Every Form 4 that Caterpillar (CAT) has filed with the SEC in the last 12 months is listed below, newest first, and each one links through to the document itself with the summary and the scores our analysis gives it.
A Form 4 covers the transactions officers, directors and large holders report, so if you follow CAT and want that one kind of document rather than the whole filing history, this is the page to keep. The company's other filings, of every form, are on the full CAT filings page.
CATERPILLAR INC (CAT) reported insider equity transactions by Chief Executive Officer Joseph E. Creed on August 28, 2026. Creed exercised 44,403 employee stock options at an exercise price of $219.76 per share, receiving the same number of Caterpillar common shares. The options were granted under the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 1, 2021 and vest in three equal annual installments.
In connection with the exercise, 12,002 shares of common stock were delivered or withheld to pay the exercise price or tax liability. Creed also executed multiple open-market sales totaling 32,401 shares of common stock at weighted average prices generally between $799.67 and $813.86 per share, with each sale reported in price ranges via footnotes. Following these transactions, he continued to have 11,839 shares of Caterpillar common stock held indirectly through a 401(k) plan as of July 31, 2026.
CATERPILLAR INC (CAT) reported that its Chief Financial Officer received grants of phantom stock units under company deferred compensation plans. On 2026-08-26, the reporting person acquired 11 phantom stock units and a separate award of 7 phantom stock units, each economically equivalent to one share of Caterpillar common stock. Some units reflect excess contributions credited at $821.93 per unit and others were contributed under plan terms for no consideration. These phantom units are settled 100% in cash upon retirement or separation, and their deemed number may vary over time because they represent interests in a unitized company stock fund with both stock and cash.
CATERPILLAR INC (CAT) reported that Group President Jason Kaiser acquired 11 Phantom Stock Units tied to Caterpillar common stock under a non-qualified deferred compensation plan. Of these, 6 units were credited at $821.93 per unit and 5 units were contributed with no consideration. These phantom units are economically equivalent to common shares but will be settled 100% in cash upon retirement or separation from service. Following this grant, Kaiser holds 5,476 Phantom Stock Units, which include adjustments for dividends within a unitized company stock fund of stock and cash.
CATERPILLAR INC (CAT) reported that Chief Executive Officer Joseph E. Creed received an acquisition of 19 Phantom Stock Units linked to Caterpillar common stock. These units, economically equivalent to one share each, increased his direct holdings in this plan to 11,291 Phantom Stock Units. The award reflects 10 units credited at $821.93 per unit and 9 units contributed under the Supplemental Deferred Compensation Plan for no consideration. The units will be settled 100% in cash upon his retirement or separation from service and are adjusted over time for dividends and the cash/stock mix in the unitized company stock fund.
Caterpillar Inc. Chief Financial Officer Kyle Joseph Epley reported two compensation-related acquisitions totaling 12 phantom stock units on July 24, 2026 under company deferred compensation plans. Each unit is generally the economic equivalent of one share of Caterpillar common stock and will be settled 100% in cash upon his retirement or separation from service.
The first acquisition covered 5 phantom stock units, including 3 units credited from excess contributions at $888.73 per unit and 2 units contributed for no consideration, with adjustments for accrued dividends inside a unitized stock-and-cash fund. A separate acquisition added 7 phantom stock units on the same date.
Kaiser Jason reported acquisition or exercise transactions in this Form 4 filing.
Caterpillar Inc. Group President Jason Kaiser received a grant of 10 phantom stock units on 2026-07-24 under a non-qualified deferred compensation plan, increasing his holdings to 5,567 phantom units. Each unit is generally the economic equivalent of one share and will be settled 100% in cash at retirement or separation from service. The grant includes 5 units credited at $888.73 per unit and 5 units contributed for no consideration, with balances adjusted over time for accrued dividends within a unitized company stock fund.
Creed Joseph E reported acquisition or exercise transactions in this Form 4 filing.
Caterpillar Inc. chief executive officer Joseph E. Creed received an award of 18 phantom stock units under a supplemental deferred compensation plan, with 9 units credited at an attributed price of $888.73 per unit and 9 units contributed for no consideration.
