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) filed a Form 4 reporting an intra‑plan transfer by Group President Denise C. Johnson on 11/12/2025. The transaction, coded “J,” involved phantom stock units in the company’s non‑qualified deferred compensation plan, which are generally the economic equivalent of one share of Caterpillar common stock and are settled 100% in cash upon retirement or separation.
Following the reported transaction, Johnson beneficially owned 10,752 phantom stock units. The filing lists an amount of 10,944 underlying shares and a stated price of $573.02 per derivative security. Units may adjust over time for accrued dividends and the fund’s cash/stock mix.
Caterpillar (CAT) Group President Jason E. Kaiser reported insider transactions on 11/11/2025. He exercised 8,881 employee stock options at $219.76 and 8,000 options at $196.70, acquiring common stock.
On the same day, he executed multiple open‑market sales in tranches, with weighted average sale prices ranging from $561.29 to $568.65 (per footnotes, comprised of multiple trades). The filing also shows share withholding for taxes (Code F) of 3,418 and 2,756 shares at $570.85. Following the transactions, he directly owned 8,649 shares and indirectly owned 368 shares held in a 401(k) plan, based on a plan statement dated October 31, 2025.
Caterpillar (CAT) Group President Anthony D. Fassino reported insider transactions on 11/10/2025. He exercised 12,500 stock options at an exercise price of $196.70 per share, acquired the underlying common stock, and then executed related transactions.
The filing shows a tax withholding transaction of 4,316 shares at $569.56 and an open-market sale of 8,184 shares at an average price of $570.18. Following these transactions, he directly held 41,512 Caterpillar shares, plus 1,499 shares held indirectly in a 401(k) plan based on a statement dated October 31, 2025. Derivative holdings listed include 23,288 stock options remaining after the exercise.
The options exercised were granted on March 7, 2022 under the 2014 Long-Term Incentive Plan, vesting in equal one-third increments on each of the first three anniversaries, and have an expiration date of 03/07/2032.
Caterpillar Inc. (CAT) executive Bob De Lange filed a Form 4 reporting equity transactions. On 11/05/2025, he exercised 20,000 employee stock options at an exercise price of $151.12 per share. He then reported a sale of 14,638 shares of common stock at a weighted average price of $562.36, with trades executed between $562.32 and $562.75. The filing also shows 5,362 shares disposed to cover taxes at a price of $563.66.
Following these transactions, De Lange beneficially owned 80,209 shares of Caterpillar common stock directly. He also reported 20,512 derivative securities (stock options) beneficially owned after the transactions. The exercised options were granted under the Caterpillar Inc. 2014 Long‑Term Incentive Plan on March 5, 2018 and vest in equal thirds on the first three anniversaries of the grant date.
Caterpillar Inc. (CAT) disclosed a Form 4 for Director David W. MacLennan. He purchased 300 shares of common stock on November 6, 2025 at $568.86 per share (transaction code P).
After this transaction, he beneficially owns 7,947 shares directly. The filing notes that this total includes adjustments for dividends accrued.
Caterpillar Inc. (CAT) reported an insider transaction by its Chief Accounting Officer, William E. Schaupp. On 11/05/2025, he sold 1,200 shares of common stock at a price of $572.22 per share (transaction code S). After the sale, he beneficially owns 1,323 shares directly. The filing notes that the remaining share figure includes adjustments for dividends accrued.
Caterpillar (CAT) reported an insider equity change by its Chief Executive Officer, Joseph E. Creed, on a Form 4. On 10/24/2025, the CEO acquired 29 phantom stock units (Transaction Code: A). These units are the economic equivalent of Caterpillar common stock and are designed to be settled 100% in cash upon retirement or separation from service.
The filing notes that 15 units were credited at a price per unit of $522.73 and 14 units were contributed pursuant to plan terms for no consideration. Following the transaction, the CEO beneficially owns 10,599 phantom stock units, with amounts subject to adjustments for dividends and the unitized fund’s stock/cash mix.
Caterpillar Inc. (CAT) reported an insider equity change: a Group President filed a Form 4 showing the acquisition of 14 phantom stock units on 10/24/2025 under the company’s non-qualified deferred compensation plan. The filing lists a price of $522.73 per unit.
