpillar insider transaction was a sale. The Form 4 uses transaction code “S” and describes the event as an open-market sale of 360 shares of common stock at $906 per share.