Following this grant, he is credited with a total of 11,483 phantom stock units, each generally economically equivalent to one share of Caterpillar common stock and payable 100% in cash upon retirement or separation from service.
MacLennan David reported acquisition or exercise transactions in this Form 4 filing.
Caterpillar Inc. director David MacLennan received a grant of 22 phantom stock units, each generally equal in value to one share of Caterpillar common stock. These units were awarded in lieu of director cash compensation under the company’s Directors' Deferred Compensation Plan and are to be settled entirely in cash upon his retirement or separation from service. Following this grant and related dividend adjustments, his total phantom stock unit balance is 476 units.
Kaiser Jason reported acquisition or exercise transactions in this Form 4 filing.
Caterpillar Inc. Group President Jason Kaiser received an award of 5 Phantom Stock Units tied to Caterpillar common stock. The units were valued at $997.47 per unit under the company’s non-qualified deferred compensation plan, bringing his total phantom stock units to 5,831. These units are economic equivalents of shares but will be settled 100% in cash upon his retirement or separation from service, so they do not involve open-market buying or selling of stock.
Creed Joseph E reported acquisition or exercise transactions in this Form 4 filing.
Caterpillar Inc. Chief Executive Officer Joseph E. Creed reported a compensation-related grant of 16 Phantom Stock Units tied to Caterpillar common stock. Each unit is generally the economic equivalent of one share and is held under non-qualified deferred compensation plans, bringing his total reported phantom units to 12,028. Eight units were credited to his account at a price of $997.47 per unit and eight units were contributed for no consideration. These phantom stock units will be settled 100% in cash upon his retirement or separation from service.
Epley Kyle Joseph reported acquisition or exercise transactions in this Form 4 filing.
Caterpillar Inc. Chief Financial Officer Kyle Joseph Epley received a grant of 6 phantom stock units under the company’s non-qualified deferred compensation plan. Each phantom stock unit is generally the economic equivalent of one share of Caterpillar common stock and is settled 100% in cash upon retirement or separation from service.
Following this award, Epley is credited with 6,242 phantom stock units. The balance can change over time because the units reflect an unfunded unitized company stock fund that includes both stock and cash, and is also adjusted for accrued dividends.
WILKINS RAYFORD JR reported acquisition or exercise transactions in this Form 4 filing.
Caterpillar Inc. director Rayford Wilkins Jr reported a stock award of 211 shares of Caterpillar common stock. The shares were granted at a price of $0.00 per share, indicating a compensation-related award rather than an open-market purchase. Following this grant, his directly held position increased to 8,416 shares. A footnote notes that this total includes adjustments for dividends that have accrued, which slightly alters the share count over time.
SCHWAB SUSAN C reported acquisition or exercise transactions in this Form 4 filing.
Caterpillar Inc. director Susan C. Schwab received a grant of 211 shares of Common Stock on June 10, 2026. The shares were awarded at $0.00 per share, reflecting a compensation-related grant rather than an open-market purchase. Following this award, she directly holds 6,197 Caterpillar shares, including adjustments for dividends accrued noted in the filing.
Caterpillar Inc. director Debra L. Reed received an award of 211 shares of Caterpillar common stock on June 10, 2026. This was a grant-type acquisition with no purchase price. After the award, she directly holds 13,204 shares, including adjustments for dividends accrued.
Caterpillar Inc. director Judith Fran Marks received an award of 211 shares of common stock on June 10, 2026 at no cash cost, as a grant or other acquisition. Following this award, she directly holds 1,938 Caterpillar shares, reflecting routine equity-based director compensation.
Caterpillar Inc. director David MacLennan received 211 shares of Common Stock as a grant or award on June 10, 2026. The shares were acquired at a stated price of $0.00 per share, bringing his directly held total to 8,420 shares, including adjustments for dividends accrued.
KEENE NAZZIC S reported acquisition or exercise transactions in this Form 4 filing.
Caterpillar Inc. director Nazzic S. Keene received a grant of 211 shares of Caterpillar common stock, recorded at a price of $0.00 per share as a compensation-related award. Following this Form 4 transaction, Keene directly holds 728 shares of Caterpillar common stock, including adjustments for dividends accrued.