The total reflects two components: 7 units credited to the account at $522.73 per unit and 7 units contributed pursuant to plan terms for no consideration. Following this activity, the reporting person beneficially owns 5,178 phantom stock units, held directly.
Each phantom stock unit is generally the economic equivalent of one share of Caterpillar common stock and, per the plan, will be settled 100% in cash upon retirement or separation from service. The filing notes that the number of units may change over time due to dividend accrual adjustments and the unitized fund’s mix of stock and cash.
Caterpillar Inc. (CAT) insider transaction: Group President Denise C. Johnson reported acquiring 19 phantom stock units on 10/24/2025 under a non-qualified deferred compensation plan. The filing shows 10 units credited at a price per share of $522.73 and 9 units contributed for no consideration.
Following this transaction, she holds 21,817 derivative securities in the form of phantom stock units. These units are generally the economic equivalent of one share of Caterpillar common stock and are to be settled 100% in cash upon retirement or separation from service, with balances adjusted for accrued dividends within a unitized stock fund.
Caterpillar (CAT) Executive Chairman D. James Umpleby III reported an open-market sale of 17,166 shares of common stock on 10/10/2025. The weighted average sale price was $505.29, with individual trades executed between $501.40 and $506.98, as noted in the filing’s explanation.
Following the transaction, Umpleby directly holds 448,173 shares. He also reports indirect holdings of 59,000 shares held by an Irrevocable Trust for Descendants, 36,040 shares held by a Children’s Irrevocable Trust, and 1,029 shares held by a 401(k) plan based on a statement dated as of September 30, 2025.
Reporting person: Jason Kaiser, Group President of Caterpillar Inc. This Form 4 shows a non-derivative/derivative reporting of phantom stock units under the companys non-qualified deferred compensation plans. On 09/26/2025 the reporting person was credited with 16 phantom stock units, treated as the economic equivalent of 16 shares of Caterpillar common stock at a stated price of $465.76 per share. The filing explains 8 of the units were credited at that price and 8 were contributed for no consideration. The phantom units will be settled 100% in cash upon retirement or separation and include dividend accrual adjustments, with the unit count varying with the funds cash/stock composition.
Denise C. Johnson, Group President and officer of Caterpillar Inc. (CAT), reported a transaction dated 09/26/2025 involving 21 phantom stock units under the companys non-qualified deferred compensation plan. The filing states 11 of those units were credited at a price of $465.76 per share and 10 units were contributed for no consideration. The phantom units are economic equivalents of common stock, are held in an unfunded unitized stock fund (mix of stock and cash) that can change in number due to dividend adjustments, and are payable 100% in cash upon retirement or separation. The report shows the reporting person beneficially owns 21,762 phantom stock units following the transaction. The Form 4 was signed by a power of attorney on 09/29/2025.
Joseph E. Creed, Chief Executive Officer of Caterpillar Inc. (CAT), was credited with 32 phantom stock units on 09/26/2025 under the company's non-qualified deferred compensation plan. The filing states 16 of the units were purchased at a price of $465.76 per share and 16 were contributed for no consideration. Following the transaction the reporting person is deemed to beneficially own 10,553 phantom stock units. The units represent economic equivalents of common stock, accrue dividends, are held in an unfunded unitized stock fund that can vary between cash and stock, and will be settled 100% in cash upon retirement or separation from service.
Donald J. Umpleby III, Executive Chairman of Caterpillar Inc. (CAT), reported the sale of 17,166 shares of Caterpillar common stock on 09/22/2025 at a weighted average sale price of $462.65. After the transaction he directly beneficially owns 465,339 shares. The filing also discloses indirect holdings of 59,000 shares held by an irrevocable trust for descendants, 36,040 shares held by a childrens irrevocable trust, and 1,030 shares held via a 401(k) plan statement dated September 22, 2025. The registrant certified the sale met Rule 10b5-1(c) plan conditions and noted the reported weighted average price reflects multiple trades executed between $460.62 and $466.98. The Form 4 was signed by a power of attorney on 09/23/2025.