Caterpillar Inc. director Gerald Johnson received a grant of 211 shares of Common Stock on June 10, 2026, classified as a “grant, award, or other acquisition” with no purchase price. Following this award, he directly holds 3,907 shares. The position includes adjustments for dividends accrued.
Fish James C Jr reported acquisition or exercise transactions in this Form 4 filing.
Caterpillar Inc. director James C. Fish Jr. reported a compensation-related equity award rather than an open-market trade. He received 211 shares of Caterpillar common stock with a per-share price of $0.00 under a grant or award, bringing his direct holdings to 3,687 shares.
The filing also shows indirect holdings of 250 shares in The Stephanie M. Fish GST Trust and 250 shares in The Nicole M. Fish GST Trust, both referenced as trust-held common stock. A footnote notes these figures include adjustments for dividends accrued.
Creed Joseph E reported acquisition or exercise transactions in this Form 4 filing.
Caterpillar Inc. CEO Joseph E. Creed reported a compensation-related award of 18 phantom stock units tied to Caterpillar common stock. The grant, recorded at a reference price of $908.55 per unit, increased his phantom stock unit balance to 11,001 units.
The filing notes that 9 units were credited under Caterpillar's Supplemental Deferred Compensation Plan at $908.55 per unit and 9 additional units were contributed under the plan for no cash consideration. Each phantom unit generally tracks the value of one share of Caterpillar common stock and will be settled 100% in cash upon his retirement or separation from service.
Epley Kyle Joseph reported acquisition or exercise transactions in this Form 4 filing.
Caterpillar Inc. Chief Financial Officer Kyle Joseph Epley received a compensation-related award of phantom stock units. On this Form 4, he was granted 6 phantom stock units under a non-qualified deferred compensation plan, each generally the economic equivalent of one share of Caterpillar common stock.
Following this award, Epley is credited with a total of 5,711 phantom stock units. These units are settled 100% in cash upon retirement or separation from service and represent interests in an unfunded unitized company stock fund comprised of stock and cash, so unit counts may fluctuate as the fund’s cash-stock mix changes.
Caterpillar Inc. Group President Denise C. Johnson reported a set of option-related and open-market transactions in Caterpillar common stock. She exercised employee stock options covering 16,078 shares at $196.70 per share, with 3,473 shares disposed of to cover tax obligations. The remaining 12,605 shares from the exercise were sold in open-market trades at weighted-average prices generally between about $904 and $912 per share, executed in multiple smaller trades. After these transactions, Johnson directly owned 49,825 shares of Caterpillar common stock.
Caterpillar Group President Denise C. Johnson exercised employee stock options and sold shares in the company on May 13, 2026. She exercised 7,900 Employee Stock Options at $196.70 per share to acquire the same number of Caterpillar common shares. To cover tax obligations, 1,704 shares were disposed of through a tax-withholding transaction at $911.61 per share, which is not an open-market sale. Johnson then completed open-market sales of 3,546 shares at $909.46 and 2,650 shares at $910.24, totaling 6,196 shares sold. After these transactions, she directly owned 49,825 shares of common stock and held 16,078 employee stock options under the company’s long-term incentive plan.
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.
Caterpillar Inc. Chief Executive Officer Joseph E. Creed reported routine share updates in a Form 4. On May 11, 2026, 574 shares of common stock were withheld at $912.03 per share to cover tax obligations from the vesting of restricted stock units granted on May 9, 2025. This withholding is a tax-related disposition, not an open-market sale.
After this event, Creed directly held 34,507 shares of Caterpillar common stock. He also had 11,804 shares held indirectly through a 401(k) plan, based on a plan statement dated as of April 30, 2026.
Caterpillar Inc.’s Chief Human Resources Officer, Christine M. Pambianchi, had shares withheld to cover taxes on equity compensation. On the tax-withholding date, 224 shares of Common Stock valued at $912.03 per share were withheld to satisfy tax obligations from restricted stock units that vested on May 9, 2025.
After this withholding, she directly holds 3,083 shares of Caterpillar common stock. This was a compensation-related, non-market transaction rather than an open-market purchase or sale.
Caterpillar Inc. Group President Anthony D. Fassino reported multiple transactions in company common stock. He exercised 21,403 employee stock options at $219.76 per share to acquire the same number of Caterpillar shares and had 5,120 shares withheld to cover tax obligations.
He then completed open-market sales of 15,440 shares at $916.75 per share and 843 shares at $917.73 per share, both executed in multiple trades at weighted-average prices. Following one reported sale, he held 46,041 shares directly, and a separate entry shows 1,508 shares held indirectly in a 401(k) plan based on a statement dated April 30, 2026.
Caterpillar Inc. Chief Financial Officer Kyle Joseph Epley reported routine equity compensation awards. He received a grant of 515 shares of common stock, bringing his direct holdings to 17,705 shares. He was also granted 1,394 employee stock options with an exercise price of $897.45 per share, expiring on May 8, 2036.
The stock options were granted under the Caterpillar Inc. 2023 Long-Term Incentive Plan and vest in three equal installments: one-third on the first anniversary of the grant date, one-third on March 2, 2028, and one-third on March 2, 2029. In addition, Epley reported indirect ownership of 3,186 common shares held in a 401(k) plan based on a statement dated as of April 30, 2026.
Caterpillar Group President Bob De Lange exercised employee stock options and sold shares in the company. He exercised 28,105 stock options at $127.60 per share, converting them into an equal number of Caterpillar common shares. Of these, 3,883 shares were disposed of to cover tax obligations. He then executed two open-market sales totaling 24,222 common shares at weighted average prices of $923.47 and $922.55 per share, across multiple trades. After these transactions, De Lange directly holds 86,029 Caterpillar shares, indicating he retains a substantial equity position following this exercise-and-sell sequence.
Caterpillar Inc. Group President Anthony D. Fassino executed a combined option exercise, tax withholding, and share sale in Caterpillar common stock. He exercised 12,000 employee stock options at $219.76 per share granted under the Caterpillar Inc. 2014 Long-Term Incentive Plan and received the underlying common shares.
To cover taxes, 2,848 shares were disposed of as a tax-withholding transaction at $925.74 per share. He then completed open-market sales of 8,802 shares at a weighted average price of $926.23 and 350 shares at a weighted average price of $926.83, each executed in multiple trades within the price ranges specified in the footnotes. After these transactions, Fassino directly owns 46,041 shares of Caterpillar common stock and indirectly holds 1,508 shares through a 401(k) plan as of an April 30, 2026 statement.
Caterpillar Inc. CFO Emeritus Andrew R. J. Bonfield reported option exercises, a share sale, and tax withholding-related dispositions in company stock. He exercised employee stock options for 23,054 shares of common stock at strike prices of $253.98, $332.04 and $338.65 per share.
On the same date, he sold 15,674 shares of Caterpillar common stock in an open-market transaction at a weighted average price of $918.71 per share, with individual trades ranging from $918.50 to $919.33. An additional 7,380 shares were disposed of to satisfy tax obligations. After these transactions, he directly holds 52,935 shares of Caterpillar common stock.
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.
Caterpillar Inc. group president Rodney Michael Shurman reported an option exercise paired with same-day stock sales. On May 5, 2026, he exercised 5,639 employee stock options at $253.98 per share into common stock, then sold 487 shares at a weighted average price of $903.55 and 5,152 shares at $903.14 in open-market transactions executed in multiple trades. He also reported indirectly held common stock in a 401(k) plan, based on a statement dated April 30, 2026.
Caterpillar Inc. Group President Jason Kaiser exercised employee stock options and sold shares of common stock. He exercised 7,917 options at $253.98 per share, then sold 5,642 shares in an open-market transaction at $883.03 per share and had 2,275 shares withheld to cover tax obligations.
After these transactions, Kaiser holds 9,594 shares of Caterpillar common stock directly and 368 shares indirectly through a 401(k) plan based on a statement dated April 30, 2026. No remaining derivative (option) position is shown in this filing.
Caterpillar Inc. director David MacLennan made an open-market purchase of the company’s common stock. He bought 250 shares at a price of $876.84 per share. After this transaction, his direct ownership increased to 8,206 shares, reflecting a relatively small, routine addition to his existing stake.
Creed Joseph E reported acquisition or exercise transactions in this Form 4 filing.
Caterpillar Inc. Chief Executive Officer Joseph E. Creed received 19 Phantom Stock Units as a compensation award. The units are tied to Caterpillar common stock under the company’s non-qualified deferred compensation plan and are economically equivalent to 19 shares of common stock.
Footnotes state that 10 units were credited to his Supplemental Deferred Compensation Plan account at a price of $830.79 per share and 9 units were contributed for no consideration. Following this grant, his total Phantom Stock Unit balance in the plan is 11,409 units, which will be settled 100% in cash upon retirement or separation from service.
MacLennan David reported acquisition or exercise transactions in this Form 4 filing.
Caterpillar Inc. director David MacLennan received a grant of 33 Phantom Stock Units on Caterpillar common stock equivalents. The award price is $690.44 per unit, bringing his total phantom stock units to 453. These units are granted under Caterpillar’s Director's Deferred Compensation Plan and are generally the economic equivalent of one share of common stock per unit. They will be settled 100% in cash upon his retirement or separation from service, so there was no open‑market purchase or sale of Caterpillar common shares in this transaction.
Creed Joseph E reported acquisition or exercise transactions in this Form 4 filing.
Caterpillar Inc. Chief Executive Officer Joseph E. Creed received a grant of 3 phantom stock units on March 26, 2026 under a non-qualified deferred compensation plan. Each unit is generally the economic equivalent of one share of Caterpillar common stock but will be settled 100% in cash at retirement or separation from service.
Following this grant and related plan activity, Creed is credited with 11,583 phantom stock units. The footnotes explain that the total includes 2 units credited at a price of $703.19 per unit and 1 unit contributed to his account for no consideration, and that unit counts can change over time due to dividend accruals and the mix of cash and stock in the underlying unitized fund.
Creed Joseph E reported acquisition or exercise transactions in this Form 4 filing.
Caterpillar Inc. reported a compensation-related transaction for Chief Executive Officer Joseph E. Creed. He received a grant of 428 phantom stock units under a non-qualified deferred compensation plan, each generally equivalent in value to one share of Caterpillar common stock.
The award combined 214 units credited at a price of $693.99 per unit and 214 units contributed under the plan for no consideration. These phantom units are cash-settled upon retirement or separation and now total 11,433 units in his account, reflecting deferred, cash-based incentive compensation rather than open-market trading.
Kaiser Jason reported acquisition or exercise transactions in this Form 4 filing.
Caterpillar Inc. Group President Jason Kaiser received a grant of 186 phantom stock units tied to Caterpillar common stock. These units were credited under the company’s non-qualified deferred compensation plan, with 93 units priced at $693.99 per unit and 93 units contributed for no consideration.
Each phantom stock unit is generally the economic equivalent of one share of Caterpillar common stock but will be settled 100% in cash when Kaiser retires or leaves the company, rather than in actual shares. After this award, Kaiser holds a total of 5,564 phantom stock units, which include accrued dividends and may fluctuate over time based on the mix of stock and cash in the underlying unitized fund.
Kaiser Jason reported acquisition or exercise transactions in this Form 4 filing.
Caterpillar Inc. Group President Jason Kaiser received an award of 106 phantom stock units on Caterpillar common stock under the company’s non-qualified deferred compensation plan. The units are generally the economic equivalent of one share of Caterpillar stock each and increase his directly held phantom units to 5,520.
The phantom stock units will be settled 100% in cash when Kaiser retires or separates from service. They include accrued dividends and represent interests in an unfunded unitized company stock fund made up of both stock and cash, so the reported unit count may change over time as that mix shifts.
Caterpillar Inc. Chief Executive Officer Joseph E. Creed reported an acquisition of 214 phantom stock units on March 6, 2026 under the company’s non-qualified deferred compensation plan. Following this grant, he holds 11,293 phantom stock units directly.
Each phantom stock unit is generally the economic equivalent of one share of Caterpillar common stock and will be settled 100% in cash upon his retirement or separation from service. The footnotes explain that these units include accrued dividends and represent interests in an unfunded unitized company stock fund, so the number of units deemed owned can change over time as the mix of stock and cash in the fund shifts.
Caterpillar Inc. Executive Chairman Donald J. Umpleby III reported a tax-withholding share disposition tied to equity compensation. On March 4, 2026, 1,546 shares of common stock were withheld at $738.42 per share to satisfy taxes from restricted stock units granted March 4, 2024. After this, he directly owned 464,199 shares, with additional indirect holdings through descendant and children’s irrevocable trusts and a 401(k) plan.
Caterpillar Inc. group president Rodney Michael Shurman reported a small tax-related share disposition. On March 4, 2026, 117 shares of Caterpillar common stock were withheld at $738.42 per share to cover taxes from restricted stock units that vested from a grant dated March 4, 2024.
After this withholding, Shurman held 2,546 Caterpillar shares directly. He also had 6,745 shares held indirectly through a 401(k) plan, based on a plan statement as of February 28, 2026. The filing does not reflect an open-market purchase or sale, but primarily an administrative tax-withholding event related to equity compensation.
Caterpillar Inc. chief accounting officer William E. Schaupp reported a small share disposition tied to equity compensation taxes. On March 4, 2026, 19 shares of Caterpillar common stock at a value of $738.42 per share were withheld to satisfy tax obligations arising from the vesting of restricted stock units originally granted on March 4, 2024.
After this tax-withholding disposition, Schaupp directly owns 890 shares of Caterpillar common stock. The transaction was reported as a disposition for tax payment rather than an open-market sale.
Caterpillar Inc. Chief Legal Officer Derek Owens reported a disposition of company common stock tied to equity compensation. On the vesting of restricted stock units granted on March 4, 2024, 338 shares were withheld to satisfy his tax obligation at a price of $738.42 per share. After this tax-withholding transaction, Owens directly owned 8,203 shares of Caterpillar common stock.
Caterpillar Inc. Chief Executive Officer Joseph E. Creed reported selling a total of 2,500 shares of Caterpillar common stock in open-market transactions on March 5, 2026. The sales were executed in several trades at reported weighted average prices of $717.01, $718.44, $719.39, $720.10, and $721.00 per share. After these sales, his directly held stake was 35,083 shares.
On March 4, 2026, 696 shares were disposed of at $738.42 per share to satisfy tax obligations from vesting restricted stock units granted on March 4, 2024. In addition to his direct holdings, he had 11,765 shares held indirectly through a 401(k) plan, based on a statement dated February 28, 2026.
Caterpillar Inc. Group President Jason Kaiser reported a tax-related share disposition tied to restricted stock units. On March 4, 2026, 368 shares of Caterpillar common stock were withheld at $738.42 per share to cover tax obligations from RSUs that vested on March 4, 2024.
After this withholding, Kaiser directly owned 9,594 Caterpillar shares. He also had an indirect holding of 368 shares through a 401(k) plan, based on a statement as of February 28, 2026.
Caterpillar Inc. Group President Anthony D. Fassino reported a tax-related share withholding tied to vesting equity awards. On March 4, 2026, 346 shares of Caterpillar common stock were disposed of at $738.42 per share to satisfy tax obligations from restricted stock units that vested from a March 4, 2024 grant.
After this withholding transaction, Fassino directly held 46,041 shares of Caterpillar common stock. The filing also notes an additional 1,501 shares held indirectly through a 401(k) plan based on a statement dated February 28, 2026.
Caterpillar Inc. Group President Denise C. Johnson reported a tax-withholding share disposition related to equity compensation. On March 4, 2026, 346 shares of Caterpillar common stock were withheld at a price of $738.42 per share to satisfy tax obligations from the vesting of restricted stock units granted on March 4, 2024. After this withholding transaction, Johnson directly held 49,825 shares of Caterpillar common stock.